UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF MASSACHUSETTS 

BOSTON DIVISION 

___________________________________ 

 ) 

ROBINSON COMMITTEE, LLC and ) 

JACK E. ROBINSON, ) 

 ) Case Number: 1:10-cv-11335-GAO 

Petitioners, ) District Judge George A. O’Toole, Jr. 

) 

v. ) RESPONDENT’S MOTION

 ) TO DISMISS THE PETITION 

FEDERAL ELECTION COMMISSION, ) 

 ) 

 Respondent. ) 

___________________________________ ) 

RESPONDENT FEDERAL ELECTION COMMISSION’S 

MOTION TO DISMISS THE PETITION 

 Pursuant to Federal Rule of Civil Procedure 12(b)(6) respondent Federal Election 

Commission (“FEC”) moves to dismiss the Petition of Robinson Committee, LLC and Jack E. 

Robinson. The motion should be granted, because the FEC did not act arbitrarily or capriciously 

in assessing a civil money penalty against petitioners for their failure to timely file a report 

disclosing their 2009 campaign finance activity, as required by the Federal Election Campaign 

Act (“FECA”), 2 U.S.C. §§ 431-57. During the administrative proceedings, the FEC fully 

considered petitioners’ arguments, and its final determination, which is entitled to deference, is 

rationally supported by the administrative record. 

 In support of this motion, the FEC relies on its accompanying memorandum in support 

and attached exhibits referenced by the Petition. 

Respectfully submitted, 

Phillip Christopher Hughey 

Acting General Counsel 

Case 1:10-cv-11335-GAO Document 5 Filed 10/08/10 Page 1 of 2
2 

David Kolker 

Associate General Counsel 

Kevin Deeley 

Assistant General Counsel 

/s/ Kevin P. Hancock 

Kevin P. Hancock 

Attorney 

COUNSEL FOR DEFENDANT 

FEDERAL ELECTION COMMISSION 

999 E Street NW 

Washington, DC 20463 

 (202) 694-1650 

Dated: October 8, 2010 e-mail: khancock@fec.gov 

Certificate of Service

 I, Kevin P. Hancock, certify that this document filed through the ECF system will be sent 

electronically to the registered participants as identified on the Notice of Electronic Filing (NEF) 

and paper copies will be sent to those indicated as non registered participants on October 8, 

2010. 

Dated: October 8, 2010 Respectfully submitted, 

/s/ Kevin P. Hancock 

Kevin P. Hancock 

Case 1:10-cv-11335-GAO Document 5 Filed 10/08/10 Page 2 of 2
UNITED STATES DISTRICT COURT 

FOR THE DISTRICT OF MASSACHUSETTS 

BOSTON DIVISION 

___________________________________ 

 ) 

ROBINSON COMMITTEE, LLC and ) 

JACK E. ROBINSON, ) 

 ) Case Number: 1:10-cv-11335-GAO 

Petitioners, ) District Judge George A. O’Toole, Jr. 

) 

v. ) MEMORANDUM OF LAW

 ) IN SUPPORT OF MOTION TO DISMISS 

FEDERAL ELECTION COMMISSION, ) 

 ) 

 Respondent. ) 

___________________________________ ) 

RESPONDENT FEDERAL ELECTION COMMISSION’S 

MEMORANDUM OF LAW IN SUPPORT OF ITS MOTION TO DISMISS 

 Petitioners Robinson Committee, LLC and Jack E. Robinson do not dispute that they 

filed a Year End Report concerning the Committee’s 2009 campaign finance activity 81 days 

later than required by law. Consistent with its regulations and delegated authority from 

Congress, the Federal Election Commission (“FEC” or “Commission”) assessed a civil money 

penalty against petitioners. Pursuant to Federal Rule of Civil Procedure 12(b)(6), the Court 

should dismiss petitioners’ action seeking review of the FEC’s final determination, because they 

cannot demonstrate that the Commission’s decision — which is entitled to great deference — 

was arbitrary, capricious, an abuse of discretion, or otherwise contrary to law. The Commission 

correctly rejected petitioners’ meritless argument that they were prevented from filing on time 

because Robinson first had to file his tax return and respond to an FEC notice regarding a 

separate matter. 

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2 

I. BACKGROUND 

A. The Parties 

Respondent FEC is an independent agency of the United States government with 

exclusive civil jurisdiction over the administration, interpretation, and enforcement of the 

Federal Election Campaign Act (“FECA”), 2 U.S.C. §§ 431-57. See generally 2 U.S.C. 

§§ 437c(b)(1), 437d(a), and 437g. 

Petitioner Jack E. Robinson, a resident of Massachusetts, was a candidate in the 

December 8, 2009 Republican primary election for U.S. Senate in Massachusetts. (Pet. ¶ 1.) 

Robinson, who paid for his campaign exclusively with his own funds, lost the primary to Scott 

Brown, the eventual winner of the general election. (Id. ¶¶ 1, 14.) Robinson is the treasurer of 

his principal federal campaign committee, petitioner Robinson Committee, LLC. (Id. ¶ 2.) 

B. Statutory and Regulatory Background 

 1. FECA’s Reporting Requirements 

 Congress enacted FECA as part of a comprehensive system of regulating the financing of 

federal election campaigns. Among other things, FECA requires detailed public disclosure of 

the finances of political committees — including the campaign committees of House and Senate 

candidates. See 2 U.S.C. §§ 432-34. The Supreme Court has explained that FECA’s reporting 

requirements “curb[] the evils of campaign ignorance and corruption that Congress found to 

exist” by directly serving at least three substantial government interests: First, they “provide[] 

the electorate with information” on the flow of campaign money “in order to aid the voters in 

evaluating those who seek federal office”; second, they “deter actual corruption and avoid the 

appearance of corruption by exposing large contributions and expenditures to the light of 

publicity”; and third, the reporting requirements “are an essential means of gathering the data 

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3 

necessary to detect violations of [FECA’s] contributions limitations.” Buckley v. Valeo, 424 U.S. 

1, 66-68 (1976). 

To those ends, the FECA reporting requirements relevant here require each federal 

candidate to have a principal campaign committee, see 2 U.S.C. § 432(e)(1), and the treasurer of 

each committee is required to file with the FEC periodic reports that disclose the committee’s 

finances, see id. § 434(a)-(b). The principal campaign committees of Senate candidates must file 

their disclosure reports with the Secretary of the Senate, who must promptly forward copies of 

the reports to the FEC. See id. § 432(g). The FEC places these reports on the public record 

within 48 hours of receipt. See id. § 438(a)(4). 

 2. Administrative Fines Program 

 “The administrative fines program was established by Congress in 1999, and ‘creates a 

simplified procedure for the FEC to administratively handle reporting violations.’” Lovely v. 

FEC, 307 F. Supp. 2d 294, 299 (D. Mass. 2004) (quoting H.R. Rep. No. 106-295, at 11 (1999)). 

The Commission may assess civil money penalties against principal campaign committees 

whose treasurers fail to file timely reports under 2 U.S.C. § 434(a). See 2 U.S.C. 

§ 437g(a)(4)(C)(i). When a vote of the six-member Commission determines that there is reason 

to believe (“RTB”) a respondent has violated 2 U.S.C. § 434(a), the FEC notifies the respondent 

of the RTB finding, the factual and legal basis underlying the finding, the proposed civil penalty, 

and the respondent’s right to challenge the decision. See 11 C.F.R. § 111.32. The proposed civil 

penalty is calculated pursuant to a schedule, which takes account of whether the untimely report 

was election sensitive, how late the untimely report was filed (if filed at all), the level of 

monetary activity in the untimely report, and the respondent’s number of previous reporting 

violations. See id. § 111.43. 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 3 of 15
4 

 The respondent may challenge the Commission’s RTB finding in writing within 40 days 

of being notified, but only on three grounds specified in the FEC’s regulations: (1) if the RTB 

finding was based on a factual error; (2) if the FEC improperly calculated the civil money 

penalty; or (3) if the committee and its treasurer used “best efforts to file in a timely manner.” 

See 11 C.F.R. § 111.35(b). An FEC Reviewing Officer reviews the respondent’s challenge and 

the administrative record, and submits a written recommendation to the Commission. See id. 

§ 111.36(b), (e). The respondent has 10 days to respond to the reviewing officer 

recommendation, but cannot raise any new arguments. See id. § 111.36(f). The Commission 

then proceeds to a final determination of whether the respondent violated 2 U.S.C. § 434(a), and 

whether to assess a civil penalty. See 11 C.F.R. § 111.37. 

 If the Commission makes a final determination finding a violation and assessing a 

penalty, the respondent may petition a federal district court for judicial review. See 2 U.S.C. 

§ 437g(a)(4)(C)(iii). 

C. Factual and Administrative Background 

 Petitioners’ 2009 Year End Report of Receipts and Disbursements (“Report”), covering 

their campaign finance activity from November 19, 2009, through December 31, 2009, was due 

to be filed by January 31, 2010. See 2 U.S.C. § 434(a)(2)(A)(iii); Pet. ¶ 6. On December 28, 

2009, the FEC e-mailed a notice to petitioners reminding them of this upcoming deadline. (See 

Exh. A at 8-10 (FEC Year-End Report Notice, Dec. 28, 2009); see also id. at 3 (AF # 2122, FEC 

Reviewing Officer Recommendation, Jun. 4, 2010 (“ROR”)).)1

 Nevertheless, the FEC did not 

 

1

 On a motion to dismiss under Rule 12(b)(6), the court may consider documents 

sufficiently referred to in the complaint. Gargano v. Liberty Int’l Underwriters, Inc., 572 F.3d 

45, 47 n.1 (1st Cir. 2009). Each of the documents attached as exhibits to this motion were 

referenced in the Petition. In addition, each of the documents attached as exhibits are official 

public records, which the Court may also consider on a motion to dismiss. See id. 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 4 of 15
5 

receive the Report from petitioners by January 31, 2010. (See Pet. ¶ 7.) On February 17, 2010, 

the FEC mailed petitioners a notice informing them the Report was overdue. (Exh. A at 11 

(Letter from FEC to Jack E. Robinson, Feb. 17, 2010); see also Pet. ¶ 15; Exh. A at 3 (ROR).) 

The notice also stated that there was no grace period for filing, and that the FEC may assess civil 

money penalties starting on the day following the due date for the Report. (Exh. A at 11.) 

Petitioners did not respond to this notice. (See id. at 3.) 

 On March 25, 2010, the Commission voted unanimously to find RTB that petitioners 

violated 2 U.S.C. § 434(a), and to preliminarily assess a civil money penalty of $6,050. (See Pet. 

¶ 8; Exh. A at 12 (Letter from FEC to Jack E. Robinson, Mar. 29, 2010 (“RTB Notice”).) The 

FEC informed petitioners of the RTB finding by letter dated March 29, 2010. (Exh. A at 12-29 

(RTB Notice); Pet. ¶ 8.) As explained in the RTB Notice, the amount of the civil penalty was 

computed through application of the Commission’s schedule of penalties, including respondents’ 

lack of previous reporting violations. (See Exh. A at 12 (citing 11 C.F.R. § 111.43).) The RTB 

Notice also informed petitioners that they could challenge the Commission’s RTB finding based 

on the three defenses specified in the regulations. (Id. at 13 (citing 11 C.F.R. § 111.35(b)).) 

Moreover, the RTB Notice warned that the failure to raise an argument in a timely fashion would 

result in a waiver of the right to assert that argument in a later petition to a federal district court. 

(Id. at 13 (citing 11 C.F.R. § 111.38).) 

On April 15, 2010, petitioners mailed the Report to the Secretary of the Senate, who 

received it on April 22, 2010 — 81 days after the January 31, 2010 deadline. (Pet. ¶ 7.) 

Petitioners challenged the Commission’s RTB finding by letter dated April 16, 2010 (“RTB 

Challenge”). (Exh. A at 6; Pet. ¶ 9.) Petitioners’ RTB Challenge made three assertions. First, it 

claimed that the deadline for filing the Report was effectively delayed because the FEC had, in 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 5 of 15
6 

the interim, requested that petitioners submit additional information relating to reports they had 

previously filed. (Exh. A at 6.) Second, it alleged that the FEC had improperly calculated the 

proposed civil money penalty. (Id.) Third, petitioners argued that the Report was delayed by the 

“reasonably unforeseen circumstance[]” that Robinson was unable to determine the total amount 

of loans he used to self-fund his campaign until he had calculated his 2009 tax liability on April 

15, 2010. (Id.) 

 An FEC reviewing officer reviewed petitioners’ RTB Challenge, and issued a 

recommendation, dated June 4, 2010, finding that none of petitioners’ arguments satisfied the 

three defenses of 11 C.F.R. § 111.35(b), and recommending that the Commission make a final 

determination that petitioners violated 2 U.S.C. § 434(a) and assess a $6,050 penalty. (Exh. A at 

2-5 (ROR).) Petitioners submitted a letter to the FEC objecting to the ROR on June 18, 2010 

(“ROR Objection”). (Exh. B; Pet. ¶¶ 10-11.) 

 On July 22, 2010, the Commission unanimously adopted the ROR, and made a final 

determination that the Robinson Committee and Robinson, in his official capacity as treasurer, 

violated 2 U.S.C. § 434(a), and assessed a civil money penalty of $6,050. (See Exh. C at 1 

(Letter from FEC to Jack E. Robinson, July 23, 2010); Pet. ¶ 12.) 

 On August 9, 2010, petitioners filed this action seeking review of the FEC’s final 

determination pursuant to 2 U.S.C. § 437g(a)(4)(C)(iii) and 11 C.F.R. § 111.38. 

II. THE PETITION SHOULD BE DISMISSED BECAUSE THE FEC’S FINAL 

DETERMINATION WAS NOT ARBITRARY OR CAPRICIOUS 

This Court’s review of the Commission’s final determination is governed by the 

Administrative Procedure Act (“APA”), 5 U.S.C. § 500, et seq. See Lovely, 307 F. Supp. 2d at 

297-98. The APA states that a district court may only set aside agency decisions that are 

“‘arbitrary, capricious, an abuse of discretion, or otherwise not in accordance with law.’” River 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 6 of 15
7 

Street Donuts, LLC v. Napolitano, 558 F.3d 111, 114 (1st Cir. 2009) (quoting 5 U.S.C. 

§ 706(2)). Under this “highly deferential” standard, agency actions “are presumed to be valid,” 

and as a result, the Court “may not substitute its judgment for that of the agency, even if it 

disagrees with the agency’s conclusions.” Id. The Court is only “required to determine whether 

the agency’s decision is supported by a rational basis, and if so, [it] must affirm.” Id. 

The Supreme Court has held that the FEC “is precisely the type of agency to which 

deference should presumptively be afforded.” FEC v. Democratic Senatorial Campaign Comm., 

454 U.S. 27, 37 (1981). In addition, “[w]here Congress has entrusted rulemaking and 

administrative authority to an agency,” such as the FEC, “courts normally accord the agency 

particular deference in respect to the interpretation of regulations promulgated under that 

authority.” See South Shore Hosp., Inc. v. Thompson, 308 F.3d 91, 97 (1st Cir. 2002). 

Petitioners bear the burden of proving that the FEC’s action was arbitrary or capricious. See, 

e.g., Town of Burlington v. Dep’t of Educ., 736 F.2d 773, 794 (1st Cir. 1984). 

When reviewing agency action, “[t]he district court sits as an appellate tribunal,” and the 

“entire case on review is a question of law, and only a question of law.” See Marshall County 

Health Care Auth. v. Shalala, 988 F.2d 1221, 1225-26 (D.C. Cir. 1993). As a result, even 

though this action is before the Court on the FEC’s Rule 12(b)(6) motion to dismiss, the Court 

can reach the merits of whether the FEC’s action was arbitrary or capricious. See id. at 1225-26. 

“[P]roperly read,” the Petition “actually presents no factual allegations, but rather only 

arguments about the legal conclusion to be drawn about the agency action.” See id. at 1226. 

Accordingly, “the sufficiency of the [Petition] is the question on the merits, and there is no real 

distinction in this context between the question presented on a 12(b)(6) motion and a motion for 

summary judgment.” Id. 

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8 

Under the applicable regulations, there are only three bases for challenging the FEC’s 

ruling: (1) factual error; (2) improper calculation of the civil money penalty; or (3) the committee 

and its treasurer used “best efforts to file in a timely manner.” 11 C.F.R. § 111.35(b)(1)-(3). 

Before this Court, petitioners do not argue that the RTB finding was based on a factual error or 

that the civil money penalty was improperly calculated.2 Thus, the only challenge before this 

Court concerns petitioners’ assertion that they used “best efforts” to file their Report 81 days 

late. 

A. The FEC Reasonably Found That Petitioners Did Not Use Best Efforts to 

File the Report in a Timely Manner 

Petitioners do not contend that the Report was timely filed under FECA and the 

Commission’s regulations. (Pet. ¶¶ 7, 14.) Nor do petitioners challenge the validity of those 

regulations. Petitioners are admittedly experienced filers (see id. ¶ 20), who had filed previous 

reports as recently as December 4, 2009 (Exh. A at 43; see also id. at 4 (ROR)). The FEC gave 

petitioners notice of the Report’s deadline over a month ahead of time, and on February 17, 

2010, notified petitioners that they had missed the deadline. (Exh. A at 3.) Despite these efforts 

by the Commission, Robinson did not respond to the FEC regarding the late Report until April 

15, 2010 (id.) — the same day he mailed the Report to the Secretary of the Senate (see Pet. ¶¶ 7, 

14), 75 days after the due date. Nevertheless, petitioners claim they used “best efforts” to file the 

Report, and therefore should not have been penalized. (Id. ¶ 21.) The FEC reasonably rejected 

this argument. 

A party claiming that it used “best efforts to file in a timely manner” must prove that 

(1) it was “prevented from filing in a timely manner by reasonably unforeseen circumstances 

 

2

 Petitioners argued in their RTB Challenge that the Commission improperly calculated the 

proposed civil money penalty (Exh. A at 6), but have waived this argument by not asserting it 

here. 

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9 

that were beyond [its] control,” and (2) the untimely report was “filed no later than 24 hours 

after the end of these circumstances.” 11 C.F.R. § 111.35(b)(3)(i)-(ii). “[R]easonably 

unforeseen circumstances” include, but are not limited to: (1) a failure of FEC computers or 

FEC software; (2) a “widespread disruption” of the Internet; or (3) a “[s]evere weather or other 

disaster-related incident.” Id. § 111.35(c). They do not include circumstances such as a failure 

to know filing dates, inexperience, negligence, illness, or delays caused by committee vendors or 

contractors. Id. § 111.35(d). 

The Petition asserts two alleged bases for a “best efforts” finding, both of which the 

Commission correctly found did not constitute a circumstance that prevented petitioners from 

filing on time. 

1. The FEC Reasonably Found That Robinson’s Alleged Need to First 

Complete His Tax Return Did Not Prevent Him From Timely Filing 

The Report 

First, petitioners claim that Robinson filed the Report late because he could not 

accurately complete the Report until after determining the amount of personal funds he spent on 

his campaign, which he allegedly could not do until completing his 2009 tax return on April 15, 

2010. (Pet. ¶ 14; see also Exh. A at 6 (RTB Challenge).) 

The Commission considered this argument, and reasonably concluded that petitioners had 

“failed to prove that [Robinson’s] need to prepare his taxes prevented them from filing the Year 

End Report on time.” (Exh. A at 4 (ROR).) As the Commission explained in the ROR, 

Robinson should have had access to all of the financial records necessary to complete the Report 

regardless of whether his 2009 tax return had been completed and filed. (Id. at 3-4.) As 

treasurer of the Committee, Robinson was required, on an ongoing basis, to keep track of and 

report loans he made, guaranteed, or endorsed to his Committee, including any derived from 

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10 

loans he received from third parties. (See id. at 4 (ROR) (citing 11 C.F.R. 

§ 104.3(a)(3)(vii)(B)).) As the candidate and the custodian of records for the Committee, 

Robinson had access to his own financial records and to the Committee’s financial records. (Id.) 

Petitioners did not dispute these facts before the Commission, and do not dispute them now. 

With access to these records, petitioners were able to file three reports with the FEC in 

October and December of 2009 disclosing that Robinson made loans to his Committee in 2009, 

despite the fact that he had yet to file his 2009 tax return. (Id.) The loans disclosed in these 

three prior reports totaled $365,000, which constitute 97% of the total amount of 2009 candidate 

loans petitioners eventually disclosed in the untimely Report. (Id.) And yet, petitioners offered 

the Commission, and now offer this Court, no reason why their ability to tally the personal funds 

Robinson spent suddenly became dependent on Robinson’s 2009 tax return. Rather, Robinson 

merely asserted (Exh. B at 1) that 

[b]ecause the Committee’s operations were entirely self-funded by 

Robinson, and because Robinson could not calculate the total amount of 

candidate loans provided to the Committee until his 2009 taxes were 

prepared, in order to ensure accuracy Robinson simply was unable to file 

the Report until those tax returns were prepared and filed. 

This is ipse dixit: Robinson never explained what the purported causal relationship was between 

calculating his income taxes and calculating the total amount of loans provided to the 

Committee. The loans were in fact made to the Committee at the time the money was 

transferred, regardless of the total income or deductions Robinson may have had in 2009. 

Accordingly, the Commission’s rejection of petitioners’ tax return argument is supported by a 

rational basis. 

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2. The FEC Reasonably Found That Robinson’s Need to Comply 

With Other FEC Notices Did Not Prevent Him From Timely 

Filing the Report 

Second, petitioners argue that their untimely filing should have been excused because 

they allegedly first had to respond to four notices the FEC sent to them: (1) a January 7, 2010, 

request for additional information (“RFAI”); (2) the February 17, 2010, notice of failure to file 

the Report; (3) a February 23, 2010, RFAI; and (4) a March 23, 2010, RFAI. (Pet. ¶ 15; see also

Exh. A at 6 (RTB Challenge).) 

The Commission considered this argument, and reasonably concluded that it also failed 

to excuse petitioners’ late filing or otherwise justify a “best efforts” finding. (Exh. A at 3 

(ROR).) As explained in the Commission’s ROR, petitioners received only one of these notices 

— the January 7, 2010, RFAI — before the Report’s January 31, 2010, due date. (Id.) Thus, the 

other three notices could not have caused petitioners to miss the deadline. (Id.) In particular, the 

February 17, 2010, notice did not request additional information but was simply a reminder that 

the Report was late, and it urged petitioners to file the Report immediately. (Exh. A at 11.) 

The January 7, 2010, RFAI requested that petitioners correct certain errors found in their 

previously filed October Quarterly Report by February 11, 2010. (Exh. A at 44-47; see also Exh. 

A at 3 (ROR).) As the Commission explained, petitioners received this RFAI more than three 

weeks before the Report was due, giving adequate time to complete both tasks. (Exh. A at 3.) 

And, in any event, Robinson’s duty to comply with the January 7, 2010, RFAI did not relieve 

him of his responsibility to file the Report on time. (Id.) 

Accordingly, the Commission’s rejection of petitioner’s argument is supported by a 

rational basis. 

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12 

B. Petitioners Have Waived Their Other Meritless Arguments 

The Petition raises two additional arguments, which the Court should deem waived and 

not consider: first, that the late filing should be overlooked because it allegedly caused no harm 

to the public interest (Pet. ¶¶ 18-19), and second, that petitioners’ lack of previous reporting 

violations should have “weigh[ed] in favor” of a “best efforts” determination (id. ¶ 20). 

A “respondent’s failure to raise an argument in a timely fashion during the administrative 

process shall be deemed a waiver of the respondent’s right to present such argument in a petition 

to the district court under 2 U.S.C. § 437g.” 11 C.F.R. § 111.38. In order to raise an argument in 

a timely fashion during the administrative process, a party must raise the argument in its written 

response challenging RTB under 11 C.F.R. § 111.35, and not later in its objections to the ROR 

(unless the argument is “directly” responsive to the ROR). See id. § 111.36(f). 

Petitioners failed to raise the above two arguments in their submission challenging RTB 

(see Exh. A at 6), and only raised them for the first time in their objections to the ROR (see Exh. 

B). The new arguments, however, were not responsive to the ROR’s discussion and were thus 

untimely under 11 C.F.R. § 111.36(f). Petitioners have therefore waived their ability to raise 

these new arguments before this Court. See 11 C.F.R. § 111.38; see also NLRB v. Saint-Gobain 

Abrasives, Inc., 426 F.3d 455, 458-59 (1st Cir. 2005) (“The general exhaustion requirement that 

prevails in administrative matters is a bedrock principle: ‘as a general rule[,] courts should not 

topple over administrative decisions unless the administrative body not only has erred but has 

erred against objection made at the [appropriate] time.’” (alterations in original) (quoting United 

States v. L.A. Tucker Truck Lines, Inc., 344 U.S. 33, 37 (1952))); accord Cunningham v. FEC, 

No. IP-01-0897-C-B/S, 2002 WL 31431557, at *4 (S.D. Ind. Oct. 28, 2002). Judicial adherence 

to the raise-or-waive rule “simultaneously enhances the efficacy of the agency, fosters judicial 

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13 

efficiency, and safeguards the integrity of the inter-branch review relationship.” Saint-Gobain 

Abrasives, 426 F.3d at 459 (internal quotation marks omitted). 

 In any event, neither waived argument is a valid ground for challenging the 

Commission’s decision, see 11 C.F.R. § 111.35(b)(1)-(3), and both are meritless on their own 

terms. First, it is untrue that petitioners’ violation did not harm the public interest. As discussed 

supra pp. 2-3, FECA’s disclosure and reporting requirements further at least three substantial 

government interests: (1) providing the electorate with information on campaign spending; 

(2) deterring corruption by exposing large contributions and expenditures; and (3) allowing the 

FEC to gather the data necessary to detect violations of the contribution limitations. See 

Buckley, 424 U.S. at 66-68. Given these substantial interests, public harm is presumed from a 

violation of the reporting requirements. See FEC v. Furgatch, 869 F.2d 1256, 1259 (9th Cir. 

1989). Contrary to petitioners’ assertions (see Pet. ¶¶ 18-19), a failure to report causes public 

harm even where the candidate is self-funded, see, e.g., Cox for U.S. Senate Comm., Inc. v. FEC, 

No. 03-3715, 2004 WL 783435, at *6 (N.D. Ill. Jan. 22, 2004) (pointing out that reporting by 

self-funded candidates allows the public to “ascertain prior to an election which candidates are 

incurring sizable obligations that may be discharged with the generosity of unidentified parties 

after the election”), and where the candidate lost the election, see, e.g., FEC v. Toledano, 317 

F.3d 939, 953 (9th Cir. 2002) (“That [defendant] lost anyway, and the violation thus had no 

effect on the outcome of the election, does not change the fact that the public was harmed by the 

[FECA violation].”). This analysis is not changed by the fact that the election at issue was a 

special election. 

Second, petitioners’ lack of previous reporting violations was properly considered by the 

Commission in determining the amount of their civil money penalty under the administrative 

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14 

fine schedule under 11 C.F.R. § 111.43. (See Exh. A at 3 (ROR).) Petitioners’ fine of $6,050 is 

less than it would have been had they previously violated 2 U.S.C. § 434(a). See 11 C.F.R. 

§ 111.43(a). Nothing in the FEC’s regulations requires a lack of previous reporting violations to 

also “weigh in favor” of a “best efforts” determination under 11 C.F.R. § 111.35(b)(3), as 

petitioners erroneously claim. (See Pet. ¶ 20.) 

CONCLUSION 

 Because the FEC’s final determination was not arbitrary, capricious, an abuse of 

discretion, or otherwise contrary to law, and is reasonably supported by the administrative 

record, the Court should dismiss the Petition with prejudice.3

Respectfully submitted, 

Phillip Christopher Hughey 

Acting General Counsel 

David Kolker 

Associate General Counsel 

Kevin Deeley 

Assistant General Counsel 

 

3

 In the alternative, the Court could dismiss the Petition without prejudice for insufficient 

service of process under Rule 12(b)(5). Petitioners appear to have completed service, as they 

have filed an executed return of service demonstrating that they served the FEC by certified mail 

on August 16, 2010. (See Docket No. 3.) However, petitioners have failed to perfect service of 

process by also serving the United States as required by Rule 4(i)(2). To serve the United 

States, petitioners were required to deliver a copy of the summons and complaint to the United 

States Attorney for the District of Massachusetts and to the Attorney General, in Washington, 

D.C. See Fed. R. Civ. P. 4(i)(1)(A)-(B). As of October 8, 2010, petitioners have served neither. 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 14 of 15
15 

/s/ Kevin P. Hancock 

Kevin P. Hancock 

Attorney 

COUNSEL FOR DEFENDANT 

FEDERAL ELECTION COMMISSION 

999 E Street NW 

Washington, DC 20463 

 (202) 694-1650 

Dated: October 8, 2010 e-mail: khancock@fec.gov 

Certificate of Service

 I, Kevin P. Hancock, certify that this document filed through the ECF system will be sent 

electronically to the registered participants as identified on the Notice of Electronic Filing (NEF) 

and paper copies will be sent to those indicated as non registered participants on October 8, 

2010. 

Dated: October 8, 2010 Respectfully submitted, 

/s/ Kevin P. Hancock 

Kevin P. Hancock 

Case 1:10-cv-11335-GAO Document 5-1 Filed 10/08/10 Page 15 of 15
EXHIBIT A 

AF# 2122, FEC Reviewing Officer Recommendation, 

Jun. 4, 2010, and attachments 

TABLE OF CONTENTS 

Page 

Coversheet............................................................................................................................1 

FEC Reviewing Officer Recommendation, Jun. 4, 2010 (ROR) .........................................2 

Attachment 1: Letter from Jack E. Robinson to FEC, Apr. 16, 2010 

(RTB Challenge) ............................................................................................................6 

Attachment 2: Declaration of Nataliya Ioffe, FEC Reports Analysis Division, 

Apr. 28, 2010 .................................................................................................................7 

Sub-attachment A: FEC Year-End Report Notice, Dec. 28, 2009 ........................8 

Sub-attachment B: Letter from FEC to Jack E. Robinson, 

Feb. 17, 2010..........................................................................................................11 

Sub-attachment C: Letter from FEC to Jack E. Robinson, 

Mar. 29, 2010 (RTB Notice) ..................................................................................12 

 Sub-attachment D: Telecommunications Log .....................................................30 

 Sub-attachment E: Returned Envelope ................................................................31 

 Sub-attachment F: Fax Transmittal Sheet, Apr. 15, 2010 ...................................32 

Attachment 3: Declaration of Jill I. Sugarman, FEC Office of 

Administrative Review, Jun. 4, 2010 ...........................................................................33 

Sub-attachment A: Statement of Candidacy of Jack E. Robinson, 

Oct. 10, 2009 ..........................................................................................................35 

Sub-attachment B: Statement of Organization of Robinson Committee, LLC, 

Oct. 10, 2009 ..........................................................................................................36 

Sub-attachment C: 2009 October Quarterly Report filed by Robinson 

Committee, LLC, Oct. 10, 2009 ............................................................................38 

Sub-attachment D: 2009 12 Day Pre-Primary/Pre-Special Report 

filed by Robinson Committee, LLC.......................................................................40 

Sub-attachment E: Dec. 1, 2009 and Dec. 4, 2009 48-Hour Notices 

filed by Robinson Committee, LLC.......................................................................42 

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 1 of 57
ii

 Sub-attachment F: Jan. 7, 2010 Request for Additional Information ..................44 

Sub-attachment G: Feb. 23, 2010 and Mar. 23, 2010 Requests for Additional 

Information ............................................................................................................48 

Sub-attachment H: 2009 Year End Report filed by Robinson 

Committee, LLC, Apr. 16, 2010 ............................................................................52 

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 2 of 57
FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 2010 JUN -ll P 4: Db 

SENSITIVE 

June 4,2010 

MEMORANDUM 

To:	 The Commission 

Through:	 Alec Palmer ;:P
 

Acting Staff Director 

From:	 Patricia Carmona ~6 Chief Compliance Offi~cer

Shawn Woodhead We 

Reviewing Officer 

Office of Administrative Review 

By:	 Jill I. Sugarman I.kJI 

Reviewing Analys'P ­

Subject:	 Reviewing Officer Recommendation in AF# 2122 - Robinson 

Committee LLC and Jack E. Robinson, in his official capacity as 

Treasurer (C00355784) 

The attached Reviewing Officer Recommendation is being circulated on an 

informational basis. A copy was also sent to the respondents in accordance with 

11 C.F.R. § 111.36(f). The respondents may file with the Commission Secretary a 

written response within 10 days oftransmittal of the recommendation. 

After the 10 day period, the Reviewing Officer Recommendation and the 

respondents' written response, if any, will be circulated to the Commission to make 

a final determination. 

Attachment 

Exhibit A, p. 1 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 3 of 57
FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 June 4,2010 

REVIEWING OFFICER RECOMMENDATION
 

OFFICE OF ADMINISTRATIVE REVIEW ("OAR")
 

AF# 2122 - Robinson Committee, LLC and Jack E. Robinson, in his official capacity as 

Treasurer (C00355784) 

Summary of Recommendation 

Make a final determination that the respondents violated 2 U.S.c. § 434(a) and 

assess a $6,050 civil money penalty. 

Reason-to-Believe Background 

On March 25, 2010, the Commission found reason to believe ("RTB") that the 

respondents violated 2 U.S.c. § 434(a) for failing to file the 2009 Year End Report and 

made a preliminary determination that the civil money penalty was $6,050, based on the 

schedule of penalties at 11 C.F.R. § 111.43. They were notified by the Reports Analysis 

Division ("RAD") on March 29, 2010 of the Commission's RTB finding and civil money 

penalty. The letter, sent to the address of record, was returned to RAD; however, a copy 

was sent to them via facsimile on April 15,2010. 

Legal Requirements 

The Federal Election Campaign Act ("Act") states that the treasurer of a principal 

campaign committee shall file a report for the quarter ending December 31 no later than 

January 31 of the following calendar year. 2 U.S.c. § 434(a)(2)(B) and 

11 C.F.R. § 104.5(a)(l). All reports required to be filed by the principal campaign 

committee of a candidate for the office of U.S. Senator shall be filed with the Secretary of 

the Senate. 2 U.s.c. § 432(g)(l) and 11 C.F.R. § 105.2. Reports sent by certified or 

registered mail, Priority or Express Mail with delivery confirmation, or by an overnight 

delivery service with an on-line tracking system must be postmarked or deposited with 

the mailing service no later than January 31 to be timely filed. Reports sent by first class 

mail must be received by the close of business on the filing date to be timely filed. 

2 U.S.c. § 434(a)(5), and 11 C.F.R. §§ 100.19(b) and 104.5(e). The treasurer shall be 

personally responsible for the timely and complete filing of reports as well as the 

accuracy of the information they contain. 11 C.F.R. § 104.14(d). 

Respondents' Challenge and Analysis 

On April 26, 2010, the Commission received the written response ("challenge") 

from the Treasurer who is challenging both the RTB finding and penalty. He asks the 

Commission to reconsider the fine because they have no prior penalties. The challenge 

focuses on three points: 

1 

Exhibit A, p. 2 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 4 of 57
•	 the filing of the Year End Report was dependent on amendments 

requested by the Commission for earlier reports that impacted the Year 

End Report, and thus, the report was effectively not due on January 31; 

•	 the Commission improperly calculated the penalty; and 

•	 they used best efforts to file timely but were prevented from doing so by a 

reasonably unforeseen circumstance: the Candidate had to calculate his 

2009 tax liability. Since the campaign was funded solely by candidate 

loans, they could not file the report until the Candidate determined the 

total amount of loans owed to the Committee. He made this determination 

on April 15 and the report was filed the next day. 

The respondents were notified of the report's due date before and after the filing 

deadline. On December 28, 2009, the Commission sent the Prior Notice for the Year 

End Report to robinsonesq@aol.com, the email address listed on their Statement of 

Organization. On February 17, 2010, the Commission sent them a non-filer notice at 

their address of record. The Treasurer did not contact Commission staff about this 

notice. On April 14, the RAD Analyst left a message for the Treasurer about the 

returned RTB letter. When he called her back on April 15, he said he would file the 

report over the upcoming weekend. The Commission received the Year End Report on 

April 22, 2010, 81 days late. 

The Treasurer says that he had to amend prior reports before he could file the 

Year End Report and, therefore, it was not effectively due on January 31. The 

Commission's records show that only one Request for Additional Information ("RFAI") 

was sent to them before January 31. That request referenced the 2009 October Quarterly 

Report and was sent January 7, more than 3 weeks before the Year End Report was due. 

While the Treasurer may have been preparing an amended October Quarterly Report to 

comply with the RFAI's February 11 response date, this did not void his responsibility to 

file the Year End Report on time. There is no provision in the Act to extend a report's 

due date to provide more time for the treasurer to respond to an RFAI about a prior 

report. The RFAIs for the other reports were sent on February 23 and March 23, after 

the Year End filing deadline, and did not prevent the timely filing of the report. 

There are four criteria used to calculate the amount of the civil money penalty. 

11 C.F.R. § 111.43. They are: the election sensitivity of a report, the level of activity on 

the late report, the number of days late, and the number of prior violations. The Year 

End Report is not an election sensitive report and the respondents have no prior 

violations. They did not file the Year End Report before the RTB finding, so an 

estimated level of activity ($187,418) was used to calculate the fine. 

11 C.F.R § 111.43(a) and (d)(2)(i). Using the schedule of penalties at 

11 C.F.R § 111.43(a) and the level of activity bracket of $150,000 - $199,999.99, the 

civil money penalty is $6,050 x [1 + (.25 x 0)] or $6,050. Therefore, the fine was 

properly calculated at the time of the RTB finding. 

The respondents assert they used best efforts to file on time, but were prevented 

by the unreasonably unforeseen circumstance that the Candidate had to calculate his 2009 

2
 

Exhibit A, p. 3 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 5 of 57
tax liability before the report could be filed. The best efforts defense, under which the 

Commission may decide that no violation occurred because the respondents used their 

best efforts to file on time, is a two part test. 11 C.F.R. § 111.35(b)(3) and (c). 

The first part consists of the respondents demonstrating that they were prevented 

from filing on time by reasonably unforeseen circumstances that were beyond their 

control. With respect to this defense, the Commission states in its Explanation and 

Justification that the respondent bears the burden of showing that the reasonably 

unforeseen circum~tances in fact prevented the timely and proper filing of the required 

report. The Commission has decided that this rule requires a strict causal relationship 

between the circumstances described in the challenge and the respondent's inability to 

timely file the report. For the second part of the test, the respondents must show that the 

report was properly filed within 24 hours after the resolution of the circumstances that 

prevented the report's timely filing. 

Treasurers have several recordkeeping and reporting responsibilities. In addition 

to filing accurate and complete reports on time, the treasurer must report loans made, 

guaranteed or endorsed by the candidate to his authorized committee including those 

derived from a bank loan to the candidate or from an advance on the candidate's 

brokerage account, credit card, home equity line of credit or other lines of credit. 

11 C.F.R. § 104.3(a)(3)(vii)(B). 

Mr. Robinson is not only the Treasurer and Candidate, but he is also the 

Custodian of Records. Consequently, he had access to both his personal records and the 

Committee's records and could have calculated the total amount of loans he contributed 

to the campaign at any time. The October Quarterly Report was received October 20 and 

discloses loans from the Candidate of $52,357. The 12 Day Pre-Primary/Pre-Special 

Report was received December 1 and discloses loans from the Candidate of $136,000. 

Both reports cover activity for 2009 and yet the respondents were able to prepare and file 

them without waiting for the Candidate to calculate his tax liability. 

The respondents filed 48-Hour Notices on December 1 and 4 that list a total of 

$365,000 received by the Committee from the Candidate. That amount represents 97% 

of the total amount of candidate loans disclosed on the Year End Report. The 

respondents, therefore, knew about and had reported almost all of the candidate loans 

received during the Year End reporting period almost two months before the report was 

due. It is unclear why Mr. Robinson thought he needed to wait until his 2009 taxes were 

prepared before he could file the Year End Report. The respondents failed to prove that 

the Candidate's need to prepare his taxes prevented them from filing the Year End Report 

on time. Therefore, the respondents do not meet the first part of the test and their "best 

efforts" defense does not succeed. 

Their challenge fails to address any of the three valid grounds at 

11 C.F.R § 111.35(b). These are: (i) the RTB finding is based on factual errors; and/or 

(ii) the improper calculation of the civil money penalty; and/or (iii) they used best efforts 

to file on time but were prevented from doing so by reasonably unforeseen circumstances 

3
 

Exhibit A, p. 4 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 6 of 57
that were beyond their control and they filed the report no later than 24 hours after the 

end ofthese circumstances. 

Therefore, the Reviewing Officer recommends that the Commission make a final 

determination that the respondents violated 2 U.S.C. § 434(a) and assess a civil money 

penalty of $6,050. 

OAR Recommendations 

(l) Adopt the Reviewing Officer recommendation for AF# 2122 involving the Robinson 

Committee, LLC and Jack E. Robinson, in his official capacity as Treasurer, in 

making the final determination; 

(2) Make a final determination in AF# 2122 that the Robinson Committee, LLC and Jack 

E. Robinson, in his official capacity as Treasurer, violated 2 U.S.c. § 434(a) and 

assess a civil money penalty of $6,050; and 

(3) Send the appropriate letter. 

Reviewing Analyst: Jill I. Sugarman 

Attachments 

Attachment 1 - Challenge Received from Respondents 

Attachment 2 - Declaration from RAD, Telecoms, Returned Envelope, 

and Fax Transmittal Sheet 

Attachment 3 - Declaration from OAR 

4
 

Exhibit A, p. 5 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 7 of 57
FEe OFF\CE OF 

ADMIN REVIEW ;:.=.~

2OlO APR 2b A K): 5, JACK E. ROBINSON, ESQ. 

P.O. Box 2587 

Duxbury, MA 02331 

RobinsonEsq@aol.com 

781-934-6755 

April 16,2010 

Office of Administrative Review 

Federal Election Commission 

999 E Street, NW 

Washington, DC 20463 

C00355784 

AF#: 2122 

Dear Sirs: 

Pursuant to II C.F.R. § 111.35, Robinson Committee, LLC (the "Committee") hereby 

challenges the above-referenced alleged violation and proposed civil money penalty for the 

following reasons: 

(I) The Committee's filing of the 2009 Year-End Report (the "Report") was dependent 

upon amendments and clarifications requested by the Commission for earlier reports in 

2009 that, obviously, had an impact on the Report. Thus, the Report was effectively not 

due on January 31, 2010. 

(2) The Commission improperly calculated the proposed civil money penalty. 

(3) The Committee used best efforts to timely file the Report but was prevented from 

doing so due to the reasonably unforeseen circumstances that the Candidate could not file 

the Report unless and until he calculated his 2009 tax liability, which he did on April 15, 

20 IO. Within 24 hours thereafter, the Committee filed the subject report. Because the 

Committee's operations were entirely Candidate-funded through loans, the Committee was 

unable to file the report until the Candidate determined the total amount of loans 

outstanding to the Committee - which did not occur until late in the evening of the tax 

filing deadline of April 15, 20 IO. 

In light of the foregoing, and the fact that the Committee has no prior penalty history, the
 

Committee respectfully requests that the Commission not impose any penalty.
 

Sincerely, 

Exhibit A, p. 6 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 8 of 57
DECLARATION OF NATALlYA IOFFE 

1.	 I am the Chief of the Compliance Branch for the Reports Analysis Division of the 

Federal Election Commission ("(=ommission"). In my capacity as Chief of the 

Compliance Branch, I oversee t le initial processing of the Administrative Fine 

Program. I make this declaratioll based on my personal knowledge and, if called 

upon as a witness, could and would testify competently to the following matters. 

2.	 I hereby certify that documents identified herein are true and accurate copies of the 

following sent by the Commission to Robinson Committee, LLC: 

A) Prior Notice, dated De::ember 28, 2009, referencing the 2009 Year End 

Report (sent via electro lic mail to: robinsonesq@aol.com); 

B) Non-Filer Letter, dated February 17, 2010, referencing the 2009 Year End 

Report; 

C) Reason-to-Believe Letter, dated March 29, 2010, referencing the 2009 

Year End Report. 

3.	 I hereby certify that I have searched the Commission's public records and find that 

Robinson Committee, LLC filed he 2009 Year End Report with the Secretary of 

Senate on April 22, 20100 

4.	 Pursuant to 28 UoS.C. 1746, I dec are under penalty of perjury that the foregoing is 

true and correct and that all rele\ant telecoms for the matter have been provided. 

This declaration was executed at Washington, DoC. on the 28th day of April, 2010. 

#(;~#J#J/' Nataliya offe 

Chief, Compliance Branch 

Reports Analysis Division 

Federal Election Commission 

Exhibit A, p. 7 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 9 of 57
Congressional Committees 

Year-End Report Notice 

YEAR-END 

REPORT N()TICE 

FEDERAL ELECTION CO~1MISSION

CONGRESSIONAL CONIMITTEES December 28,2009
 

CURRENT REPORT DUE:
 

REPORTING DATES 

REPORT I 

Year-End 12/31/09 0l/31/l0 01131/107 l 

WHO MUST FILE 

Principal campaign committees of congressional candidates 1 (including unopposed candidates and 

candidates whose names do not appear on the ballot) must file a Year-End Report. :! Before a 

committee can stop filing with the FEC, it must file a tennina:ion report with the Commission. 

Committees must continue to file reports until the Commissicn notifies them in writing that their 

termination report has been accepted. See 11 eFR 102.3. 

SupplcmClIlal Filing Information i" aYaihlblc 011 page 2 of this notice. 

I A reportmg period always begins the day after the closing date of he last report filed. If the committee is new 

and has not previously filed a report, the first report must cover all lctivity that occurred before the committee 

registered up through the close of books for the first report due. 

2Notice that this filing deadline falls on a weekend. Filing deadline; are not extended when they fall on 

nonworking days. Accordingly, reports filed by methods other thar Registered, Certified or Ovemight Mail, or 

electronically, must be received before the Commission's (or for S'mate candidates, the Secretary of the 

Senate's) close of business on the last business day before the deaCline. 

3Generally, an individual becomes a candidate for federal office (and thus triggers registration and reporting 

obligations) when his or her campaign exceeds $5,000 in either contributions or expenditures. If the campaign has 

not crossed the $5,000 threshold, it is not required to file reports. See also 1I CFR 100.3(a). 

41f a candidate has more than one authorized committee, the principal campaign committee must also file a 

consolidated report on ['onn 3Z [PDF]. 

Page I 

Exhibit A, p. 8 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 10 of 57
Congressional Committees 

Year-End Report Notice 

SUPPLEMENTAL FILING INFORMATION 

PLEASE :\0'1'1-:: The Commission provides reminders ofuI'coming filing dates as a courtesy to help 

committees comply with the filing deadlines set forth in the Act and Commission regulations. 

Committee treasurers must comply with all applicable filing ceadlines established by law, and the lack 

of prior notice does not constitute an excuse for failing to comply with any filing deadline. 

METHODS OF FILING REPORTS 

Electronic Filing 

Reports filed electronically must be received and validated b) the Commission by 11 :59 p.m. Eastem 

Time on the filing deadline. 

• Web Page: Electronic Filing Page 

• Campaign Guide {iJr Congressional Candidales and ,~onllnillees (Candidale Guide), I){). 

82-84 [PDF] 

Paper Filing -- Meeting the Filing Deadline 

Paper report filing options - Registered, Certified or Ovemig: 1t or First Class Mail. 

• Web Page: Link to Paper Forms (for downloading aId printing) 

• ('lI/ulidale Guide, e. 8J [PDF] 

COMPLIANCE 

Treasurer Responsibility 

Committee treasurers are responsible for both the timeliness ,nd the accuracy of all reports. They may 

be subject to monetary penalties if reports are inaccurate or 31 e not filed on time. 

• Statement ofPo/icl' Regarding Treasun!/'s Subject to Enforcement Proceeding [PDF] 

• Candidate Guide, n. 7 [PDF] 

Administrative Fine Program 

Failure to file reports on time may be subject to civil money penalties up to $17,600 (or more for repeat 

late- or non-filers). ,'. 

• Web Page: Administrative Fine Program PaQe 

• Candidale Guide, pp. 8J-8:3 [PDF] 

2009 REPORTING SCHEDULE 

• Web Page: 2009 Reporting Dates Pa!Ac 

• The Record January 2009 issuc [PDF] 

• Candidate Guide. pn. 79-80 [PDF] 

DISCLOSURE OF LOBBYIST BUNDLING ACTIVITY 

Campaign committees must file FEC Fonll 3L [PDF] if they receive two or more bundled contributions 

from lobbyists/registrants or lobbyist/registrant PACs that ag gregate in excess of $16,000 during the 

reporting period (st:c pa!!c I of this notice), 

• The Record: March 2009 Issue [PDF] 

• Federal Register: 0lotice 2009-03 (February 17, 2022.l [PDF] 

5Penalties for late-or non-filing of 48-hour notices are based on th< amount of contributions not timely disclosed. 

As a result, these penalties may exceed $17,600, even for first-tim: violations. 

Page 2 

Exhibit A, p. 9 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 11 of 57
Congressional Committees 

Year-End Report Notice 

LOOKING AHEAD 10 2010 

REPORTING SCHEDULE FOR 2010 

. ".-,.. . 

.... ~i1tt.lti: 03/31/10 04/15/10 04/15/10 

06/30/10 07/15/10 07/15/10 

09/30/10 10/15/10 10/15/10 

10/13/10 1e/18/10 10/21/10 

Period: 10/14/10 - 10/3(1/10 ---- s~e info below ---­

11/22/10 12/02/10 12/02/10 

12/31/10 01131/11 01/31/11 

WHO MUST FILE 

Campaigns that raise or spend more than $5,000 for the 2010 dection cycle (and thus trigger registration 

and reporting requirements) must file quarterly reports throughout 2010, even if the candidate plans to 

retire, withdraws from the race prior to the primary election, loses the primary or drops out of the race 

prior to the general election. Before a committee can stop filing with the FEC, it must file a tennination 

report with the Commission. Committees must continue to filt reports until the Commission notifies 

them in writing that their tennination report has been acceptec. See \1 CFR 102.3. 

48 HOUR NOTICES ON CONTRIBUTIONS 

Notices are required if the committee receives any contributio 1 (including in-kind gifts or advances of 

goods or services; Loans from the candidate or other non-bani: sources; and guarantees or endorsements 

of ban!< loans to the candidate or committee) of$l,OOO or more per source, during the period less than 

20 days but more than 48 hours before any election in which the candidate is running. 

The notices, which may be filed using Fonn 6, must reach the appropriate federal and/or state filing 

office(s) within 48 hours of the committee's receipt of the cortribution(s). 

• Web Page: Electronic Filing Page 

• Link to Paper Form (, (PDF] (for downloading and pr nting); and FOnll 6 Instructions [PDF] 

PRE- AND POST-ELECTION REPORTS 

A committee whose candidate participates in a 2010 state prinary, nominating convention or runoff 

election - even if unopposed - must also file a pre-election re )ort 12 days prior to the primary, 

nominating convention or runoff. The campaign committee oj' a candidate who participates in the 

general election must file pre- and post-general election repor .s. 

• Web Page: 2010 Reporting; Dates Page 

• The Record January 2010 issue [PDF] - coming soon 

• Candidate Guide, p. 79-80 [PDF] 

FOR INFORMATION, CALL: (800) 424-9530 or (202) 694-1100
 

Page 3
 

Exhibit A, p. 10 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 12 of 57
.J 

February 17, 2010 FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 

RQ-7 

JACK E ROBINSON, TREASURER 

ROSINSON COMMITTEE LLC 

PO BOX 2587 

DUXBURY, MAo 02331 

IDENTIFICATION NUMBER: C00355784 

REFERENCE: YEAR-END REPORT 11/19/2009 - 12/31/2009 

DEAR TREASURER: 

IT HAS COME TO THE ATTENTION OF THE FEDERAL ELECTION COMMISSION THAT YOU MAY 

HAVE FAILED TO FILE THE ABOVE REFERENCED REPORT OF RECEIPTS AND EXPENDITURES AS 

REQUIRED BY THE FEDERAL ELECTION CAMPAIGN ACT, AS ;\MENDED. 

IT IS IMPORTANT THAT YOU FILE THIS REPORT IMMEDIATELY WITH THE FEDERAL ELECTION 

COMMISSION, 999 E STREET, N.W., WASHINGTON, D.C. 20463 FOR HOUSE CANDIDATES, OR THE 

SECRETARY OF THE SENATE, 232 HART SENATE OFFICE BUILDING, WASHINGTON, D.C. 20510 

(MAILING ADDRESS: OFFICE OF PUBLIC RECORDS, P.O. BOX 2517, ALEXANDRIA, VA 22301), 

FOR SENATE CANDIDATES. PLEASE NOTE THAT BLBCTRONIC FILERS MUST SUBMIT THEIR REPORTS 

ELECTRONICALLY, AS PER 11 CFR §104.18. A COPY OF 1HE REPORT MUST ALSO BE FILED WITH 

THE SECRETARY OF STATE OR EQUIVALENT STATE OFFICEn UNLESS THE STATE IS EXEMPT FROM 

THE FEDERAL REQUIREMENT TO RECEIVE AND MAINTAIN FAPER COPIES. YOU CAN VERIFY THE 

COMMISSION'S RECEIPT OF ANY DOCUMENTS SUBMITTEr BY YOUR COMMITTEE ON THE FEC 

WEBSITE AT WWW.FEC.GOV. 

THE FAILURE TO TIMELY FILE THIS REPORT MAY RESULT IN CIVIL MONEY PENALTIES, AN 

AUDIT OR LEGAL ENFORCEMENT ACTION. THE CIVIL HeNEY PENALTY CALCULATION FOR LATE 

REPORTS DOES NOT INCLUDE A GRACE PERIOD AND BEGJ NS ON THE DAY FOLLOWING THE DUE 

DATE FOR THE REPORT. DUE TO HEIGHTENED SECURITY SCREENING MEASURES, DELIVERY OF 

MAIL BY THE US POSTAL SERVICE MAY BE DELAYED. THE COMMISSION RECOMMENDS THAT YOU 

SUBMIT YOUR REPORT VIA OVERNIGHT DELIVERY OR COURII:R SERVICE. 

IF YOU HAVE ANY QUESTIONS REGARDING THIS ~TTER, PLEASE CONTACT CHRISTOPHER 

RITCHIE AT OUR TOLL FREE NUMBER (800) 424-9530. OUR DIRECT LOCAL NUMBER IS 

(202) 694-1130. 

SINCERELY, 

..p,p.,.,',:" C

PATRICIA CARMONA 

ASSISTANT STAFF DIRECTOR 

REPORTS ANALYSIS DIVISION (RAn) 

Exhibit A, p. 11 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 13 of 57
FEDERAL ELECTION COMMISSIO~J WASHINGTON, D.C. 20463 

March 29, 2010 

Jack E. Robinson as Treasurer 

Robinson Committee LLC 

P.O. Box 2587 

Duxbury, MA 02331 

C00355784 

AF#: 2122 

Dear Mr. Robinson: 

The Federal Election Campaign Act of 1971, as amended ("the Act"), requires that your 

committee file a Year End Report of Receipts and Disbursements every calendar year. This 

report, covering the period through December 31,2009, was due no later than January 31, 2010. 

2 U.S.c. § 434(a). Records at the Federal Election Commission ("FEC") indicate that this report 

was not filed within thirty (30) days of the due date. You should file this report if you have not 

already done so. 

The Act permits the FEC to impose civil money penalties for violations of the reporting 

requirements of 2 U.S.C. § 434(a). 2 V.S.c. § 437g(a)(4). On March 25,2010, the FEC found 

that there is reason to believe ("RTB") that Robinson Committee LLC and you, as treasurer, 

violated 2 V.S.c. § 434(a) by failing to file timely thi:; report on or before January 31, 2010. 

Based on the FEC's schedules of civil money penalties alii C.F.R. § 111.43, the amount of your 

civil money penalty calculated at the RTB stage is $6,OjO. Please see the attached copy of the 

Commission's administrative fine regulations at 11 C.F.R. §§ 111.30-11.46. Attachment 1. The 

Commission's website contains further information about how the administrative fine program 

works and how the fines are calculated. See http://www.fec.gov/afi.af.shtml. 11 C.F.R. § 111.34. 

Your payment of $6,050 is due within forty (40) days 0 f the finding, or by May 4, 201 0, and is 

based on these factors: 

Sensitivity ofReport: Not Election Sensitive 

Level of Activity: $187,418 

Number of Days Late: Not Filed 

Number of Previous Civil Money Penalties Assessed: ° 

At this juncture, the following courses of action a"e available to you: 

1. IfYou Choose to Challenge the RTB Finding and/or Civil Money Penalty 

If you should decide to challenge the RTB findins and/or calculated civil money penalty, 

you must submit a written response, including the AF# found at the top of page 1 under your 

committee's identification number, to the FEC's Office (If Administrative Review, 999 E Street, 

Exhibit A, p. 12 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 14 of 57
Page 2 

NW, Washington, DC 20463. Your response must be received within forty (40) days of the 

Commission's RTB finding, or May 4, 2010. 11 C.F.R. § ll1.35(a). Your written response 

must include the reason(s) why you are challenging tIe RTB finding and/or calculated civil 

money penalty, and must include the factual basis slLpporting the reason(s) and supporting 

documentation. The FEC strongly encourages that d,)cuments be submitted in the form of 

affidavits or declarations. 11 C.F.R. § ll1.36(c). 

The FEC will only consider challenges that are based on at least one of three grounds: 

(1) a factual error in the RTB finding; (2) miscalculation of the calculated civil money penalty by 

the FEC; or (3) your demonstrated use of best efforts to file in a timely manner when prevented 

from doing so by reasonably unforeseen circumstances that were beyond your control. 11 C.F.R. 

§ Ill.35(b). In order for a challenge to be considered or the basis of best efforts, you must have 

filed the required report no later than 24 hours after tle end of these reasonably unforeseen 

circumstances. Id. Examples of circumstances that will be considered reasonably unforeseen 

and beyond your control include, but are not limited to, C) a failure of Commission computers or 

Commission-provided software despite your seeking lechnical assistance from Commission 

personnel and resources; (2) a widespread disruption of information transmissions over the 

Internet that is not caused by a failure of the Commissior 's or your computer systems or Internet 

service provider; and (3) severe weather or other disaster-related incident. 11 C.F.R. § 

111.35(c). Examples of circumstances that will not be considered reasonably unforeseen and 

beyond your control include, but are not limited to, (1) n,~gligence; (2) delays caused by vendors 

or contractors; (3) treasurer and staff illness, inexperience or unavailability; (4) committee 

computer, software, or Internet service provider failures; (5) failure to know filing dates; and (6) 

failure to use filing software properly. 11 C.F.R. § 111.3:;(d). 

The "failure to raise an argument in a timely fa~hion during the administrative process 

shall be deemed a waiver" of your right to present such a:'gument in a petition to the U.S. district 

court under 2 U.S.C. § 437g. 11 C.F.R. § 111.38. 

If you intend to be represented by counsel, plea;e advise the Office of Administrative 

Review. You should provide, in writing, the name, ajdress and telephone number of your 

counsel and authorize counsel to receive notifications and communications relating to this 

challenge and imposition of the calculated civil money pe lalty. 

2. IfYou Choose Not to Pay the Civil Money Penalty and Not to Submit a Challenge 

If you do not pay the calculated civil money pl:nalty and do not or submit a written 

response, the FEC will assume that the preceding factual allegations are true and make a final 

determination that Robinson Committee LLC and you as treasurer violated 2 U.S.c. § 434(a) and 

assess a civil money penalty. 

Unpaid civil money penalties assessed through tr e Administrative Fine regulations ~ill

be subject to the Debt Collection Act of 1982 ("DCA" I, as amended by the Debt Collect.IOn 

Improvement Act of 1996,31 U.S.C. § 3701 et seq. The FEC may take any and all appropnate 

action authorized and required by the DCA, as amelded, including transfer to the U.S. 

Department of the Treasury for collection. 11 C.F.R. § 111.45. 

Exhibit A, p. 13 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 15 of 57
Page 3 

3. If You Choose to Pay the Civil Money Penalty 

If you should decide to pay the calculated ci viI money penalty, send the enclosed 

remittance fonn, along with your payment, to the FEC at the address on page 4. Upon receipt of 

your payment, the FEC will send you a final detenninatic n letter. 

This matter was generated based on infonnatior ascertained by the FEC in the nonnal 

course of carrying out its supervisory responsibilities. 2 U.S.c. § 437g(a)(2). It will remain 

confidential in accordance with 2 U.S.c. § 437g(a)(4)(B) and 437g(a)(12)(A) until it is placed on 

the public record in accordance with 11 C.F.R. § lIlA!, unless you notify the FEC in writing 

that you wish the matter to be made public. 

As noted earlier, you may obtain additional information on the FEC's administrative fine 

program, including the final regulations, on the FEC's w ~bsite at http://www.fec.gov/af/afshtml. 

If you have questions regarding the payment of the :.:alculated civil money penalty, please 

contact Rhiannon Magruder in the Reports Analysis Di" ision at our toll free number (800) 424­

9530 (at the prompt press 5) or (202) 694-1130. If you have questions regarding the submission 

of a challenge, please contact the Office of Administrati ve Review at our toll free number (800) 

424-9530 (press 0, then ext. 1660) or (202) 694-1660. 

On behalf 0:- the Commission, 

Matthew S. Petersen 

Chainnan 

Exhibit A, p. 14 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 16 of 57
Page 4 

---------------------------------------_._--------------------------­

ADMINISTRATIVE FINE REMITTANCE & PAYMENT INSTRUCTIONS 

.. In accordance with the schedule of penalties at I I C.F.R. § 111.43, the amount of your 

cIvIl money penalty calculated at RTB is $6,050 for the 2009 Year-End Report. 

Please mail this remittance with a check or mo ley order made payable to the Federal 

Election Commission to the following address: 

Federal Election Commission 

P.O. Box 979058
 

St. Louis, MO 63197-9000
 

If you choose to send your remittance and payllent by courier or overnight delivery, 

please use this address: 

u.s. Bank - Government Lockbox
 

FEC #979058
 

1005 Convention Plaza
 

Attn: Government Lockbox, SL-MO-C2GL
 

St. Louis, MO 63101
 

The remittance and your payment are due by May 4, 2010. Upon receipt of your 

remittance and payment, the FEC will send you a final dt tennination letter. 

PAYMENTS BY PERSONAL CHECK 

Personal checks will be converted into electronic funds transfers (EFTS). Your account 

will be electronically debited for the amount on your (heck, usually within 24 hours, and the 

debit will appear on your regular statement. We will destroy your original check and keep a 

copy of it. In case the EFT cannot be processed for technical reasons, you authorize us to 

process the copy in lieu of the original check. Should the EFT not be completed because of 

insufficient funds, we may try to make the transfer twice. 

PLEASE DETACH AND RETURN THE PORTION BELOW WITH YOUR PAYMENT 

FOR: Robinson Committee LLC 

FEC ID#: C00355784 

AF#: 2122 

PAYMENT DUE DATE: May 4, 20 I0 

PAYMENT AMOUNT DUE: $6,050 

Exhibit A, p. 15 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 17 of 57
Federal Election Commission 

penalty shall not exceed the greater of 

SII.OOO or an amount equal to 200% of 

any contribution or expenditure involved in the violation. 

(il) Notwithstanding paragraph 

(a)(2)(i) of this section. in the case of a 

knowing and willful violation of 2 

U.S.c. 44 If. the civil penalty shall not 

be less than 300% of the amount of any 

contribution involved in the violation 

and shal1 not exceed the greater of 

$55.000 or 1.000% of the amount of any 

contribution involved in the Violation. 

(b) Any Commission member or employee. or any other person, who in violation of 2 U.S.C. 437g(a)(I2)(A) makes 

public any notification or investigation under 2 U.S.C. 437g without receiying the written consent of the person 

receiving such notification. or the person with respect to whom such investigation is made. shal1 be fined not 

more than $2.200. Any such member, 

employee, or other person who knowingly and willfuHy violates this provision shaH be fined not more than $6,500. 

[62 FR 11317. Mar. 12, 1997: 62 FR 18167. Apr. 

14, 1997: 65 FR 31794, May 19, 2000; 67 FR 76977, 

Dec. 13, 2002; 70 FR 34635. June 15. 2005] 

Subpart B-Administrative Fines 

SOURCE: 65 FR 31794, May 19, 2000. unless 

otherwise noted. 

§ 111.30 When will subpart B apply? 

Subpart B applies to violations of the 

reporting requirements of 2 U.S.C. 

434(a) committed by political committees and their treasurers that relate to 

the reporting periods that begin on or 

after July i4, :WOO and end on or before 

December 31. 2008. This subpart, however, does not apply to reports that 

were due between January I, 2004 and 

February 10, 2004 and that relate to reporting periods that begin and end between January I. 2004 and February 10, 

2004. 

[70 FR 75718. Dec. 21. 20051 

§ 111.31 Does this subpart replace sub· 

part A of this part for violations of 

the reporting requirements of 2 

U.S.C.434{a)7 

(a) No; §§ 111.1 through 111.8 and 111.20 

through 111.24 shall apply to all compliance matters. This SUbpart will 

§ 111.32 

apply, rather than §§ 111.9 through 

IIl.I9, when the Commission, on the 

basis of information ascertained by the 

Commission in the normal course of 

carrying out its supervisory responsibilities. and when appropriate, determines that the compliance matter 

should be subject to this subpart. If the 

Commission determines that the Violation should not be subject to this subpart. then the violation wlll be subject 

to all sections of subpart A of this part. 

(b) Subpart B wil1 apply to compliance matters resulting from a complaint filed pursuant to 11 CFR 111.4 

through 111.7 if the complaint alleges a 

violation of 2 U.S.C. 434(a). If the complaint alleges violations of any other 

provision of any statute or regulation 

over which the Commission has jurisdiction, subpart A will apply to the alieged violations of these other prOVIsions. 

§ 111.32 How will the Commission no­ tify respondents of a reason to believe fmding and a proposed civil 

money penalty? 

If the Commission determines, by an 

affirmative vote of at least four (4) of 

its members, that it has reason to believe that a respondent has Violated 2 

U.S.C. 434(a) , the Chairman or ViceChairman shall notify such respondent 

of the Commission's finding. The written notification shall set forth the following: 

(a) The alleged factual and legal 

basis supporting the finding including 

the type of report that was due, the filing deadline. the actual date flied (if 

filed), and the number of days the report was late (if filed); 

(b) The applicable schedule of penalties; 

(c) The number of times the respondent has been assessed a civil money 

penalty under this subpart during the 

current two-year election cycle and the 

prior two-year election cycle; 

(d) The amount of the proposed civil 

money penalty based on the schedules 

of penalties set forth In 11 CFR llJ.43 

or 11 1.44; and 

(e) An explanation of the respondent's right to challenge both the reason 

to believe finding and the proposed 

civil money penalty. 

195 

Attaclunent 1 

Exhibit A, p. 16 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 18 of 57
§ 111.33 

§ 11 1.33 '\That are the respondent's 

choices upon receiving the reason to believe finding and the proposed 

civil money penalty? 

The respondent must either send payment in the amount of the proposed 

civil money penalty pursuant to II 

CFR 111.34 or submit a written response pursuant to II CFR 111.35. 

§ 11 1.34 If the respondent decides to 

pay the civil money penalty and not 

to challenge the reason to believe findin~, what should the respond. 

ent do'! 

(a) The respondent shall transmit 

payment in the amount o'f the civil 

money penalty to the Commission 

within forty (40) days of the Commission's reason to believe finding. 

(b) Upon receipt of the respondent's 

payment, the Commission shall send 

the respondent a final determination 

that the respondent has violated the 

statute or regulations and the amount 

of the civil money penalty and an acknowledgment of the respondent's payment. 

§ 111.35 If the respondent decides to 

challenge the alleged violation or proposed civil money penalty, what 

should the respondent do? 

(a) To challenge a reason to believe 

finding or proposed civil money penalty, the respondent must submit a 

written response to the Commission 

within forty (40) days of the Commission's reason to believe finding. 

(b) The respondent's written response 

must assert at least one of the follOWing grounds for challenging the reason to believe finding or proposed civil 

money penalty: 

(1) The Commission's reason to believe finding Is based on a factual error 

Including, but not limited to, the committee was not reqUired to file the report, or the committee timely filed the 

report In accordance with il CFR 

100.19; 

(2) The Commission Improperly calculated the civil money penalty: or 

(3) The respondent used best efforts 

to file In a timely manner In that: 

(1) The respondent was prevented 

from filing In a timely marmer by reasonably unforeseen circumstances that 

were beyond the control of the respondent;and 

11 CFR Ch. I (1-1-08 Edition) 

(ii) The respondent filed no later 

than 24 hours after the end of these circumstances. 

(c) Circumstances that will be considered reasonably unforeseen and beyond the control of respondent include, 

but are not limited to: 

(I) A failure of Commission computers or Commission-provided software despite the respondent seeking 

technical assistance from Commission 

personnel and resources; 

(2) A widespread disruption of information transmissions over the Internet 

not caused by any failure of the Commission's or respondent's computer 

systems or Internet service provider; 

and 

(3) Severe weather or other disasterrelated incident. 

(d) Circumstances that will not be 

considered reasonably unforeseen and 

beyond the control of respondent include, but are not limited to: 

(l) Negligence; 

(2) Delays caused by committee vendors or contractors; 

(3) Illness, Inexperience, or unavailability of the treasurer or other staff; 

(4) Committee computer, software or 

Internet service provider failures; 

(5) A committee's fallure,to know filIng dates; and 

(6) A committee's failure to use filing 

software properly. 

(e) R~pondent's written response 

must detail the factual basis supporting Its challenge and Include supporting documentation. 

(72 FR 14667, Mar. 29, 20071 

§ 111.86 Who will review the respond. 

ent's written response? 

(a) A reViewing officer shall review 

the respondent's written response. The 

reViewing officer shall be a person who 

has not been Involved In the reason to 

believe finding. 

(b) The reviewing officer shall review 

the reason to believe finding with supporting documentation and the respondent's written response with supporting documentation. The reviewing 

officer may request supplemental Information from the respondent andlor 

the Commission staff. The respondent 

shall submit the supplemental Information to the reViewing officer within 

196 

Attachment 1 

Exhibit A, p. 17 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 19 of 57
Federal Election Commission 

a time specified by the reviewing officer. The reviewing officer will be entitled to draw an adverse inference from 

the failure by the respondent to submit 

the supplemental information. 

(cl All documents required to be submitted by the respondents pursuant to 

this section and § 111.35 should be submitted in the form of affidavits or declarations. 

(d) If the Commission staff, after the 

respondent files a written response pursuant to § 111.35, forwards any additional documents pertaining to the 

matter to the reviewing officer for his 

or her examination, the reviewing officer shall also furnish a copy of the document(s) to the respondents. 

(e) Upon completion of the review, 

the reviewing officer shall forward a 

written recommendation to the Commission along with all documents required under this section and II CFR 

111.32 and 1l1.35. 

(f) The reviewing office shall also forward a copy of the recommendation to 

the respondent. The respondent may 

file with the Commission Secretary a 

written response to the recommendation within ten (lO) days of transmittal 

of the recommendation. This response 

may not raise any arguments not 

raised in the respondent's original 

written response or not directly responsive tOo the reviewing officer's recommendation, 

§ 111.87 What will the Commission do once it receives the respondent's 

written response and the reviewing 

officer's recommendation? 

(a) If the Commlsslbn, after having 

found reason to believe and after- revieWing the respondent's written response and the reviewing officer's recommendation, determines by an affirmative vote of at least four (4) of its 

members, that the respondent has violated 2 U.S.C. 434(a) and the amount of 

the civil money penalty, the Commission shall authorize the reviewing officer to notify the respondent by letter 

of Its final determination, 

(b) If the Commission, after reviewIng the reason to believe finding, the 

respondent's written response, and the 

reviewing officer's written recommendation, determines by an affirmative vote of at least four (4) of Its 

§ 111.39 

members, that no violation has occurred (either because the Commission 

had based its reason to believe finding 

on a factual error or because the respondent used best efforts to file in a 

timely manner) or otherwise terminates its proceedings, the Commission 

shall authorize the reviewing officer to 

notify the respondent by letter of its 

final determination. 

(c) The Commission will modify the 

proposed civil money penalty only if 

the respondent is able to demonstrate 

that the amount of the proposed civil 

money penalty was calculated on an incorrect basis. 

(d) When the Commission makes a 

final determination under this section, 

the statement of reasons for the Commission action will, unless otherwise 

indicated by the Commission, consist 

of the reasons prOVided by the reviewing officer for the recommendation, if 

approved by the Commission, although 

statements setting forth additional or 

different reasons may also be Issued. If 

the reviewing officer's recommendation Is modified or not approved, the 

Commission will Indicate the grounds 

for its action and one or more statements of reasons may be Issued, 

[65 FR 31794, May 19, 2000, as amended at 72 

FR 14668, Mar. 29, 2007] 

§ 111.38 Can the respondent appeal the 

Commission's final determination? 

Yes; within thirty (30) days of receipt 

of the Commission's final determination under II CFR 111.37; the respondent may submit a written petition to 

the district court of the United States 

for the district In which the respondent 

resldes._or transacts business, requestIng that the final determination be 

modified or set aside, The respondent's 

failure to raise an argument In a timely fashion during the administrative 

process shall be deemed a waiver of the 

respondent's right to present such argument In a petition to the district 

court under 2 U.S.C. 437g, 

§ 111.89 When must the respondent 

pay the civil money penalty? 

(a) If the respondent does not submit 

a written petition to the district court 

of the United States, the respondent 

must remit payment of the civil money 

197 

Attachment 1 

Exhibit A, p. 18 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 20 of 57
§ 111.40 

penalty within thirty (30) days of receipt of the Commission's final determination under II CFR 111.37. 

(b) If the respondent submits a written petition to the district court of the 

United States and. upon the final disposition of the civil action. is required 

to pay a civil money penalty. the respondent shall remit payment of the 

civil money penalty to the Commission 

within thirty (30) days of the final disposition of the civil action. The final 

disposition may consist of a judicial 

decision which is not reviewed by a 

higher court. 

(c) Failure to pay the civil money 

penalty may result in the commencement of collection action under 31 

U.S.C. 3701 et seq. (1996). or a civil suit 

pursuant to 2 U.S.C. 437g(a)(6)(A). or 

any other legal action deemed nec­ essary by the Commission. 

§ 111.40 What happens if the respond. 

ent does not pay the civil money 

penalty pursuant to 11 CFR 111.34 

and does not submit a written reo sponse to the reason to believe find· 

ing pursuant to 11 CFR 111.35? 

(a) If the Commission. after the respondent has failed to pay the civil 

money penalty and has failed to submit 

a written response. determines by an 

affirmative vote of at least four (4) of 

Its members that the respondent has 

violated 2 U.S.C. 434(a) and determines 

the amount of the clvil money penalty. 

the respondent shall be notified by letter of its final determination. 

(b) The respondent shall transmit 

payment of the civil money penalty to 

the Commission within thirty (30) days 

of receipt of the Commission's f1hal determination. 

(c) Failure to pay the civil money 

penalty may result in the commencement of collection action under 31 

U.S.C. 370i et seq. (1996), or a civil suit 

pursuant to 2 U.S.C. 437g(a)(6)(A), or 

any other legal action deemed necessary by the Commission. 

§ 111.41 To whom should the civil 

money penalty payment be made 

payable? 

Payment of civIl money penalties 

shall be made In the form of n check or 

11 CFR Ch.1 (l-H)8 Edition) 

money order made payable to the Federal Election Commission. 

§ 111.42 Will the enforcement file be 

made available to the public? 

(a) Yes; the Commission shall make 

the enforcement file available to the 

public. 

(b) If neither the Commission nor the 

respondent commences a civil action. 

the Commission shall make the enforcement file available to the public 

pursuant to II CFR 4.4 (a)(3) . 

(c) If a civil action Is commenced. the 

Commission shall make the enforcement file available pursuant to 11 CFR 

1I1.20(c). 

§ 111.43 What are the schedules of pen· 

alties? 

(a) The civil money penalty for all 

reports that are flied late or not filed. 

except election sensitive reports and 

pre-election reports under II CFR 104.5. 

shall be calculated as follows: 

(I) For reports due before April 16. 

2003: 

(i) Level of actlvity means the total 

amount of receipts and disbursements 

for the period covered by the late report. If the report is not filed, the level 

of activity is the estimated level of activity as set forth in paragraph 

(a)(I)(i1) of this section. 

(i1) Estimated level of actlvity means 

total receipts and disbursements reported in the current two-year election 

cycle divided by the number of reports 

filed to date covering the activity in 

the current two-year election cycle. If 

the respondent has not filed a report 

covering activity In the current twoyear election cycle, estimated level of 

activity means total receipts and disbursements reported in the prior twoyear election cycle divIded by the number of reports filed covering the activity In the prior two-year election cycle. 

(Iii) The civil money penalty shall be 

calculated in accordance with the following schedule: 

198 

Attachment 1 

Exhibit A, p. 19 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 21 of 57
Federal Elect/on Commission § 111.43 

If the level of activity in the report And the report was filed late, the avil money Or the report was not filed. the civil 

was: penalty is: money penalty is: 

$1-24.999.99+ . [$100 + ($25 x Number or days lale)) x (1 (25 x +$900 x (1 + (.25 x Number of preNumber of previous violatIons)]. '1ious violations)1 

$25.00Q-.49,999.99 . . 1$200 + ($50 x Number of days lale)) x (1 + (.25 $1800 x [I + (.25 x Number of prex Number of previous violations)J. vious violations)l 

$50.000-74,999.99 ... 1$300 + ($75 x Number of days lalell x [I + (.25 $2700 x [I + (.25 x Number of prex Number of previous violalions)}. vious vio\ations)) 

$75.000-99,999.99 . . [$400 + ($100 x Number of days lale)) x (1 + $3500 x [I + (.25 x Number of pre­

(.25 x Number of previous violations)l. viou$ violations)l 

$100.000-149.999.99 .. [$600 + ($125 x Number of days lale)) x II + $4500 x (1 + (.25 x Number of pre­

(.25 x Number of preVious violations)!. vious violations)! 

$150.000-199.999.99 [$800 + ($150 x Number of days lale)) x [I + $5500 x (I + (.25 x Number of pre­

(.25 x Number of preVious violations)). vious violations)J 

$200.000-249,999.99 [$1.000 + ($175 x Number of days lale)) x [I + $6500 x [1 + (.25 x Number of pre­

(.25 )( Number of preVious vkJlations)J. vious violations)) 

$250.000-349,999.99 [$1500 + ($200 x Number of days late)) x [I + $8000 x (I + (.25 x Number of pre­

(.25 )( Number of previous violations»). vious violations)] 

$350.00Q-.449,999.99 [$2000 + ($200 x Number of days lalell x [I + $9000 x (1 + (.25 x Number of pre­

(.25 )( Number of previous vk>fations»). vious violalions)] 

$450,000-549,999.99 [$2500 + ($200 x Number of days lalel! x (1 + $9500 x (' + (.25 x Number of pre­

(.25 )( Number of previous Violations»). vious violations)) 

$550,l>OO-O49.999.99 [$3000 + ($200 x Number of days lalell x [1 + $10.000 x [I + (.25 x Number of 

(.25 )( NlK11ber of previous violations»). previous violations)) 

$650.000-749.999.99 [$3500 + ($200 x Number of days lalell x [I + $10,500 x [I + (.25 x Number of 

(.25 )( Number of previous violations)). previous violations)J 

$750.000-849.999.99 [$4000 + ($200 x Number or days lalell x [I + $11.000 x [1 + (.25 x Number of 

(.25 )( Number of previous violalions)J. previous violations)J 

$850.000-949.999.99 [$4500 + ($200 x Number or days lale)) x (1 + $11.500 x (I + (.25 x Number of 

(.25 )( Number of previous violations». previous violations)] 

$950,000 or over [$5000 + ($200 x NUmber of days late)) x [I + $12.000 x [1 + (.25 x Number of 

(.25 )( Number of preVious Violations)]. previous Violations») 

• The dv_ money penalty for • respondent Who does not have any prevIous violations WIll not ex~ed lhe level of actiVity in the 

report. 

(2) For reports due on or after April 

16. 2003: 

(i) Level ofactIvity means: 

(A) For an authorized committee. the 

total amount of receipts and disbursements for the period covered by the 

late report. If the report is not filed, 

the level of activity Is the estimated 

level of activity as set forth in paragraph (a)(2)(iI)(A) of this section. 

(8) For an unauthorized committee, 

the total amount of receipts and disbursements for the period covered by 

the late report minus the total of: 

transfers received from non-Federal account(s) as reported on Line 18(a) of 

FEe Form 3X and disbursements for 

the non-Federal share of operating expenditures attributable to allocated 

Federal/non-Federal activity as reported on Line 21(a)(lI) of FEC Form 3X 

for the period covered by the late report. If the report Is not filed. the level 

of actiVity is the estimated level of activity as set forth In paragraph 

(a)(2)(iI)(8) of this section. 

(il) estImated level ofactivity means: 

(A) For an authorized committee. 

total receipts and disbursements reported In the current two-year election 

cycle divided by the number of reports 

filed to date covering the activity In 

the current two-year election cycle. If 

the respondent has not filed a report 

covering actiVity in the current twoyear election cycle. estimated level of 

activity for an authorized committee 

means total receipts and disbursements 

reported In the prior two-year election 

cycle divided by the number of reports 

Hied covering the activity In the prior 

two-year electio.. cycle. 

(8)(1) For an unauthorized committee. estimated level of activity Is 

calculated as follows: [(Total receipts 

and disbursements reported In the current two-year cycle)-(Transfers received from non-Federal account(s) as 

reported on either Line 18(a) of FEC 

Form 3X or Line 18 of FEC Form 3X If 

before March I. 2003 + Disbursements 

for the non-Federal share of operating 

expenditures attributable to allocated 

Federal/non-Federal actiVity as Reported on Line 21(a)(lI) of FEC Form 

3X») + Number of reports filed to date 

covering the actiVity In the current 

two-year election cycle. 

199 

Attachment 1 

Exhibit A, p. 20 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 22 of 57
§ 111.43 

(2) If the unauthorized committee has 

not filed a report covering activity in 

the current two-year election cycle. 

the estimated level of activity is calculated as follows: [(Total receipts and 

disbursements reported in the prior 

two-year election cycle)-(Transfers received from non-Federal account(s) as 

reported on either Line 18(a) of FEC 

Form 3X or Line 18 of FEC Form 3X if 

before March I. 2003 + Disbursements 

11 CFR Ch. I (1-Hl8 Editionl 

for the non-Federal Share of operating 

expenditures attributable to allocated 

Federal/non-Federal activity as reported on Line 21(a)(ii) of FEC Form 

3X) J + Number of reports filed covering 

the activity in the prior two-year election cycle. 

(iii) The civil money penalty shall be 

calculated in accordance with the following schedule: 

If lI1e level of aclivily in lI1e report And the report was filed lale. the civil money Or the report was not r~ed. the civil 

was: penally is; money penally Is: 

$1-'1.999.99' [$25' ($5 x Number of days late») x [1 • (.25 x $250 x [1 • (.25 x Number of preNumber of previous violations)}. v10US violations») . 

$5.000-9.999.99 ($50' ($5 x Number of days late)1 x (1 • (.25 x $300 x (1 • (.25 x Number of praNumber of previous violations»). vious violations)) 

$10.000-24.999.99 [$100 • ($5 x Number of days Iate)J x (1 • (.25 x $500 x [1 • (.25 x Number of preNlMTlber of previous violationsll. vious violations)) 

$25,000-'19.999.99 [$200 • ($20 x Number of days late») x [1 • (.25 $900 x [1 • (.25 x Number of prex Number of previous violations)]. vious violations») 

$50,000-74.999.99 ($300. ($75 x Number of days latell x (1 • (.25 $2700 x [1 + (.25 x Number of prex Number of previous violalions»). vious violations)) 

$75.000--!l9,999.99 [$400 • ($100 x Number of days lalell x (1 + $3500 x (1 • (.25 x Number of pre­

(.25 x Number of previous Violations»). vious violations») 

$100.000-149.999.99 [$600 + ($125 x Number of days late)1 x (1' $4500 x [1 • (.25 x Number of pre­

(.25 x Number of previous violations»). vious violations)) 

$150.000-199.999.99 [$800' ($150 x Number of days late)) x (1' $5500 x (1 • (.25 x Number of pre­

(.25 )( Number of previous violations»). vious violations)l 

$200.000-249.999.99 [$1.000 + ($175 x N..-nber of days late)) x [1' $6500 x [1 + (.25)( Number of pre­

(.25 )( NlMTlber of previous vioIalions)). vious violations») 

$250.0Q0-.3.49.999.99 [$1500' ($200 x N..-nber of days Iale») x [1' $8000 x [1 • (.25 x N..-nber of pre­

(.25 x Number of previous Violations)). vious violations») 

$350.000-'149,999.99 ($2000' ($200 x Number of days Iale») )( [1' $9000 x [1 + (.25 )( Number of pre­

(.25 )( NlMTlber of previous violations»). vious violations») 

$450.000-549.999.99 [$2500' ($200 x Number of days late)) )( (1 + $9500 x [1 • (.25 )( N..-nber of pre­

(.25 )( Number of previous violations)). vious violations)) 

$550.~49.999.99 [$3000 + ($200 x Number of days late)) x (1 + 510.000)( (1 + (.25 x Number of 

(.25 x Number of previous violaUons)). previous violations») 

$650,000-749,999.99 [$3500' ($200 )( Number of days late)) x [1 + $10.500 x [1 + (.25 x Number of 

(.25)( N..-nber of previous violations»). previous violations)) 

$750.~49.999.99 [$4000' (5200 )( Number of days Iale») x (1' $11.000 x (1 + (.25 )( Number of 

(.25)( Number of previous vioIations)l. previous vioIations)J 

5850.~9.999.oo [$4500 + ($200 )( N..-nber of deys Iale») )( [1' 511.500)( [1 • (.25 )( Number of 

(.25 )( Number of previous violations)). previous violations)) 

$950.000 or ovar [$5000' ($200 )( Number of days Iatall )( (1' $12.000)( [1 • (.25 )( Number of 

(.25)( Number of previous vioIalions»). previous vioIationsll 

.•The eM money penany for • respondenl ....0 doss not have any previous Vlolajions wi. not exceed !he level of _divtty In lI1e report. . 

(b) The civil money penalty for elec­ (H) Estimated level of activity has the 

tion sensitive reports that are filed same meaning as paragraph (a)(l)(ii) of 

late or not filed shall be calculated as this section. 

follows: (HI) The civil money penalty shall be 

(I) For reports due before April 16. calculated in accordance with the fol2003: lowing schedule: 

(I) Level of activity has the same 

meaning as paragraph (a)(l)(l) of this 

section. 

It !he level of _clMty In !he report And !he report was riled late, \he dvH money Or Ihe report was not fled. !he civil 

was: pen-tty Is: money penatty Is:

$1-24,999.99' ..._............................... [$150' ($25 )( Number of days latell x (1 • (.25 $1000)( (1 • (.25 )( Number of pre­

)( Number of pnavious violations»). vious violations)] 

200 

Attachment 1 

Exhibit A, p. 21 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 23 of 57
Federal Election Commission § \\\.43 

If Itle level of 8cliYJty in the report And the report was filed late. the civil money Or the report was not filed. the civil 

was: penalty Is: money penalty is' 

$25,000-49,999.99 . [$300 + ($50 x Number or days lale)) x 11 + (.25 $2000 x [I + (.25 < Number or pre· 

)( Number o( previous violations)J. vious violations)) 

$50,000-74,999.99 . ($450 + ($75 x Number of days lale)) < 11 + (.25 $3000 < 11 + (.25 K Number or pre· 

)( Number of previous violations»)_ vious violations)) 

$75,000-99.999.99 .. [$600 + ($100 < Number 01 days lale)) x [1 + $4000 < [I + (.25 < Number of pre· 

(.25)( Number of previous oolations»). vious violaUons)) 

$1oo.00G-149.999.99 [$900 + ($125 < Number 01 days lale)] < [I + $5000 x [I + (.25 < Number or pre· 

(.25 x NlJ<T1ber of previous vioIationsll. vious violalions)) 

$15O.00G-199.999.99 . [$1200 + ($150 < Number of days lalell < [1 + $6000 < [1 + (.25 < Number 01 pre· 

(.25 )( Number of previous violations)]. vious violalions)) 

$200.00G-249.999.99 [$1500 + ($175 < Number of days Ialel] < [1 + $7500 < (1 + (.25 < Number of pre· 

(.25 x Number of previous violations}J. v10US v1olations)) 

$250.000-349.999.99 ($2250 + ($200 < Number of days late)) < (I + $9000 < [1 + (.25 x Number or pre· 

(.25 x Number of previous violations)). vious violations II 

$350.00<1-449.999.99 ($3000 + ($200 x Number of days late)) x [1 + $10.000 < [I + (.25 < Number or 

(25 x Number of previous violations)). previous Violations)) 

$450.ooG-549.999.99 [$3750 + ($200 < Number or days lalel] x [I + $11.000 x (I + (.25 x Number or 

(.25 < NlJ<T1ber or previous violalions»). previous violalions)] 

$550.00Q-649.999.99 [$4500 + ($200 x Number or days lale») < II + $12.000 < II + (.25 < Number 01 

(.25 )( Number of previous violations)]. previous violations)] 

$650.000-749.999.99 ($5250 • ($200 x Number of days lale)) < (I + $13.000 < 'I + (.25 < Number or 

(.25 x Number or previous violalions)). previous violalions)) 

$750.00~49.999.99 . [$6000 + ($200 x Number or days late») x [1 + $14.000 < II + (.25 x Number or 

(.25 x NlJ<T1ber or previous violalions)l. previous violationsll 

$850.00Q-949.999.99 . [$6750 + ($200 x Number of days Iale)1 x [I + $15.000 x [I + (.25 < Number of 

(.25)( Number or previous violations)). previous violations)) 

$950.0000< over [$7500 + ($200 x Number or days Iale») " II + $16.000 x [I + (.25 x Number or 

(.25 x Number or previous violalions)]. previous violalions)] 

• The c;jvif money penalty ror a respondent who does not have any preV10us vlolatJons "",II not exceed the Ie"el of actiVIty In the 

report. 

(2) For reports due on or after April (il) Estimated level of activity has the 

16, 2003: same meaning as paragraph (a)(2)(il) of 

(i) Level of activity has the same this section. 

meaning as paragraph (a) (2) (I) of this (III) The civil money penalty shall be 

section. calculated in accordance with the fol· 

lOWing schedule: 

IIlhe level or IlClivity In lhe report Aild lhe report was r~ed Iale. the civil money was: penalty is: 

$1-$4.999.99' 

$5.00G-S9.999.99 

$10.000-24.999.99 

$25.()()()...<49.999.99 

$50.000-74,999.99 

$75.()()()...99.999.99 

$100.000-149,999.99 

$150.000-199.999.99 

$200.000-249.999.99 

$250.00Q-349.999.99 ......_................. 

$350.()()()...<449,999.99 

$450.Q00-S49,999.99 

$550.~49.999.99

$650,000-749,999.99 _... 

($50. ($10 x NlM11ber or days late»)" [1 + (.25 x 

Number 0( previous violations»). 

[$100. ($10 x Number or days late)J "1' + (.25 

" Nl.mber of previous violations)). 

($150 • ($10 x Number 0( days late)) x (1 • (.25 

x Number of previous violations)). 

($300. ($25 x Number or days lale)) x (1 • (.25 

x Number of previous mlalions)!. 

($450. ($75 x Number or days Iale)) x (1 • (.25 

" Number of previous violations)). 

($600. ($100 x Number of days Iale)) " (1 • 

(25 x NlI11ber 01 previous violations)). 

($900. ($125 " Number of days Iale)1 < II • 

(.25 x NlI11ber or previous violations»). 

($1200. ($150 x Number of days Iale») " [1 + 

(.25 x NlI11ber 01 previous violations»). 

[$1500. ($175 x Number or days Iale») " (1 • 

(.25 x NlI11ber 01 previous vIoIaU0n4)). 

[$2250. ($200 " Number 0( days late)] x (1 • 

(.25 x NlI11ber of pre\'lous vIoIaU0n4)). 

[$3000. ($200 " Number 01 days Iale)) < [1 • 

(25 x NlI11ber of prlWious vioIaU0n4»). 

[$3750. ($200 " Number or days late)) ,,(1 • 

(25 x NlI11ber or pre\'lou. violations)). 

($4500' ($200 x Number or days Iale)) x [1 • 

(.25 x NlI11ber 01 previous vIoIations)l· 

[$5250. ($200 " Number of days Iale)] x [1 • 

(.25 " NlI11ber or previous vIoIations)l· 

201 

Attachment 1 

Or the report was not r~ed. the civil money penalty is; 

$500 ,,[1 + (.25 " Number or pre· 

vious violations)). 

$600 "[1 + (.25 " Number 01 previous violations)). 

$900 x (I • (.25 x Number or previ""s violations)). 

$1,400 x [1 + (.25 x Number or previous violations)). 

$3000 x II • (25 " Number of pre· 

\'lous violations)). 

$4000 " [1 • (25 " Number or previous violations»). 

$5000 " (1 • (25 " Number or previous violations)]. 

$6000 x [1 • (.25 x Number 01 previous violations)]. 

$7500 x (1 + (.25 " Number 01 pre­

\'lous \'loIations)). 

$9000 x (1 + (.25 " Number or pre­

\'lou. violations)). 

$10.000 x [1 • (.25 x Number 0( 

previous vIoIations)J. 

$11.000 x (1 • (.25 x Number 01 

previous vloIations)). 

$12,000 x (I • (.25 x Number 01 

p<eYious vloIalions»). 

$13,000 x II • (.25 x Number 01 

previous vIoIations)l. 

Exhibit A, p. 22 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 24 of 57
§111.44 11 CFR Ch. I (1-1-08 Edition) 

If the "evel of activity in the report And the report was Ned late, lhe civil money Or the report wu not filed. Ole civil was: peoalty is: money penalty is: 

S750,OOO-S49,999.99 ".. " 

$850.000-949.999.99 .__ . 

S950,ooo or over __ . 

($6000 + ($200 Number or days Iatell (1 

(,25 Number of previous violationsll. 

[$6750 + ($200 Number of days 'ale)1 • [1 

(.25 x Number of previous violations)). 

[$7500 + ($200 Number of days lalell • [1 

(25 )( Number of ,nevious violations)). 

+ 

+ 

+ 

$14,000 (1 + (.25 x Number of 

previous vioiations)l. 

$15,000 • (1 + (.25 x Number of 

previous violations»). 

$16.000 [1 + (.25 Number of 

previous violations)). 

• The civil money penally for 8 respondent who does not have Bny previous violations will not exceed the level of activity in the 

report. 

(c) If the respondent fails to file a required report and the Commission cannot calculate the level of activity 

under paragraph (d) of this section, 

then the civil money penalty shall be 

$5,500. 

(d) Definitions, For this section only, 

the following definitions will apply: 

Election Sensitive Reports means third 

quarter reports due on October 15th before the general election (for all committees required to file this report except committees of candidates who do 

not participate In that general election): monthly reports due October 

\20th before the general election (for all 

committees required to file this report 

except committees of candidates who 

do not participate In that general elect1on); and pre-election reports for primary. general. and special elections 

under 11 CFR 104.5, 

Number ofprevious violations mean all 

prior final civil money penalties assessed under this sUbpart during the 

current two-year election cycle and the 

prior two-year election cycle. 

(e) For purposes of the schedules of 

penalties In paragraphs (a) and (b) of 

this section, 

(1) Reports that are not election sensitive reports are considered to be filed 

late If they are flied after their due 

dates but within thirty (30) days of 

their due dates. These reports are considered to be not flied If they are filed 

after thirty (30) days of their due dates 

or not flied at all. 

(2) Election sensitive reports are considered to be filed late If they are flied 

after their due dates but prior to four 

(4) days before the primary election for 

pre-primary reports. prior to four (4) 

days before the speclal election for prespecial election reports, or prior to 

four (4) days before the general election for all other election sensitive reports. These reports are considered to 

be not filed if they are not filed prior 

to four (4) days before the primary 

election for pre-primary reports. prior 

to four (4) days before the special election for pre-special election reports or 

prior to four (4) days before the general 

election for all other election sensitive 

reports. 

(65 FR 31794, May 19, 2000, as amended at 68 

FR 12577. Mar, 17, 2003: 70 FR 34636, June IS, 

20051 

§ 111.44 What is the schedule of pen· 

alties for 48·hour notices that are not filed or are filed late? 

(a) If the respondent fails to file 

timely a notice regarding contrlbution(s) received after the 20th day but 

more than 48 hours before the election 

as required under 2 U.S,C. 434(a)(6). the 

civil money penalty will be calculated 

as follows: 

(I) Civil money penalty; SilO + (.10 x 

amount of the contribution(s) not 

timely reported). 

(2) The civil money penalty calculated In paragraph (a) (I) of this section shall be Increased by twenty-five 

percent (25%) for each prior violation. 

(b) For purposes of this section. prior 

violation means a civil money penalty 

that has been assessed against the respondent under this subpart In the current two-year election cycle or the 

prior two-year election cycle. 

[65 FR 31794, May 19, 2000, as amended at 70 

FR 34636, June IS, 2005) 

§ 111.45 What actions will be taken to 

collect unpaid civil money pen· 

alties? 

The Commission may take any and 

all appropriate collection actions authorized and required by the Debt Collection Act of 1982. as amended by the 

Debt Collection Improvement Act of 

1996 (31 U.S ,C. 3701 et. seq.). The U.S. 

202 

Attaclunent 1 

Exhibit A, p. 23 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 25 of 57
Federal Election Commission 

Department of the Treasury regulations at 31 CFR 285.2, 285.4, and 285.7 

and the Federal Claims Collection 

Standards issued jointly by the Department of Justice and the U.S. Department of the Treasury at 31 CFR parts 

900 through 904 also apply. 

[65 FR 31794, May 19, 2000, as amended at 68 

FR 12580, Mar. 17, 2003; 68 FR 16715, Apr. 7, 

20031 

§ 111.46 How will the respondent be 

notified of actions taken by the 

Commission and the reviewing offi· 

cer? 

If a statement designating counsel 

has been filed in accordance with II 

CFR II 1.23, all notifications and other 

communications to a respondent provided for in subpart B of this part will 

be sent to designated counsel. If a 

statement designating counsel has not 

been filed, all notifications and other 

communications to a respondent provided for in subpart B of this part will 

be sent to respondent polltical committee and its treasurer at the political committee's address as llsted in 

the most recent Statement of Organization, or amendment thereto. filed 

with the Commission in accordance 

with il CFR 102,2, 

[68 FR 12580, Mar. 17,2003] 

PART 112-ADVISORY OPINIONS (2 

U.S.C.4370 

Sec. 

112,I Requests for adVisory opinIons (2 

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

112.2 Publlc 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 advIsory opInions (2 U.S.C. 

437f (a) and (b». 

112.5	 Rellance on adVisory opinions (2 

U,S.C. 437f(c». 

112.6 Reconsideration of adVisory opinions. 

Atm-lORrN: 2 U.S.C. 437f. 438(a)(8). 

SOURCE: 45 FR 15123, Mar. 7. 1980. uniess 

otherwise noted. 

§ 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 

§ 112.2 

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 quallfy 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 Generai Counsel 

shall review all requests for adVisory 

opinions submitted under II CFR 112.1. 

If the Office of General Counsel determines that a request for an advisory 

opinion is incomplete or otherwise not 

qualified under II CFR 112.i, 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, 999 

E Street, NW., Washington. DC 20463. 

(0 Upon receipt by the Commission, 

each request which qualifies as an advisory opinion request (AOR) under II 

CFR 112.1 shall be assigned an AOR 

number for reference purposes. 

[45 FR 15123, Mar. 7. 1980, as amended at 50 

FR 50778. Dec. 12, 1985] 

§ 112.2 Public availability of requests 

(2 U.S.C. 487f(d». 

(a) Advisory opinion requests which 

qualify under II CFR li2.l shall be 

made public at the Commission 

promptly upon their receipt. 

(b) A copy of the original request and 

any supplements then~t.o, shall be 

available for public Inspection and purchase at the Public Disclosure Division 

of the Commission. 

203 

Attachment 1 

Exhibit A, p. 24 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 26 of 57
31345 

Rules and Regulations Federal Register

Vol 74. No. 125 

Wednesday. July 1, 2009 

This section of the FEDERAL REGISTER 

contains regulatory documents having general 

applicability and legal effect, most 01 which 

are keyed to and codified in the Code of 

Federal Regulations, which is published under 

50 titles pursuant to 44 U.S.C. 1510. 

The Code of Federal Regulations is sold by 

the Superintendent of Documents. Prices of 

new books are listed In the first FEDERAL 

REGISTER issue of each week. 

FEDERAL RETIREMENT THRIFT 

INVESTMENT BOARD 

5 CFR Part 1600 

Employee Contribution Elections and 

Contribution Allocations 

AGENCY: Federal Retirement Thrift 

Investment BOdrd 

ACTION: Interim final rule with request 

for comments 

SUMMARY: The Federal Retirement Thrift 

Investment Board (Agency) is 

announcing the effective date of its 

regulation published on June 19, 2009 

(74 FR 29111) pertaining to the timing 

of agency contributions. 

OATES: Effective Date: The /\gency's 

interim final rule published on June 19, 

2009 (74 FR 29111) took effect on June 

22, 2009 when President Obama signed 

HR 1256 (Pub. L. 111-31) which 

contained the Thrift Savings Plan 

Enhancement Act of 2009 (Act). 

FOR FURTHER INFORMATION CONTACT: 

Laurissa Stokes at (202) 942-1645. 

SUPPLEMENTARY INFORMATION: The Act 

provides that Agency Automatic (1 %) 

Contributions and Agency Matching 

Contributions shall commence 

immediately. The regulatory 

amendment is necessary because FRTIB 

regulations follow current law, which 

provides that Agency Automatic (1 %) 

Contributions and Agency Matching 

Contributions shall not commence until 

the equivalent of the second open 

season that begins after the employee 

commenced employment. The FRTIB is 

setting a August 1, 2009 effective date 

for this regulation to allow employing 

agencies sufficient time to make the 

necessary computer programming 

changes to implement it. The regulation 

took effect on June 22, 2009, and 

employing agencies must implement 

this change as soon as practicable but no 

later than the first ay period in August. 

Gregory T. Long, 

Executit·c Director. Fe feral Retirement Thrift 

Investment Board . 

[FR Doc. E9-15536 Fi ed 6-30-09; 8:45 ami 

BILLING CODE 676CHll-P 

FEDERAL ELECTI(IN COMMISSION 

11 CFR Part 111 

[Notice 2009--Q9j 

Civil Monetary Pen llties Inflation 

Adjustments 

AGENCY: Federal Ell ction Commission 

ACTION: Final rules. 

SUMMARY: In accord mce with the 

Federal Civil Penall ies [nOation 

Adjustment Act of' 990, as amended, 

the Federal Electiol Commission is 

adopting final rules to apply inflation 

adjustments to cerU in civil monetary 

penalties under the Federal Election 

Campaign Act of 1971, as amended 

("FECA"), the Presi :lential Election 

Campaign Fund Ac , and the 

Presidential Primar ! Matching Payment 

Account Act. The c vil penalties being 

adjusted are for cerlain violations of 

these statutes that a'e not knowing and 

Willful. involving c'lJ1tributions and 

expenditures; knov. ing and willful 

violations of the pn hibition against the 

making of a contrib Ilion in the name of 

another; knowing and willful violations 

of the confidentialit y provisions of 

FECA; certain pena ties for late filed or 

non-filed reports ur der the 

administrative finef program; and 

failure to file timel} 48-hour notices. 

The adjusted civil monetary penalties 

are calculated accoding to the formula 

set forth in the law ,md will be effective 

for violations occuring on or after the 

effective date of the ;e rules. Further 

information is prov: ded in the 

supplementary info 'malion that follows. 

OATES: Effective on uly 1. 2009.
 

FOR FURTHER INFORtlATION CONTACT: Mr.
 

Robert M. Knop, As ;istant General
 

Counsel, or Ms. Cheryl A.F. Hemsley, or
 

Ms. Jessica SelinkoE, Attorneys. 999 E
 

Street, NW., Washir gton, DC 20463,
 

(202) 694-1650 or (1:00) 424-9530. 

SUPPLEMENTARY INFC RMATlON: The 

Federal Civil Penalt es Inflation 

Atta chment 1 

l\djustment Act of 1990, as amended,' 

(the "lnOation Adjustment Act") 

requires Ferleral agencies to adjust for 

inflation the civil monetary penalties 

within their jurisdiction at least once 

even' four years according to detailed 

formulae. /\ civil monetary penalty 

("civil penalty") is defined in the 

Inflation .Adjustment c\ct as any penalty, 

fine, or other sanction that is for a 

specifiC amount, or has a maximum 

amount, as provided by Federal law, 

and IS assessed or enforced by an agenc\' 

in an administrative proceeding or by a 

Federal court pursuant to Federallaw,2 

Further. the InOation :\djustment Act 

contains a 10% penalty cap on the first 

adjustment of any civil penal tv. That is. 

the first adjustment made to the ci\'i1 

penalty mal' not exceerl 10% of the 

starting civil penaltv" Under the 

Federal Election Campaign :\ct of 1971 

(" FEC\ "), as amended. 2 U.S,c. 431 el 

seq., the Federal ElectlOn Commission 

("Commission") has jurisdiction over 

several civil penalties for respondents 

who violate FECA, the Presidential 

Election Campaign Fund Act, 26 USc. 

9001 et seq., or the Presidential Primary 

Matching Payment j\ccount Act, 26 

USc. 9031 et seq. ("chapters 95 and 96 

of Title 26"). These rules fulfill the 

Commission's non-discretionary 

obligation under the Inflation 

Adjustment Act to adjust for inflation, 

according to the prescribed formula, the 

civil monetary penalties ("civil 

penalties") within its jurisdiction, 

Immediate Effectiveness of Final Rule 

The Commission is required by 

statute to adjust the civil penalties 

under its jurisdiction by a Cost of Living 

Adjustment ("~OLA"J formula, This 

application of the COLA does not 

involve Commission discretion or any 

policy judgments. Thus, the 

Commission finds that the "good cause" 

exception to the notice and comment 

requirement in section 553 of the 

Administrative Procedures Act applies 

to these rules because notice and 

comment are unnecessary. 5 V,S.c. 

553(b)(B) and (d)(3), 

For the same reasons, these rules do 

not need to be submitted to the Speaker 

'26 U.S.c. 2461 note, as amended by Debt 

Collection Improvement Act of 1996, Public Law 

104-134,110 Stat. 1321-73. sec. 31001(5)(1) (1996); 

Public Law 105-362, 112 Sial. 3293 (1996). 

226 U.S.c. 2461 note (3)(2) 

) 28 U.s.c. 2461 nole (7). 

Exhibit A, p. 25 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 27 of 57
31346 Federal Register / Vol. 74, No. 125/ Wednesday, July 1, 2009/ Rules and Regulations 

of the House of Representatives or the 

President of the Senate under the 

Congressional Review Act, 5 USc. 801 

et seq .. and these rules are effective 

upon publication. 5 U.S.c. BOB(2). 

Accordingl)' these amendments are 

effective on July 1, 2009. The new civil 

penalties are applicable only to 

\'iolations that occur after this effective 

date 

Explanation and Justification 

Under the !nnation :\djustment Act. 

thR Commission must adjust civil 

pel1altios by Cl COL\ defined as the 

p\'rC\~lltagl' b\' which the U.S 

j)"parllI,unt of Labor's Consumer Price 

IndRx lor all urban consumers ("CP!") 

fur Jlllle (,f thR yoar preceding the 

adjllstlH"l1t exceeds the CPI for June of 

the \'ear 111 which each civil penalty was 

last s"t ur ddjllsted 4 The amount of the 

resllltll1g increase is then subject to 

roul1dlng rlllRs based on the size of the 

ci':J! !Jl'nalt\ ; The InflatIOn Adjustment 

:\et I 111Jl()SPS il 10"0 cap on the first 

adlllstnll3llt under its rules, but 110 cap 

011 subsuqlle:lt adjustments. 

The C(lInl1l1ssioll hri' pre\'iously 

applipd th,; Inflation :\djustment Act 

formulate 10 its civil penalties in 1997, 

2002, and 2005.6 As explained in more 

detail below, 1lle Commission has 

determined th it the Inflation 

A.djustment A :t now requires the 

Commission tl' adjust all civil penalties 

in 11 CFR 111 24 and some civil 

penalties in 11 CFR 111.43. The civil 

penalties in 11 CFR 111.44 will not 

change becaus) of the rounding rules. 

1. 11124-Civl Penalties (2 USC 

437g(aJ(5), (6), (12), 28 US.C 2461 nt.} 

FECA provic es for ci vii penalties for 

any person wh 1 violates any portion of 

FECA or chapt,rs 95 and 96 of Title 26 

FECA's civil p' nalties, found at 2 USC 

437[g)(a)(5), (6;. and (12), are organized 

into two tiers: One tier of civil penalties 

for violations 0' FECA or chapters 95 

and 96 of Title Z6, and a higher tier of 

civil penalties lJr "knowing and 

willful" violati<ll1s of FECA or chapters 

95 and 96 of Ti Ie 26. Commission 

regulations in s lction 111.24 set forth 

each civil penalty established by section 

437g(a)(5). (6)" nd (12), as adjusted 

pursuant to the [nflation A.djustment 

Act. 

Example 

The followin§ is a detailed example of 

the application ,f the Inflation 

Adjustment Act formulae to FECA civil 

penalties. The $5,000 civil penalties 

provided for in 2 USc. 437g[a)(5)(A), 

(G)(A). and (6)(B) are implemented by 

the regulations at 11 CFR 111.24(a)(1) at 

their 2005 level of $6.500. See 2005 

Adjustment. 70 FR at 34634; 1997 

Adjustment, 62 FR at 11316. To 

determine the 2009 adjustment, the CPI 

for June 2008 (218.B15) is divided by the 

CPI for June 2005. the year the civil 

penalty was last adjusted (194 5), for a 

COLA of 1.125 Next. the raw inflation 

adjustment is determined by 

multiplying the present civil penalty 

($6,500) by the COLA increas'l (0125) 

for a raw i'ncrease of $B1250. The result 

is rounded to $1.000. Finally. the 

rounded increase is added to the civi I 

penalty. for a new section 111 24(a)(1) 

civil penalty of $7.500. 

Using the same Inflation Adlustment 

Act formulae. the Commission must also 

adiust other civil penalties in 11 CFR 

111.24. Since each of these civil 

penalties has been prevlOusly adjusted, 

the 10U~ cap for first time adjustments 

does not appll' to any of them. The 

complete list of all civil penalty 

adjustments in section 111 24 is as 

follows: 

Previous La ;t Raw New cIvil Section COLA increase Rounded to civil penally adjwted increase penally

11 CFR 111.24( a)(1) .. $6,500 2005 0.125 (218.815/194.5) $812.50 $1.000 $7.500

11 CFR 11124(a)(2)(;) 11,000 1997 0.365 (218.815/160.3) 015 5,000 16,000 4, 1 11 CFR 111.24(a)(2)(ii) . 55,000 2005 0.125 (218.815/194.5) 6,875 5.000 60.000

11 CFR 111.24( b) . ........ .
 2,200 1997 0.365 (218.815/160,3) 803 1,000 3,200

11CFR111.24(b) ..... " .. ........
 6.500 2005 0.125 (218.815/194.5) 81250 I 1,000 7.500

!\ote that the ci vii penalties in 11 CFR 

111.24(a)(2)(i) and (b) have not been 

adjusted since 1997 because application 

of the rounding rules resulted in no 

change when adjustments were 

examined in 2002 and 2005. 

2. 11 CFR 111.43-Schedule of Penalties 

FECA permi ts tl<e Commission to 

assess civil penalties for violations of 

the reporting requirements of 2 USc. 

434(a) in accordance with schedules of 

penalties established and published by 

the Commission. 2 U.S.c. 437g(a)(4)(C). 

Each schedule contains two columns, 

one for penalties for late-filed reports 

and one for penalties for non-filed 

• 28 lise: 2461 note (5)(b) 

'28 USC 2461 note (5)[a) The rounding rules 

applicable to the Commission's civil penalties 

require that if the existing penalty is less than or 

equal \0 S100, the increase is rounded to the nearest 

S10, if the existing penaJty is greater than S100 but 

less than or equal to Sl.000. the increase is rounded 

to the nearest S100, if the existing penaJty is greater 

than SI.000 but less than or equal to SI0.000. the 

increase is roundpd to the nearest $1.000; and if the 

reports. Reports •.Ie considered to be 

late-filed if they dre filed after their due 

date under 11 CF R 104.5 but before a 

date certain which is determined by 

whether the repo -ts are electionsensitive or not.7 Reports are considered 

not filed if they ether are filed after that 

date certain or ar,' not filed at all. See 

11 CFR 111.43(e) 

The Commissic n first promulgated 

two schedules of lenalties for late filing 

violations in 200C in 11 CFR 111.43(a) 

and (b), for non-election-sensitive 

reports and electilln-sensitive reports, 

respectively. Expl mation and 

Justification for Final Rules on 

Administrative Fi 1es, 65 FR 317B7 (May 

existing penalty is grea' er than S10.000 but less 

than or equal to S100,010, the increase is rounded 

to the nearest $5.000. 

• See Explanation ane Justification for Final Rules 

on Inflation Adjustmen s for Civil Monetary 

Penalties. 70 FR 34633lfune 15. 2005) ("2005 

Adjustment"); Explanat on and Justification for 

Final Rules on Adjustm ,nts to Civil Monetary 

Penalty Amounts. 62 FF 11316 [Mar. 12. 1997) 

("1997 Adjustment"). '" January 2002, the rounding 

Attlchment I 

19,2000). The penalty calculations were 

based on the "level of activity," as 

defined in the 2000 regulations at 11 

CFR 111.43(d), rcported by the latefiling committee. Additionally, the 

Commission promulgated a civil penalty 

of $5,500 at 11 CFR 111.43(c) for 

situations in which a committee fails to 

file a report and there is no "estimated 

level of activity," on which the 

Commission can base a civil penalty 

thereby making it impossible for the 

Commission to calculate the level of 

activity. 

In 2003, the Commission reevaluated 

the administrative fines program and 

decided to reduce the civil penalties in 

rules resulted in no adjustments. Agenda Doc. 02­

06 (Jan. 17. 2002). 

, Election-sensitive reports are those due just 

before an election. See 11 CFR 111,43(d){1). The 

dissemination of information in these reports has 

the most meaningful impac1 because they are filed 

In prOXimity to an election. Accordingly. the 

schedule of penalties imposes a higher civil penalty 

for these reports than for aJl other reports. which 

are non-election·sensitive. 

Exhibit A, p. 26 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 28 of 57
Federal Register/Vol. 74, No. 125/Wedn(~sday, July 1, 2009/Rules and Regulations 31347 

section 111.43(a) and (b) applicable to 

reports containing under $50.000 in 

activity. It also repromulgated the 

remaining civil penalties. See 

Explanation and Justification for Final 

Rules on Administrative Fines. 68 FR 

12572 (Mar 17.2003) ("2003 Rules"). 

Accordingly. the civil penalties for 

reports due on or after April 16,2003 

were set forth in new schedu les at 11 

CFR 11143 (a)(2) (non-electionsensitive) and 11 CFR 11143(b)(2) 

(election-sensitive). The penalty 

schedules for previous reports were 

located in 11 CFR 111.43(a)(l) (nonelection-sensitl\'e) and 111.43(0)(1) 

(election-sensitive). The Commission 

also reVised its definitions fm "level of 

activitv" and "estimated le\'el of 

acti\·it~·" for reports due on or after 

Apri11G.2003 

The CommiSSIOn has no\\' determined 

that there is no need to retain the preApril 2003 schedules at 11 CFR 

111.43(a)(1) and (b)(1) Because the 

statute of limitations for enforcement of 

ci\-il fines and penalties IS five years 

from the date when the claim first 

accrued. a proceeding to enforce a civil 

penalty for a report due before .-\priI16, 

2003 would need to have been 

GOmmenced before April 16. 2008. See 

28 U.s.c. 2462. Accordingly, the 

Commission is removing paragraphs 

(a)(l) and (b)(l) from 11 CFR 111.43. 

including both the old schedules and 

the definitions for" level of activity" 

and "estimated level of activity" ­

applicable to those schedules Former 

11 CFR 111.43(a)(2) and 11 CFR 

111.43(b)(2) are being renumbered as 11 

CFR 111.43(a) and 111.43(b). 

respectively. Additionally. because the 

removal of the old schedules at 11 CFR 

111.43(a)(1) and (b)(l) obviates the need 

to distinguish between different 

definitions of "level of activity" and 

"estimated level of actidty" for time 

periods before or after the 2003 Rules, 

the Commission is_also moving, but not 

changing the substance of. those 

definitions from section 111.43(a)(2) 

and (b)(2) to the general definition 

section at 11 CFR 111.43(d). Finally, the 

Commission is numbering each of the 

definitions in section 111.43(d) for 

clarity. 

In addition to these technical changes. 

the Commission must adjust the civil 

penalties schedules in section 111.43(a) 

and (b) pursuant to the Inflation 

Adjustment Act. These civil penalties 

schedules were set when the 

Commission repromulgated them in the 

2003 rulemaking. In 2005, the 

Commission applied the Inflation 

Adjustment Act formulae to the civil 

penalties in section 111.43. Because of 

the rounding rules. however. none of 

the penalties was ad justed. See 2005 

Adjustment. 70 FR ct 34635 

Accordingly. this is :he first adjustment 

of these civil penalties under the 

Inflation Adjustmen: Act and the 10% 

cap applies to any a.ljustments made. 

To make the adjmtments. the 

Inflation Adjustmen. Act formula is 

applied to each civil penalty in the 

schedules to determ ne what. if any. 

adjustment must be nade. First. the CPI 

for 2008 is divided t y the CPI for June 

of 2003 (218.815/18:.7) to determine the 

applicable COLA of ) 191 Then, each 

ci\'il penalty is mult plied by the COL-\ 

to determine the am lUnt of the 

unrounded raw incr· 'ase Next, the 

statutury rounding f"rnlula is applied to 

that raw increase an~ount. The resulting 

rounded increase is hen added to the 

current civil penalty to determine the 

new raw civil penalt\·. Finally. the 

statutof\' 10% penal y cap is applied as 

necessary. Accordin.;ly. if Ule new raw 

civil penalty is large' Ulan 110% of the 

current ci\'il penalty the raw penalty is 

adjusted downward a conform to that 

penalty cap. The act 101 adjustment to 

each civil penalty is ;hown in the 

schedules in the rulE text. below. 

The Commission r lUSt also adjust the 

$5,500 civil penalty )rovided for in 

2000 in 11 CFR 111, 3(c), and 

repromulgated in 20113, which has not 

been adjusted pursu. nt to the Inflation 

Adjustment Act. To tletermine this 

year's adjustment, th 0 CPI for June 2008 

is divided by the CPI for June 2003 

(218.815/183.7) for a COLA increase of 

0.191. Next the $5 ,5C 0 is multiplied by 

the COLA for a raw i lcrease of 

$1,050.50. which is t len rounded to 

$1.000. Again. this fi 'st adjustment 

pursuant to the Inflat ion Adjustment 

Act is capped at 10 porcent of the 

original penalty ($5,~ 00), for a new 

section 11143(c) civi I penalty of $6,050. 

3. 11 CFR 111.44-S( hedule ofPenalties 

for 48-Hour Notices 

Principal campaigI committees are 

required to report. wi thin 48 hours of 

receipt, any contribu' ions of $1.000 or 

more that are receive I after the 20th 

day, but more than 41, hours before any 

election. 2 U.S.c. 434 (a)(6). FECA 

permits the Commiss on to assess civil 

penalties for violatiolls of the 48-hour 

notice reporting requ rement. 2 U.S.c. 

437g(a)(4)(C). The Co nmission last 

adjusted the civil peralty for these 

reporting violations i I 2005 to $110 + 

(.10 x amount of cant 'ibution(s) not 

timely reported). See 2005 Adjustment, 

70 FR at 34635; Explc nation and 

Justification for Final Rules on 

Administrative Fines 65 FR 31787, 

31793 (May 19. 2000) To determine this 

year's adjustment, Th 0 CPI for June 2008 

is divided by the CPI for June 2005 

(218.815/194.5] for a COLA increase of 

0.125. The civil penalty is then 

multiplied by the COL:A. for a raw 

increase of $13.75, which is then 

rounded to $0. Accordingly. the civil 

penalty in section 111.44 remains at 

$110 + (.10 x amount of contribution(s) 

not timely reported) 

While the Commission is not making 

any adjustments to the civil penalty in 

11 CFR 111.44. it is correcting an 

incorrect phrase in section 111.44(b) 

Specifically. the phrase "civil money 

penalty" is incomplete and is being 

changed to "final ci\'il money penalty 

Certification of No Effect Pursuant to 5 

U.S.c. 605(1) (Regulatory Flexibility 

Act) 

The proviSIOns of the Regulatorv 

Flexibility A.ct are not applicable to this 

final rule because the Commission was 

not required to publish a notice of 

proposed rulemaking or to seek public 

comment under 5 US.c. 553 or any 

other laws. 5 US.C 603(a) and 604(a) 

Therefore. no regulatory flexibility 

analysis IS required 

List of Subjects in 1 CFR Part 111 

Administrative practice and 

procedures. Elections. Law enforcement. 

Penalties. 

• For the reasons set out in the 

preamble, the Federal Election 

Commission amends subchapter A of 

chapter I of title 11 of the Code of 

Federal Regulations as follows: 

PART 111-COMPLIANCE 

PROCEDURE (2 U.S.C. 4379, 437d(a» 

• 1. The authority citation for part 111 

continues to read as follows: 

Authority 2 U.S.c. 432(iJ. 43 7g, 437d(aJ, 

438(a)(8); 28 U_S.c. 2461 nt. 

.2. Section 111.24 is amended by 

revising paragraphs (aJ(l), (a)(2)(i), 

(a)(2)(ii) and (b) to read as follows: 

§ 111.24 Civil Penalties (2 U.S.C. 

4379(8)(5), (6), (12), 28 U.S.C. 2461 nl.). 

(a)· • * 

(1) Except as provided in paragraph 

(a)(2) of this section, in the case of a 

violation of the Act or chapters 95 or 96 

of title 26 (26 U.S.c.). the civil penalty 

shall not exceed the greater of $7,500 or 

an amount equal to any contribution or 

expenditure involved in the violation. 

(2) * * * 

(i) In the case of a knowing and 

willful violation of the Act or chapters 

95 or 96 of title 26 (26 U.S.c.). the civil 

penalty shall not exceed the greater of 

$16,000 or an amount equal to 200% of 

any contribution or expenditure 

involved in the violation. 

Attac hment 1 

Exhibit A, p. 27 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 29 of 57
31348 Federal Register/Vol. 74, No. 125/Welnesday, July 1, 2009/Rules and Regulations 

(ii) Notwithstanding paragraph 

(a)(2)(i) of this section, in the case of a 

knowlI1g and willful violation of 2 

USC 441 f. the civil penalty shall not 

be less than 300% of the amount of any 

contribution involved in the violation 

and shall not exceed the greater of 

$GO,OOO or 1,000% of the amount of an\, 

contributIOn involved in the violation.. 

Ib) :\n\' Commission member or 

emplo\'f~e, or any other person, who in 

\'iolalioll of! USc. 437g(il)(12)(A) 

makes public an) notification or 

investigation une er 2 USc. 437g 

without receivin! the written consent of 

the person receiv ng such notification. 

or the person wit 1 respect to whom 

such investigatio 1 is made, shall be 

fined not more linn $3,200, Anv such 

member, employ' 'e, or other pe~son who 

knowingly and \\ illfully violates this 

provision shall b, fined not more than 

$7,500, 

.3. Section 111.43 is amended by 

revising paragraphs [a], (bl, [c], and (d] 

to read as follows: 

§ 111,43 What are the schedules of 

penalties? 

(a) The civil money penalty for all 

reports that are filed late or not filed, 

except election sensitive reports and 

pre-election reports under 11 eFR 104.5, 

shall be calculated in accordance with 

the following schedule of penalties: 

~lt_th_e_le_'~_:_~~~a\~~~:l)' in the i And the report was filed late, the civil 110ney penalty is: I Or the report was not filed. the civil money penalty is. 

$1-4.999.99 ' I [$25 + ($5 x Number of days lafe)! x [1 + (.25 x Num- I $250 x [1 + (25 x Number ot previous violations)]. 

I ber of previous violatlons)l. I 

S5,000-9,99999 """'" I [$55 + ($5 x Number of days late)1 x (1 + (25 x Num-I 5330 x [1 + \.25 x Number of previous violations)!. 

i ber of previous vlolatlonsll 

510,000-24,99999 " I [$110 + ($5 x Number of days latel] > [1 + (,25 x Numi ber 01 prevIous violations)]. 

525000-19,99999 , . ! [$200 + ($20 x Number of days lat ,n x [1 + 125 x 

Number of previous violations)]. 

$50,000-~~.999 99 11$330 + ($82.50 x Number of days 1,le)1 x [1 + (.25 x 

! Number of previous violations)j. 

$75000-9999999 : [5440 + ($110 x Number of days la'=)] x [1 + (25 x 

I Number of prevIous violations)j. 

$100000-149.99999 .. i [$660 + ($125 x Number of days la'=)] x [1 + (25 x 

Number of previous Violations)]. 

$150,000-199,999,99 [$880 + ($150 x Number of days lal=l] x [1 + (.25 x 

Number of previous violations)l. 

$200,000-249,99999 [51.100 + (5175 x Number of days 1,,:e)1 x [1 + (,25 x 

Number of previous violations)l. 

$250,000-3,19999.99 [$1,500 + ($200 x Number of days la:e)] x [1 + (.25 x 

, Number of previous violations)], 

5350,000--449,999.99 [$2,000 + ($200 x Number of days la ,e)) x [1 + (.25 x 

Number or previous violations)]. 

$450.000-549,999.99 [$2,500 + ($200 x Number of days lael] x [1 + (.25 x 

Number of previous Violations)]. 

S550000-649,999.99 153,300 + ($200 x Number of days la e)] x [1 + (25 x 

Number of previous VIolations)]. 

$650,000-749.999.99 1$3,850 + ($200 x Number of days la e)1 x [1 + (25 x 

Number of previous violations)]. 

$750,000-849,999.99 [$4,400 + ($200 x Number of days la ell x [1 + (,25 x 

Number of previous violations)], 

$8,50,000-949,999.99 [$4,950 + ($200 x Number of days la ell x [1 + (.25 x 

Number of previous violations)]. 

$950,000 or over. . I ($5,500 + ($200 x Number of days la e)) x [1 + (,25 x 

i Number of previous violations)]. 

5550 x [1 + (25 x Number of previous violations)). 

$990 x [1 + (25 x Number of previous Violations)]. 

52,970 x [1 + (.25 x Number of previous violations I]. 

S3,850 " [1 + (.25 x Number 01 prevIous Violations.']. 

$4,950 x (1 + (25 x Number of prevIous violationsl] 

S6,050 x [1 + (25 x Number of prevIous violations)], 

$7,150 x [1 + (.25 x Number of previous violations)), 

$8,800 x [1 + (,25 x Number of previous violations)] 

S9,900 x [1 + (25 x Number of previous violations)]. 

S10.450 x [1 + (.25 x Number of previous violations)] 

$11,000 x [1 + (.25 )( Number of previoUS violations)). 

$10,500 x [1 + (.25 x Number of previous violations)j, 

$11,000 x [1 + (.25 x Number of previous violations)!, 

$11,500 x [1 + (,25 x Number of previous violations)]. 

$12,000 x [1 + (.25 x Number of previous violationsl!, 

'The Civil money penalty for a respondent who does not have any f revious violations will not exceed the level of actiVity in the report. 

(bl The civil money penalty fqr accordance with t Ie following schedule 

election sensitive reports that are filed of penalties: 

late or not filed shall be calculated in 

It the level of activity in the 

report was: 

$1--4,999.99 a 

$5,000-9,999.99 

$10,000-24,99999 

$25,000--49,999.99 

$50,000-74,999,99 .. .... 

$75,000-99,999.99 

And the report was filed late, the civil r loney penalty is: 

[$55 + ($10)( Number of days latel])( 1 + (.25 x Number of previous violations)). 

[$110 + ($10 x Number of days late I] x [1 + (,25 x 

Number of previous Violations)]. 

[$150 + ($10 x Number of days late'] x [1 + (.25 x 

Number of previous violations)], 

[$330 + ($25 x Number of days late] x [1 + (.25 x 

Number of previous violations)). 

[$495 + ($82.50 x Number of days lat III x [1 + (.25 x 

Number of previous violations)]. 

[$660 + ($110 x Number of days lat~)1 x [1 + (.25 x 

Number of previous violations}] 

Atachment 1 

Or the report was not filed, the civil money penalty is: 

$550 x [1 + (.25 x Number of previous violations)]. 

$660 x [1 + (.25 x Number of previous violafionsl]. 

$990 x [1 + (.25 x Number of previous violations)l, 

$1,400 x [1 + (,25 x Number of previous violations)] 

$3,300 x [1 + (.25 x Number 01 previous violations)!. 

$4,400 x [1 + (.25 x Number of previous violations)]. 

Exhibit A, p. 28 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 30 of 57
Federal Register/Vol. 74, No. 12S/Wedlesday, July 1, 2009/Rules and Regulations 31349 

If the level of activity in the And the report was filed late. the civil n oney penally is: Or the report was not filed. the civil money penally is: report was: 

$100.000-149.999.99. [$990 + ($125 x Number of days latel] x [1 + (25 x $5,500 x [1 + (.25 x Number of previous violations)]. 

Number of previous violations)]. 

$150,000-199,999.99. [$1,200 + ($150 x Number of days lat ,)] x [1 + (.25 x $6.600 x [1 + (25 x Number of previous violations)] 

$200,000-249,999.99 . 

Number of previous violations)]. 

[$1,500 + ($175 x Number of days lat ')1 x [1 + (.25 x $8,250 x [1 + (.25 x Number of previous violations)]. 

Number of previous violations)). 

$250,000-349,99999 ... [$2,250 + ($200 x Number of days lat ,)) x [1 + (.25 x $9,900 x [1 + (.25 x Number of previous violations)]. 

Number of preVious violations)]. 

$350.000-449,999.99 . [$3,300 + ($200 x Number of days lat ,)] x [1 + (25 x $11,000 x [1 + (.25 x Number of previous violations)]. 

$450.000-549,999.99 . 

Number of previous violationsJ] 

[$4,125 + ($200 x Number of days lat ,J] x [1 + (25 x $11,000 x [1 + (.25" Number of orevious violations)]. 

Number 01 previous violations)]. 

$550.000--649,999.99 [$4,950 + ($200 x Number of days lal 'l] x [1 + (25 x $12,000 x [1 + (.25 x Number of previous violations)! 

Number of previous Violations)). 

$650.000-749,999.99 . [$5,775 + ($200 x Number ot days lat ,)] x [1 + (25 x $13.000 x 11 + (.25, Number of previous violations!] 

Number of previous violations)] 

$750,000-849,999.99 [$6,600 + ($200 x Number of days lat,)] x [1 + (25 x $15.400 x [1 + \.25 x Number of previous violations)!. 

Number of previous violations)]. 

$850,000-949,999.99 [$7,425 + ($200 x Number of days laHI x [1 + ( 25 x $16,500 x [1 + (.25 x Number of previous violatlons)1 

I Number of prevIous violations)]. 

$950,000 or over. .. ... 1 [$8.250 + ($200 x Number of days laH] x [1 + \ 25 x $17,600 x [1 + (.25 x Number of prevIous violationsl!· 

I Number of previous violatlOnsJI· 

a The civil money penalty for a respondent who does not have any p evious violations will not exceed the level of activity in the report. 

Icj [f t11e respondent fails to file a
 

required report and the Commission
 

CilI1I10t cillculate the level of activitv
 

. under paragraph (d) of this section: then 

the ci\'ilmoney penaltv shall be $6,500. 

(d) Definitions. For this section only, 

the following definitions will apply: 

(1) Election Sensitive Reports means 

third quarter reports due on October 

15th before the general election (for all 

committees required to file this report 

except committees of candidates who do 

not participate in that general election); 

monthly reports due October 20th 

before the general election (for all 

committees required to file this report 

except committees of candidates who do 

not participate in that general election); 

and pre-election reports for primary, 

general, and special elections under 11 

CFR 104.5 

(2) Estimated level of activity means: 

(i) For an authorized committee, total 

receipts and disbursements reported in 

the current two-year election cycle 

divided by the number of reports filed 

to date covering the activity in the 

current two-year election cycle. If the 

respondent has not filed a report 

covering activity in the current two-year 

election cycle, estimated level of 

activity for an authorized committee 

means total receipts and disbursements 

reported in the prior two-year election 

cycle divided by the number of reports 

filed covering the activity in the prior 

two-year election cycle. 

(ii)(A) For an unauthorized 

committee, estimated level of activity is 

calculated as follows: [(Total receipts 

and disbursements reported in the 

current two-year cycle)-{Transfers 

received from non-Federal account{s) as 

reported on Line 1 l(a) of FEe Form J X 

Disbursements for .he non-Federill shilre 

of operating expen iitures attributable to 

allocated Federall! on-Federal acti\'it\· 

as reported on Linl 21 (a)(Ii) of FEC ­

Form 3X)] ... Numb lr of reports filed to 

date covering the a :tivitv in the current 

two-vear election (vcle. 

(Bi If the unauth irized committee has 

not filed a report c lvering acti\'ity in the 

cu rrent two-year e] ection cycle. the 

estimated level of i ctivitv is calculated 

as follows: [(Total eceipts and 

disbursements rep, lrted in the prior twoyear election cycle -(Transfers received 

from non-Federal cccount{s) as reported 

on Line 18(a) of FE: Form 3:\ 

Disbursements for he non-Federal share 

of operating expen litures attributable to 

allocated Federallr on-Federal activity 

as reported on Linl 21 (a){ii) of FEC 

Form 3X)] ... Numb ~r of reports filed 

covering the activi1 y in the prior twoyear election cycle 

(3) Level of activ ty means: 

(i) For an author: zed committee, the 

total amount of rec lipts and 

disbursements for 1he period covered by 

the late report. 1ft} e report is not filed, 

the level of activit) is the estimated 

level of activity as ;et forth in paragraph 

(d)(2)(i) of this sect on, 

(ii) For an unauU lorized committee, 

the total amount of receipts and 

disbursements for t he period covered by 

the late report minliS the total of: 

Transfers received 'rom non-Federal 

account{s) as repor ed on Line 18(a) of 

FEC Form 3X and ( isbursements for the 

non-Federal share (·f operating 

expenditures attrib ltable to allocated 

Federal/non-Feder< I activity as reported 

on Line 21{a)(ii) of :'EC Form 3X for the 

Att; lchment 1 

period covered bv the late report. If the 

report is not filed, the level of ilctivit\· 

is the estimated level of activity as set 

forth in paragraph (cl](2)(ii) of this 

section 

(4) Number of prel'ious I'iolations 

means all prior final civil money 

penalties assessed under this subpart 

during U1e current two-year election 

cycle and the prior two-year election 

cycle. 

§ 111.44 [Amended] 

.4. In paragraph (b) of § 111.44, remove 

the words "civil money penalty" and 

add, in their place, the words "final 

ci vil money penalty.' 

Dated: March 25, 2009. 

On behalf of the Commission. 

Sleven T. Walther, 

Chairman, Federal Election Commission. 

Editorial Note: This document was 

received in the Office of the Federal Register 

on Thursday, June 25, 2009. 

[FR Doc. E9-15483 Filed 6-30-{)9; 8;45 am] 

BILLING CODE 6715-<)1-P 

Exhibit A, p. 29 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 31 of 57
SENSITIVE
 

Committee ID: C00355784 Multi-candidate Status/Date: No 

Committee Name: ROBINSON COMMmEE LLC Date Effective: 

Committee Designation: PRINCIPAL CAMPAIGN COMMITTEE OF Committee Type: SENATE A CANDIDATE 

Filing Frequency: QUARTERLY FILER Treasurer Name: JACK E ROBINSON 

PO BOX 2587 Committee candidate ID: SOMA00042 DUXBURY,MA Address: 02331 

candidate Name: ROBINSON, JACK E Analyst Assigned: Andrew Karwoski 

Special Interest Group: Not Available Analyst Extension: 1167 

04/15/2010 09:48 AM Rhiannon Magruder Phone call 

He called me back regarding AF 2122 and stated that he would be filing 2009 Amended 12 

Day Pre-Primary Report, 2009 Year End Report and 2010 April Quarterly Report this 

weekend. I faxed RTB Letter to 203-425-4555. He understands that if 2010 Year End 

Report is filed this weekend, AF 2122 fine will be recalculated based on real activity. 

Contact Communication Date & Analyst Type 

Jack E Robinson 04/14/201009:42 

Time 

AM -­Rhiannon Magruder Phone call 

Summary I called and left a message at his law firm asking that he return my call regarding AF 2122. 

RTB Letter was returned. 

02/18/2010 04:09 PM Amanda J Iovino Phone call 

candidate called back regarding the referable issue and said he was in Europe for three 

weeks and asked for an extension. The analyst explained that no extensions were given. 

The candidate said he would mail his response in as soon as possible. 

Contact Communication Date & Analyst Type 

Jack E Robinson 02/17/2010 

Time 

10:49 AM -­Amanda J Iovino Phone call 

Summary Analyst called the committee regarding a referable issue. There was no answer so a 

message was left asking for a returned call to discuss the issue. 

Exhibit A, p. 30 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 32 of 57
To Open FLAT RAn; POSTAGE 

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Exhibit A, p. 31 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 33 of 57
*************** -CCM1. JCJ....RlK- ******************* DAT~ APR-15-2018 ***** Tlt'E 89:09 ******** 

MODE t'El'my ~MISSION

FILE 1'-CI.=437 

STN I'-CI. CCM1. ABBR i'lJ. 

1301 ()( a 

STATION NAME/TEL 

912034254555 

NO. 

END=APR-15 09: 09 

PAGES DURATION 

005/005 00:81:36 

************************************ -

-FEe REPORTS 

- ***** -

ANALYSIS 

2022193496­ _***** 

FEDERAL ELECTION COMMISSION WASHI~CTON, D.C. 10463 

FAX TRANSMITTAL 

Date: 1i15/~/O

To: 

Fax#: 

From: 

FEe Fax #: (202) 21 ~-3496

FEC Phone #: (800) 424-9530 or (202) 694-1130 

- Page Count: _..::;:-.... o=o=o=o_==-~--== =-==~

(including cover sheet) . 

Exhibit A, p. 32 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 34 of 57
Attachment #3 

23 Pages 

DECLARATION OF JILL I. SUGARMAN 

1.	 I am the Reviewing Analyst in the Office of Administrative Review for the Federal 

Election Commission ("Commission"). In my capacity as Reviewing Analyst, I 

conduct research with respect to all challenges submitted in accordance with the 

Administrative Fine program. 

2.	 The 2009 Year End Report is due January 31, 2010. Senate principal campaign 

committees must file reports with the Secretary of the Senate. Reports sent by first 

class mail are considered filed on the date of receipt. 

3.	 It is the practice of the Office of Public Records, Secretary of the Senate to date stamp 

each report as it is received and complete an envelope processing page disclosing the 

method used to file the report as well as either the date of receipt or postmark. 

4.	 I hereby certify that I have searched the Commission's public records and that the 

documents identified herein are the true and accurate copies of: 

(a) Statement	 of Candidacy filed by Jack E. Robinson dated October 10, 2009. 

According to the Commission's records, the Statement was received on October 

20,2009; 

(b) Pages 1 and 3 of the Statement of Organization filed by the Robinson Committee, 

LLC and Jack E. Robinson, as Treasurer. According to the Commission's 

records, the document is dated October 10, was received on October 20, 2009, and 

lists "robinsonesq@aol.com" as the Committee's email address. Line 7 lists 

"Jack E. Robinson" as the Custodian of Records; 

(c) Page 1 of the Summary Page and Page 2 of Schedule C for the 2009 October 

Quarterly Report filed by the Robinson Committee, LLC and Jack E. Robinson, as 

Treasurer. According to the Commission's records, the report covers the period 

from July 1 through September 30, 2009 and was received on October 20, 2009. 

Schedule C lists $52,357.00 in loans made or guaranteed by the candidate for the 

reporting period; 

(d) Page 1 of the Summary Page and Page 3 of the Detailed Summary Page for the 

2009 12 Day Pre-Primary/Pre-Special Report filed by the Robinson Committee, 

LLC and Jack E. Robinson, as Treasurer. According to the Commission's 

records, the report covers the period from October 1 through November 18, 2009 

and was received on December 1, 2009. Line 13(a) lists $136,000.00 in loans 

made or guaranteed by the candidate for the reporting period; 

(e) 2 pages of 48-Hour Notices filed by the Robinson Committee, LLC and Jack E. 

Robinson, as Treasurer. According to the Commission's records, the 48-Hour 

Notices were received on December 1 and 4, 2009. They list contributions/loans 

received from Jack E. Robinson of $265,000.00 and $100,000.00 received on 

November 29,2009 and December 4,2009, respectively; 

(f)	 Request for Additional Infonnation dated January 7, 2010 which is addressed to 

the Robinson Committee, LLC and Jack E. Robinson, as Treasurer. According to 

the Commission's records, the Request was sent by the Reports Analysis Division 

and references the October Quarterly Report. On Page 1 of the Request, it states 

"Response Due Date: February 11, 2010;" 

Exhibit A, p. 33 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 35 of 57
Attachment #3 

23 Pages 

(g) Requests	 for Additional Infonnation dated February 23 and March 23, 2010 

which are addressed to the Robinson Committee, LLC and Jack E. Robinson, as 

Treasurer. According to the Commission's records, the Requests were sent by the 

Reports Analysis Division and reference the 12 Day Pre-Primary; 12 Day PreSpecial and Amended October Quarterly Reports; and 

(h) Page	 1 of the Summary Page, Page 3 of the Detailed Summary Page, the 

envelope, and the Senate Office of Public Records postmark sheet for the 2009 

Year End Report filed via first class mail by the Robinson Committee, LLC and 

Jack E. Robinson, as Treasurer. According to the Commission's records, the 

report covers the period from November 19 through December 31, 2009, was 

received on April 22, 2010, and there is no postmark. Line 13(a) lists 

$376,395.00 in loans made or guaranteed by the candidate for the reporting 

period. 

5.	 Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is 

true and correct and that this declaration was executed at Washington on the 4th of 

June, 2010. 

qr£~tMMIIYIMV Reviewing Analyst 

Office of Administrative Review 

Federal Election Commission 

Exhibit A, p. 34 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 36 of 57
__

FEe FORM 2	 s~n~[lM'l' {Jf 1~i SEtlA1::: 

STATEMENT OF CAtiDIDACY {l9 Ql.l 20 P~\ I~ \6 

1.	 [i-) NBIJI9 Qr ClWldkIa1e (ill ruI) 

Jack E. Ro~inson

[b) fod;l_l~w;lIniJ ~re9ij Clild: HIid(tI!llB ctlllfilltiif -----,-:z,.....,..CiIi=ii""'aa:tIIi=·':"1F...E...CT.ldIiirit=lITHlcii=HllI'1==-Nr::I.Il1I:=;t>lII.-:::---­

P,O, Box 2587 C 00:355"184
 

r~ Ol}c. ~~, '"'llP CIId9 0"'l 331
 Dl,1,Xol,1ry, MA 

.( J>il.rl)' Atlii:ol1lon 15. 011108 ~I'I'I -1_ij·__~_Pl_5Ir_~_~_tarlIlkl_819 M_A	 _ REP	 Senate 

DESIGNA"JON OF PRI NCtPAL CAM PAlGN COMJjt~E

,. I hQraby d08lg~1l1~ ro.... 1IR'Jg t'IM'lflCl pal~i<:.IIl o"",miltOQ ;115 m'f Pri~ ClIfT1llilkin 0a1TTTll1t&it Nlr ltlIt 2() () 9 -1 0 8llI!:UDr1(8J. 

i~ or elealan) 

'Robinson Committee, LLC 

lb/ ~umbilr and SlT981) 

p.O. BOX 2587 

Ie) ~, S11Ue, Bnl:l Zl~ COlla 

Duxbury, ~A 02331 

DESlGNA"ON OF OTHER AUTHORIZED OO"'lMlrrEES 

~IldUdln9Join! Fundr.!l~ng RlJIl_"1911w81 

Ii!l,	 I t1~~ Il'JlhlJ~ 11'1& MlI~ ~!'lIhIId ~mmJltoa., lIQ1ll:h IS NOT 'l1~ po1l'lC~ ~~r'lUlrnrrinee, to rern""'.;;lI"Id Ql'pgnd fl..-l\l$ lMiioIN 

-..JdilRtjl 

MOT E; ,.~ d9!ignllllllCln an OLJ kJ bit ii with I"" J7lnd po;1l ~~1g n 00 IM'itIll eo 

(c) 1;;111\ SIN, 3lnd ZlP CodliJ 

.,,~~.~._~ .c:U----.-=J_D.ale__10_/1_0/_09 :
 

__-------'-------_-'----~[ J
 

Exhibit A, p. 35 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 37 of 57
·"
 

r 

FEe 

FORM 1 

STATEMENT OF 

ORGANIZATION 

1.	 N......E OF D (C'*IC i' nI/'TlCl 

COMMlliEE On f1A) i&~)

Robinson coromittee, LLC 

I I I I I I II I I I I .. I , I I I I I I I I

, I I I I : I I I I I	 I • .L I I 

p.o. Box 2587 

ADOFIEaS Inwmar GIlli 11mal) I I I I I L I I I	 I I I I 

I oJ. I ! ! ! ! ! ! I I ! I l...llL.LL L I J I I 

IO~313 I~I I I

CITY	 3lATE: lIP CODE 

cOt.tlljjlmn E-MAR. ADDRESS (PlclMO P"Mdo gn~ DnII ..msll BdcII'8II~

robinsonesq@aol.com 

I I I I I I I I I I I I II	 I I I I I I I J [J (Child iI addrBli6 

II CNlIIQed) I I I	 I I , I 

COIolMITTEE'S WEB ~E ,D,I)D'U:~S Ml1J 

www.jackerobinson.com I I I 1-1 I ; I I I I I I : I I I I I I..J J J n ICI1IIdI iI BIbB&f,
 

U 1!Io changed)
 L.J I I I I I 

i. I!rJ'[5:~r [' ~b)!]

f~C IDENTIFIC,6;rKIN NUMBER I§I Po~ 5,5 i.a i : : 1 

4.. IS mllji S1l\1'1iMENT 0 NEW l") OR fE) AMENDED \AI 

I certII.I' lI"ra! j Ilblt ~llmkJW ow stil!'rlmMI lind ItJs but 01 my IrtIoIWIJd9& Mtd H is 1I'\oICI, 11M ~I&

Tp or PI'lt Nama of il'8~tltI' .lack E. Robin50n 

"p... "T....... ~u ·biiO ruHlU'l'iQij"g~
 NarE: 5\.oIQmiRl~ g\ fIIIlia. erroneaua, ~r InCCr1l~ inlDrlT\ll1lvn ""0' aubl~ 1~ I**In Illli1Aklg lhiB 5taIbm!ll"ll Ie ~hio& g\ 2 U~.C. f4S~.

~y CHAKQE 1111 INFOI¥A,(l"IDN SIoIOOL..Q BE .AUO~I:I WI1r1IN 10 DJo,YS. 

L 

",1Iuoor I.'-'-loon _:
 

lJSO
 

OffiCB 

flld.raJ EIoc1g, CDmIl'l,1b1 FEe FORM 1 

b ftllll 8IJOo.ollM-453D	 IRIMBIld D2l'2OCI9)

LDaII ~11l<1l -' 

Exhibit A, p. 36 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 38 of 57
FEe form t (RIMsad 02/200(1) 

Robinscn ccmmittee, LLC 

Ll..llJ I I I I I 1 I I I I I I I I I I I I 1 I 1---:.1---,---,------,-1....:..,..1-,-I--.-;.....,1LLLL.l.LLL.J 

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I I I I 1 I I I I I I 1 I I 1 . 1 W I I I I I-L-I.1...-1L....L....JI

CITY	 ZIP CODc 

?	 I::II8IIKian at R~B= 'der1~ Ily 1'IIIfNt, llClettl)$$. (phQtl; nl.lrntltlr - o¢KJnaIl and pD8ltlDrl Df lhIt pemoo i'1 PD_B900 01 ~I!JIII

books BI1 aI80llfd Ii-. 

Jack E. Robinson ,	 , I , I ! ! , , !	 , I	 I L I 

P.O. Box 2587 ; , , , , , ,	 , i"ng Add I'98!l I I I ! .1. I I I I	 ! I 

1 I I ! I ' I ! I 'I I I I I 

CrTY STATE ZlP cooe 

I , , ! I I , ! " , I , , I , I I , , 

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8I1y ~nl!J1ed ~en1 [e..fI .• 8.!ll$i$I('Jnj '1'Q811U~1,

F" Nlln'lO	 Jac:k E. Robitlsort ,	 , , o11reasurer	 I I I I I I ! I I I I I I , 

P. O. Box 25tH 

MlIlling Ad£I~u , , , ! , I 	 I ! I I I I 

! I' I ! , I I I LI 

L 

Duxbury 

I , I , 'I I , 1 

023.3,' I 1-. .....:......, ...,jl- 11­"'...L-...L...I 

TN '9 Ilf Pod!ot"l 

CLTY ZIP' CODE 

I ?p~a?~rT:r; I ! ! j I 7,81 1_19,3~ 1-16?~51 1 

L -.J 

Exhibit A, p. 37 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 39 of 57
,,.: 

REPORT OF RECEIPTS FEe 09 .f)C1 20 PM I: 16

AND DISBURSEMENTS FORM 3 For An ~r~ed C:omml~ee

1.	 NAME OF
 

oot.1MIT"T"EE' ("rI /\.lIO
 

Robinson Committ~~, LLC 

I..L..LL ' i I I I I I I I I I I L...1.. J I ' I I I I , I 

I I I 1 I I I ' 1 I , I I I I I I I I , I , I 1 .L.J 

fl.O. Flax 2587 

I I I J 1 , ! I 'I '1
 

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 , I I I I I I I , !
 o	 Check n dttftll'iII1t


thlll1 p"aYkll..l!IJ.~ DUl<bury
 

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... ~.	 FEe IDENTIFlCA.l1CN tIlUMBER T CITY ZIP COOl:" 

STATE DlsmlCT 

3. 1$ THIS 

FlEPOFlT o w 

4. TYPE OF REPORT tGhOOllI!l Ch!l) 

t;lJJ 12-D..l:f PRE-l3o;etlo;.1 ReF-1 P"Qr an", ~~	 Ou~~)' Report:i;; 

0 Flrlrmry (t2P) 0 General (1~~ o 1Ud(12R) 0 Ap1\l ~5 Qo..MIrtlIrl)' R~ (01 

0	 0 CQIwontlOt'i l1ze} SpecIal {11S) 0 Jlll:,t 15 Ouarterty FlI!lpCt1 

m oc!O~ 11> ~I'U!"'I ~r1: ~~ ElllGoont;t'l l::lt~'I':':t:VI o --.~._-~~.~-""",,,,-.-.,,-,,,,,.,,,,,,.........
 D JlIn~ry 31 Yrw-&1d Re?m ('ffi (c)	 3D·Day P05r·aaction Report for ItlB; 

0 Gral¥Jfill OG] 0 RI,HlQff {;l 1;1 R} 

0 TI:iI~iGQn RIJPJ~ (lD1)	 In~

Elet:t!On on	 EJ'aJ~·:,:y:vl Stala 01 o

5,	 Ctn'lOlg P-EiOOd t~

f aIr1if)' tfll;lt I hsve GmII'!'r1Bd cJ1ls Report Bfld to tf19 bast 01 my tDalYli!d92 soo DeJrI!ol' It Is true,. rotTed .IiJld t::Oo'TlpIl3!e_ 

JQck E. Robinson 

NOTE; Subl1llaQon taiBa, 

L __ FE5.I'lD1B 

Exhibit A, p. 38 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 40 of 57
1PAQ£ Of2 SCHEDULE C (FEe Form 3) U!Il& eepllrS t& 9t:hedlJlI!{s;J FOR L1N~ NJ~BEFl: fq LOANS IiOt ~Qn} (IIlhlt +d1eck o~ In!1 1881 D01dDd SunYnBry ~e' "lJ 

WlME or ~OMP.IIT'T'b;; tin F\.IIl) 

Robinson Committee, LLC 

lOAN SOURCE F\JII Name (Last. FI~, Mi~le Inltl&O EIecIl~

Robinson, Jack E'. §""~. MIl.Iing AJ:k*esa X ;U~. P.O. BIJX 2587 ~- Oily StBte ZIP CO<lfl 

Duxbury AA 02331 

0119'1iIII .Arnoont Of Loan t;; ~uIiI1MI I\1IfmiInt To Dal:8 f1111a/'1c 8 CUstanlirlg at ClMe or nit ~Iod

I :: :: ~2; 3~7:. 0:0 : I I ::::::: :::I I : : : : >~J ~5? .~€ J ~s

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LJ&t EndCIIB& or G~~ Ot Bn)'1 to Loot! SouI'C(l 

1. FuI NamO (L.aIt, F1~. Middle Irj1iaJ) Nsme at Em plOyI!!' 

tJlillll~ AddI9llB 

AmDU'lt I :::: ::: ::. : I City StiI'lilI ZIF' Code G~Ki

Outalandlnll: 

:C:. f\II ~~ (l.a&t, FirDt. Middle Irilla1) NIlme Of EI'I'lI).lO:rer 

tJllll iIi Add I98lI ()(: [;IJ IJ Ith;m 

Jlrnllunt I ::: J: :: ::::I Crti' Stete ZIP Coda aursnt8llll 

i <AJbJtol......lil; I 

J, Full Name (Lslit, Fal, ....lCIa1!t Inltlllll) NlIme a £rlllloyar 

MIIiiiIl1g ~~ CQ:upatiQn 

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Cllv state ZIP Code I ::::::::=1 G\l&Wll89d 

oLJ1&UlndJ r'I(J: 

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Mailing AclQres.s OQ;I4"AIb1 

Amounr I : ::: :: ::': : I City State ZIP COOt Gual1ll'1teOO 

OUlsta1dlll; 

SUSTCTALS Thi& Period T1'II!I Page {0Pl10l'l4l1~." ••"" ".........................,.•"" .. ..,,, .... " "" "... .­ I ::: :: ~2: 3~7~ 0:0 I

T01AL6 Thili PaIiod ~a!U j:Jage I~ IIWs linl (111)') ........,_...."" "......."" ... w, ........................ • I : :: : :3i7; 2; :3; 8) I 

ClI'\'Y ~ll"Ig ~IIIf'ICI\O (JII!P 1~ UN!! 3, 8cl1ecklll D" for tfIi!t; 11118. " IlI;I Sdl..:ll.lll P, caII'1l r~rV t.g ;1IPII"IIl~bI IIIIlI 01 SI.IIlWJ1.,.,. 

Exhibit A, p. 39 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 41 of 57
.'1 

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REPORT OF RECEIPTS ,as DE C- J PM 12; 22 FEe AND DISBURSEMENTS FORM 3 For An AUUlOlU6d COMrittvtI 

1.	 NAME: OF
 

oO~lTTSe lin 1\110
 

Robinson Committee, LLC I! L I I 1 , I ! I I , I I I 1 J J 

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2,	 I"l!C IDENTF1CAnCIN ~MBEA y 

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3. IS THIS 

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S1'A'T1! .. 21~ CODE" 

STJCI'E 9' fltSTl=llCT 

MA 

LJ l.J..J 

f]	 Pt'imfl1Y (121') 0 GIIJ1llr8I (120) 

o Col'Mln1.ioo [120, E] ~ac!aJ t1;2S+ 

ElecIDJ 011 ~1~·1' 'IT2l~~:·]

o ,JlJliJOII'I:)1 'lW-~ RllPOI1 ('ffl j {cl 3O-[)sy POST-~I!:ln Flepott ~t lhl: , o Ge~(300} o Runoff (:30R) 

o TermRnlnn Rspcrt (TEA) D 

Exhibit A, p. 40 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 42 of 57
.~

r	 DETAtLEO SUMMARY PAGE 

F~ l"erm 3 [Fl~ ~~3)	 cf Receipts 

Robinson Committee, LLC 

~rt CllYlIriI1g the P9riod; 

COWMNA.	 COWMHB I. RECEtPTS TotIlI This PeIIod	 EJeclkJn Cycle-ta-Dst8 

(B)	 Illdi\liooBl5lP9rBaIl& Other Than 

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14.	 OFFSET5 10 (JPE~T1NG

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1El	 TO'IN. ~acEIP11 (add Unsa 

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Exhibit A, p. 41 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 43 of 57
~L'::::lli. FAa:: Ell

, . . ~."~,r~~ ~:

48 HOUR NOTICE OF 

COKTRIBUTJONSiLOANS RECENED 09 DEC -I AM lO: 03 

l"Q ~l6OIl' tL' &fr;uontn!llllM.! ~iJnlJ allfOO(lofrlTlulw. ~1lMm I!f'~ r.t lIw 1. _ O~ 'i:QMIIITTEE4lC RIlL 

Robinson Committ.ee, LLC 

P.o. .sox 2581 

CITY, ~,Il,~ aIMIl»"calC 

Duxbury, Mti 02331 

L,_I;'O'~g,o,TE I ;J. 1,"'L"I0"'<I1;oI""""O 

f~_ Jack E. Robinson Senate - t:":I~

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l?O. Box 2587 11/29/0 $265 1 000 Ou)(:/:)ury, I'iA 02331 

attorneyEI. F" ."ulloa~.w m' KI!nM"'~. ~rl!'a'IC'l, Maun: 

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Exhibit A, p. 42 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 44 of 57
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J~~k E. Robin~on Senate - MA

48 HOUR NOTICE OF ~~G?E 1~H.'( l!~

CONTRIBUTIONS/lOANS RECElV~EC"4 ~"""WlIi04'~
 

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Exhibit A, p. 43 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 45 of 57
RQ-2 

FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 

. January 7, 2010· 

. Jack E. Robinson, Treasurer 

Robinson Committee, LLC Response· Due Date: 

P.O. Box 2587 February 11,2010
 

Duxbury, MA 02331
 

Identification Number: C00355784· 

Reference: October Quarterly Report (7/1106 - 9/30/09) 

Dear Treasurer: 

This letter is prompted by the Commission's preliminary review· of the report(s) 

referenced above. This notice requests information essential to full public disclosure of 

your federal election campaign finances. An adequate response must be received at 

the Senate Public Records Office by the response date noted above. Failure to 

adequately respond by the response date noted above COUld. result in an audit or 

enforcement action. Additional information is needed for the following items: 

1. Your committee failed to file a Post-Election Detailed Summary Page. 

The Post-Election Detailed Summary Page must be used in lieu of the 

Detailed Summary Page and Line Numbers 6-7 of the Summary Page for 

the first report filed after completion of the election cycle. The report filed 

encompasses the election held on 1117/06. The Column C figures should 

total the activity for the period of 11/8/06 -.1/19110. The Post-Election 

Detailed Summary Page can be downloaded from the FEC web site 

(www.fec.gov). Please amend your report to include a Post-Election 

Detailed Summary Page. (11 CFR §§ 104.2(a) and 104.3) . 

2. Please amend your report to include a supporting Schedule A for the 

amount reported on Line 12 of the Detailed Summary Page. All transfers to 

your committee from authorized committees of the same candidate must be 

itemized on Schedule A, regardless of the amount transferred. (11 CFR § 

104.3(a)(4)(iii)) 

3. Please provide a Schedule A to support the amount reported on Line 

13(a) of the Detailed Summary Page. Each person who makes a loan to 

your committee, or to the candidate acting as an agent of the committee, 

Exhibit A, p. 44 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 46 of 57
Robinson Committee, LLC 

Page20f4 

must be itemized on Schedule A and Schedule C. The itemization on 

Schedule A must include the person's full name, mailing address and zip 

code, along with the name ofhislher employer, hislher occupation, the date 

of the contribution/loan and the election cycle-to-date amount of 

contributions made by the person. Schedule C must include any endorser 

or guarantor of the loan, ~e d:ate the loan was made and all other terms of 

the loan. If the loan is from the candidate, you must indicate whether it is 

from his/her personal funds, or was obtained by the candidate from a bank 

loan, brokerage account, credit card, home equity line of credit or other line 

of credit. (II CFR § 104.3(a)(4)(iv» 

4. When a committee reports receiving a loan from the candidate, it is 

necessary to clarify whether ot not the candidate used personal funds or 

borrowed the money from a lending institution or some other source. 

Please amend your report to indicate whether the loan is from the 

candidate's personal funds or if he/she obtained the loan from a bank loan, 

brokerage account, credit card, home equity line of credit or" other line of 

credit. 

Ifthe candidate loan was obtained from a lending institution, you must also 

file a Schedule C-I with the Commission providing the name of the lending 

institution and the complete terms of the loan between the candidate and the 

lending institution. Schedule C-I can be downloaded from the FEC 

website· at http://www.fec.gov, or requested through the FEC Faxline at 

(202) 501-3413. Electronic filers must submit the Schedule C-l 

electronic.ally. 

If the loanes) was from personal funds. please acknowledge that fact in an 

amendment to this report. It is important to note that "personal funds" is 

strictly defined by Commission Regulations. See II CFR §100.33. 

s. The Commission notes your statement, dated 7/15/09, regarding the 

transfer of loans from the Robinson Committee, LLC (C00426718) ("the 

House Committee") to the Robinson Committee, LLC (C00355784) ("the 

Senate Committee") pursuant to 11 CFR § IlO.3(c)(4). However, the 

incorrect reporting of the loan transfer has caused the following issues on 

this report: 

•	 The Detailed Summary Page of your report discloses information 

that inflates your cash on hand. Please be advised that the total 

Exhibit A, p. 45 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 47 of 57
Robinson Committee, LLC 

Page 3 of4 

amount of loans transferred from the House Committee should not 

be included in your Schedule A total. (11 CFR § 1.04.3(a)(3)) 

•	 Your report discloses $139,630.00 in other disbursements on Line 

21, Column A, of the Detailed Summary Page. However, your 

report does not include a Schedule B to support this amount. Each 

disbursement' to a· person, which in the aggregate is greater than 

$200 for the election cycle, must be itemized on Schedule B. (11 

CFR § 104.3(b)(3)(ix)) 

•	 Commission Regulations require the continuous reporting of all 

outstanding loans. This report omits the loan(s) transferred from the 

House Committee. Please amend your report(s) to indicate the 

current status of the transferred loan in the amount of $139,630.00, 

as well as the loan incurred by the Senate Committee on 8/30/2000 

in the amount ofSI45,866.83. (11 CFR §§ I04.3(d) and 104.11) 

To correct these issues please amend your report to show the following: 

•	 The loan transfer should be disclosed on a Memo Schedule A to 

avoid the misstatement of financial activity occurring in the period. 

It will not be necessary to show an offsetting amount on Schedule B. 

•	 The loan incurred by the Senate .Committee on 8/30/2000 cannot be 

combined with the loan incurred by the House Committee. The loan 

transferred from the House Committee must be disclosed on a 

separate Schedule C. (11 CFR § 116.2(c)) 

Please notet you will not receive an additional notice from the Commission on 

this matter. Adequate responses must be received by the Commission on or before the 

due date noted above to be taken into consideration in determining whether audit action 

will be initiated. Failure to comply with the provisions of the Act may also result in an 

enforcement action against the committee. Any response submitted by your committee 

will be placed on the public record and will be considered by the Commission prior to 

taking enforcement action. Requests for extensions of time in which to respond will 

not be considered. 

A written response or an amendment to your original report(s) correcting the 

above problems should be filed with the Senate Public Records Office. Please contact 

the Senate Public Records Office at (202) 224-0322 for instructions on how and where to 

file an amendment. If you should have any questions regarding this matter or wish to 

Exhibit A, p. 46 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 48 of 57
410 

Robinson Committee, LLC 

Page 4 of4 

verify the adequacy of your response, please contact me on our toll-free number (800) 

424-9530 (at the prompt press 5 to reach the Reports Analysis Division) or my local 

number (202) 694-1147. 

Sincerely, 

Amanda J. Iovino 

Campaign Finance Analyst 

Reports Analysis Division 

Exhibit A, p. 47 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 49 of 57
RQ-2 

FEDERAL ELECTION COMMISSI

WASHINGTON, D.C. 20463 

ON 

Jack E. Robinson, Treasurer 

Robinson Committee, LLC 

P.O. Box 2587 

Duxbury, MA 02331 

February 23,2010 

Response Due Date: 

March 30, 2010 

Identification Number: C00355784 

Reference: 12 Day Pre-Primary; 12 Day Pre-Special Report (10/1/09 - 11/18/09) 

Dear Treasurer: 

This letter is prompted by the Commission's preliminary review of the report(s) 

referenced above.. This notice requests information essential to full public disclosure of 

your federal election campaign finances. An adequate response must be received at 

the Senate Public Records Office by tbe response date noted above. Failure to 

adequately respond by the response date noted above could result in an audit or 

enforcement action. Additional information is needed for the following l items: 

1. Your report contains incorrect Column B figures for Lines 6(a), 6(b), 

6(c), 7(a), 7(c), 11(a)(iii), 11(c), 11 (e), 13(a), 13(c), 16, 17, 19(a), 19(c), 

20(a), 20(d), 21, and 22 of the Summary and Detailed Summary Page· 

information. When aggregating and reporting receipts and disbursements, 

candidate committees are required to disclose their activity on an electioncycle basis, from 11/8/06 to 1/19110. Please amend your report to show 

election cycle-to-date figures for aU aggregate amounts. (2 U.S.C. § 434(b» 

2. Line l1(e), Column B, of the Detailed Summary Page information does 

not equal the sum of Lines l1(a) through 11(d). Please correct this 

discrepancy and file an amendment to your report. (11 CFR § 104.3(a)(3» 

Please note, you will not receive an additional notice from the Commission on 

this matter. Adequate responses must be received by the Commission on or before the 

due date noted above to be taken into consideration in determining whether audit action 

will be initiated. Failure to comply with the provisions of the Act may also result in an 

enforcement action against the committee. Any response submitted by your committee 

will be placed on the public record and will be considered by the Commission prior to 

taking enforcement action. Requests for extensions of time In whlcb to respond will 

not be considered. 

Exhibit A, p. 48 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 50 of 57
410 

A written response or an amendment to your original report(s) correcting the 

above problems should be filed with the Senate Public Records Office. Please contact 

the Senate Public Records Office at (202) 224-0322 for instructions on how and where to 

file an amendment. If you should have any questions regarding this matter or wish to 

verify the adequacy of your response» please contact me on our toll-free number (800) 

424-9530 (at the prompt press 5 to reach the Reports Analysis Division) or my local 

number (202) 694-1147. 

Sincerely, 

Amanda J. Iovino 

Campaign Finance Analyst 

Reports Analysis Division 

Exhibit A, p. 49 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 51 of 57
RQ-2 

FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 

March 23, 2010 

Jack E. Robinson, Treasurer 

Robinson Committee, LLC	 Response Due Date: 

P.O. Box 2587 April 27, 2010 

Duxbury, MA 02331 

Identification Number: C00355784 

Reference: Amended October Quarterly Report (711106 - 9130/09), dated 2/22110 

Dear Treasurer: 

':1 

U)	 This letter is prompted by the Commission's preliminary review of the report(s) ,..., referenced above.	 This notice requests information essential to full public disclosure of 

N 

,... your federal election campaign finances. An adequate response must be received at 

(\I the Senate Public Records Office by the response date noted above. Failure to 

(;) adequately respond by the response date noted above could result in an audit or N'l enforcement action. Additional information is needed for the foilowing item: (;) 

(;) 

....	 Column B figures for the Summary and Detailed Summary Page 

information should equal the sum of the Column B figures on your 

previous report and the Column A figures on this report minus the 

Column C figures. Please file an amendment to your report to correct the 

Column B and Column C discrepancies for Line(s) II(a)(iii), 11(d), 1iCe), 

12, 13(a), 13(c), 16, 17, 19(a), 19(c), 20(a), 20(d), 21, 22, and all 

subsequent rwoItes) that may be affected by this correction. Note that 

Column B should reflect only the election cycle-to-date totals. (2 U.S.C. § 

434(b» 

Please note, you will not receive an additional notice from tbe Commission on 

tbis matter. Adequate responses must be received by the Commission on or before the 

due date noted above to be taken into consideration in determining whether audit action 

will be initiated. Failure to comply with the provisions of the Act may also result in an 

enforcement action against the committee. Any response submitted by your committee 

will be placed on the public record and will be considered by the Commission prior to 

taking enforcement action. Requests for extensions of time in wbich to respond will 

not be considered. 

Exhibit A, p. 50 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 52 of 57
410 

A written response or an amendment to your original report(s) correcting the 

above problems should be filed with the Senate Public Records Office. Please contact 

the Senate Public Records Office at (202) 224-0322 for instructions on how and where to 

file an amendment. If you should have any questions regarding this matter or wish to 

verify the adequacy of your response, please contact me on our toll-free number (800) 

424-9530 (at the prompt press 5 to reach the Reports Analysis Division) or my local 

number (202) 694-1147. 

Sincerely, 

Amanda J. Iovino 

Campaign Finance Analyst 

Reports Analysis Division 

Exhibit A, p. 51 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 53 of 57
SlTR ClAR:Y OF ··HiE )~.~.A.~ r ID APR 22 A~ ~O: 22 

FEe 

FORM 3 

1. NAME OF TYPE OR PRM • ::i:~~i~, typ3 {2 iE{M{ : : ] COMMrTTEE ~J1 rulD 

Robiosoh committee, LLC 

I i I I I I I I I I I I I I I I II I I I I I I I I I I 

I I I I I I I I ! I 'II I I I I 

PO Boo:.:. 2587 I I I I I ! I I I 

I I I I I I I I I I I J IJ Duxbury I 02331 I I I I I I I I I 1 I I I~I I 

I 

2. FEe IDEN'I1F1CATION NU.-eJl T STATr;:· ZIP co~r;:.It.

STJU"E .... DISTRICT 

3. IS 1lliS NEW IlIA 

FlI;J'oFIT L;;i 

I 

IN'J 0 Jl W

4. TYPJi OF REPORT (ChoaoIe Onet 

(a) QllBmrty FbIpor1l:I: 

0 ",,"115 C1l.1i1tW'1l' (01) 

0 JUly 1 5 Qlmtefl\l RBport (02) 

0 o..tobor 1 Qu.-1oertt Re!)O 11 I

I] Jr;nJ~ 31 Yeoa~d Rtpott ("r'E) 

0 "DmltM1lon [TEAl 

I 

12-C1'ay PR~EIElCtil71 rEJIort fur the: 

o F'rlmary (l2f) 0 GenElntl (12GJ o AunofI (1:2R1 I 

o eorwJoo (1 ~Cj 0 SpecIal (1 ~S)

In tM ~ectm 00 LJ]

I 

I r::J rI':y: y:1 State of· o

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Icl 3D-Da.)I PC8T.EI9Gli~ RIIIlM fur tll'l: 

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In me 

,+

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EJeGt~ m EEl' I:::j I I :y : y :1 5~4;lr o

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I

I I;Ifrlify !Mt , t'lriil'll u.amiD8d thiS Rt1pOI't ana' ro l1'Ie bMr 01 my mo~ n f:t ave, c>ol1"eet NlJI1 ~~

1)11)0 (I' Pt1t'11 Namo or Treas~ oJ ack E. R9b i n!5 on 

&,,,...,rT__ il:::../~ I" - Dote liiiTIJZlTI<i\CI


1tQTI;: 51,J1;niJ,;1;W1 Qf ~, .m:::t:r-:>¢rr'lPIeto may t~ J p&lIM algnlt'lg Ilia A!IfIlll11ft 1M peNJlIH of 2 U.s.c. §"::I7g.. 

L [;[ T I I I I I I :] ~~~~~~3 -.J
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~'B

Exhibit A, p. 52 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 54 of 57
r	 DETAILED SUMMARY PAGE 

of RecaiplS I 

, Robinson Cornmitt@e. k~~	 I 

I 

I. RECEIPTS 

11.	 CONTRIBUTIONS (olhl!f 'han IIcBn!lI FROM: 

(81	 IrvJl... II;lU:l~ns othlll" Than 

PoIili::iiJ CamlTillBt!6 

O~ I'~I~ (USe &h~1J11II A) •••,.,..,,, 

lin Unitmlized . 

i1111 ,.01'A,L ot CO"rtritlu~

from ltdv1dt.llll$ ."...".".." ""'''' ... 

{b)	 P(iIIlCI1lI P:lrtY COr'nmith§. ,." ,..,..,..... 

(c:I QlIMl' PoliMill CcJ II'WT1 illiBs 

{lUCh &!l MO!ll ,.. 

{do)	 Thll Cllmfdst9 . 

.{e!	 roTAL CONrRIBUTlONS 

Joers thlll1 loana) 

l:le!d L.ir'Ml!3 11 (a,Wlil). lb), (c). am (cill·· 

12.	 TRANSFERS F~OM Oflol.!;~

J\l,JTlol~ IZEiD roMMrTTEES . 

1:3.	 LOANS: 

(:8)	 MsCle Of GUAtMlnd by lhe 

CandIda~ ,." .." .." .."..""""".,,, . 

(b]	 All Olt1er LotInS..".,,,.. ,,., .. 

(c)	 TOTAL LOANS 

(ad;! lJnss 13(a] and {b» . 

h1.	 OI"I"'SETS ro Of'ERAT1N G 

EXPENDITURES 

(Refunds, ~~ e1t.J ........" .." .."" ".. ".' 

'::i,	 OTHER REGBF'TS 

(Di'iidand6l, InterE!II, et<;.~ ... ,..,""".. ".."."" , 

1S.	 TO'W.. Rl:;CaPfS [add lJml5 

11je}, 12, 13(c~ l4., 8f1d 15} .... (OaIry Total tIl LJn!!! 24, ~e 4)....." ..", 

:: =:': i : : : l I: :Ed: : : : : : .: :]

: : : : :: t ::::J I:: ,: : :: ::: : I
 ::=::! : ::l I::Ed:: :::2 ~8~7: ::I ::=::I : : : I I:::::::::: I
 

:::::":1 :,: : J C =:::::::I 

: : : : : : I : : : J 1:::::::7.;5: :I 

I 

L	 .J
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Exhibit A, p. 53 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 55 of 57
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Exhibit A, p. 54 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 56 of 57
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Exhibit A, p. 55 of 55.

Case 1:10-cv-11335-GAO Document 5-2 Filed 10/08/10 Page 57 of 57
tisri~~ _ 

%II JUN 2S 10 I: ,~ .... . .. JACK E. ROBINSON, ESQ. 

P.O. Box 2587 

Duxbury, MA 02331 2010 .JUN 2\ P 12: O€,\ 

RobinsonEsq@aol.com 

781-934-6755 

June 18,2010 

VIA FEDERAL EXPRESS 

Attn: Secretary 

Federal Election Commission 

999 E Street, NW 

Washington, D.C. 20004 

C00355784 

AF#2122 

Dear SirlMadam: 

This shall serve as the Response ofRobinson Committee, LLC ("Committee") and the 

Committee's Treasurer Jack E. Robinson ("Robinson") to the reviewing officer's 

recommendation dated June 4,2010 that the Committee and Robinson violated 2 U.S.C. § 

434(a) by failing to file a 2009 Year End Report and should be assessed a civil money penalty of 

$6,050 (the "Recommendation"). The Recommendation was sent to the Committee and 

Robinson on June 8, 2010. Thus, this Response is timely. See 11 C.F.R. § 111.36(f). 

The Recommendation should be rejected and no penalty should be assessed because the 

Year End Report was merely late as opposed to not having been filed at all. Furthermore, the 

Committee and Robinson used their "best efforts" to file the Report on time but were unable to 

do so in light ofthe unique circumstances of the Massachusetts special senate primary that 

occurred in December 2009. Finally, assuming a penalty is appropriate, it should be no more 

than $1,000 because the reviewing officer incorrectly computed the amount. See 11 C.F.R. 

§ 111.43. 

The Recommendation is based on the faulty premise that the Report could have been 

completed before Robinson's tax returns were filed. See Recommendation at 3 ("It is unclear 

why Mr. Robinson thought he needed to wait until his 2009 taxes were prepared before he could 

file the Year End Report."). Because the Committee's operations were entirely self-funded by 

Robinson, and because Robinson could not calculate the total amount of candidate loans 

provided to the Committee until his 2009 taxes were prepared, in order to ensure accuracy 

Robinson simply was unable to file the Report until those tax returns were prepared and filed. 

Robinson filed the Report at the same time he filed his tax returns - April 15, 2010. 

Page 1 of2 

Exhibit B, p. 1 of 2.

Case 1:10-cv-11335-GAO Document 5-3 Filed 10/08/10 Page 1 of 2
1/
 

Adding to the Committee's filing burden was the necessity to respond to numerous 

Requests for Additional Information from the Commission dated January 7, 2010 (before the 

Report was due), February 23, 20lO, and March 23, 2010. 

Finally, even though the Report was admittedly filed 81 days late, the harm to the public 

interest was nonexistent because (1) the Committee's operations were entirely funded by 

Robinson, and (2) Robinson lost the Massachusetts special Republican senate primary held in 

December 2009 to the ultimate general election winner - Sen. Scott Brown. Once the primary 

was over in early December 2009, the public's interest in the Committee's financial operations 

and disclosure was nonexistent because the public's focus turned entirely to the campaign 

finances ofthe two general election candidates - Sen. Brown and his Democratic opponent 

Martha Coakley. In sum, no harm occurred by virtue ofthe late filing of the Committee's Year 

End report (even if filed 81 days late) under the unique circumstances created by the special 

senate election in Massachusetts that occurred in December 2009 (primary) and January 2010 

(general). 

In light ofthe truly unique circumstances ofthis matter, the best efforts utilized by the 

Committee and Robinson to file accurate reports in a timely manner, and no prior violations by 

the Committee or Robinson, the Commission should, pursuant to II C.F.R. § 111.37(b), reject 

the Recommendation in its entirety. Alternatively, the Commission should assess a penalty of 

no more than $1,000 based on incorrect calculations by the reviewing officer. 

Sincerely, 

... 

Jack E. Robinson 

Page 20f2 

Exhibit B, p. 2 of 2.

Case 1:10-cv-11335-GAO Document 5-3 Filed 10/08/10 Page 2 of 2
FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 

July 23,2010 

VIA CERTIFIED MAIL 

RETURN RECEIPT REQUESTED 

Jack E. Robinson, in his official capacity as Treasurer 

Robinson Committee, LLC 

P.O. Box 2587 

Duxbury, Massachusetts 02331 

C00355784 

AF# 2122 

Dear Mr. Robinson: 

On March 25,2010, the Federal Election Commission ("the Commission") found reason 

to believe ("RTB") that the Robinson Committee, LLC and you, in your official capacity as 

Treasurer, violated 2 U.S.C. § 434(a) for failing to file the 2009 Year End Report. By letter 

dated March 29,2010, the Commission sent you notification of the RTB finding that included a 

civil money penalty calculated at RTB of $6,050 in accordance with the schedule of penalties at 

11 C.F.R. § 111.43. On April 26, 2010, the Office of Administrative Review received the 

written response from you challenging the RTB finding and civil money penalty. 

The Reviewing Officer reviewed the Commission's RTB finding with its supporting 

documentation and the written response. Based on this review, the Reviewing Officer 

recommended that the Commission make a final determination that the Robinson Committee, 

LLC and you, in your official capacity as Treasurer, violated 2 U.S.C. § 434(a) and assess a civil 

money penalty in the amount of $6,050 in accordance with 11 C.F.R. § 111.43. The basis for the 

Reviewing Officer's recommendation was included in the Final Determination Report, a copy of 

which was sent to you on June 8, 2010. 

On June 21, 2010, the Commission received your response. On July 22, 2010, the 

Commission adopted the Reviewing Officer's recommendation and made a final determination 

that the Robinson Committee, LLC and you, in your official capacity as Treasurer, violated 

2 U.S.C. § 434(a) and assessed a civil money penalty of $6,050. It is based on the same factors 

used to calculate the civil money penalty at RTB. A copy of the final determination 

recommendation is attached. 

If You Choose to Appeal the Final Determination and/or Civil Money Penalty 

If you choose to appeal the final determination, you should submit a written petition, 

within 30 days of receipt of this letter, to the district court of the United States for the district in 

which the committee or treasurer reside, or transact business, requesting that the final 

1
 

Exhibit C, p. 1 of 3.

Case 1:10-cv-11335-GAO Document 5-4 Filed 10/08/10 Page 1 of 3
determination be modified or set aside. See 2 U.S.c. § 437g(a)(4)(C)(iii). The failure to raise an 

argument in a timely fashion during the administrative process shall be deemed a waiver of the 

respondents' right to present such argument in a petition to the district court under 

2 U.S.C. § 437g. 11 C.F.R. § 111.38. 

IfYou Choose Not to Pay the Civil Money Penalty and Not to Appeal 

Unpaid civil money penalties assessed through the Administrative Fine regulations will 

be subject to the Debt Collection Act of 1982 ("DCA") as amended by the Debt Collection 

Improvement Act of 1996 ("DCIA"), 31 U.S.c. § 3701 et seq. If you do not pay this debt within 

30 days (or file a written petition to a federal district court - see below), the Commission will 

transfer the debt to the U.S. Department of the Treasury ("Treasury") for collection. Within 5 

days of the transfer to Treasury, Treasury will contact the debtor and request payment. Treasury 

currently charges a fee of28% of the civil money penalty amount for its collection services. The 

fee will be added to the amount of the civil money penalty that you owe. Should Treasury's 

attempts fail, Treasury will refer the debt to a private collection agency ("PCA"). If the debt 

remains unpaid, Treasury may recommend that the Commission refer the matter to the 

Department ofJustice for litigation. 

If You Choose to Pay the Civil Money Penalty 

If you should decide to pay the civil money penalty, send the enclosed fonn and payment 

to the address on page 3 within 30 days of receipt of this letter. 

The confidentiality provisions at 2 U.S.C. § 437g(a)(l2) no longer apply and this matter 

is now public. The file will be made a part of the public record pursuant to 

11 C.F.R. § lll.42(b). Although the file must be placed on the public record within 30 days 

from the date of the Commission's notification, this could occur at any time following 

certification of the Commission's vote. 

If you have any questions regarding the payment of the civil money penalty, please 

contact Dayna Brown on our toll free number (800)424-9530 (press 0, then ext. 1660) or 

(202)694-1660. 

On behalf of the Commission, 

Matthew S. Petersen 

Chairman 

Attachment 

2
 

Exhibit C, p. 2 of 3.

Case 1:10-cv-11335-GAO Document 5-4 Filed 10/08/10 Page 2 of 3
ADMINISTRATIVE FINE PAYMENT INSTRUCTIONS 

In accordance with the schedule of penalties at 11 C.F.R. § 111.43, the civil money penalty is 

$6,050 for the 2009 Year End Report. 

This penalty should be paid by check or money order, made payable to the Federal Election 

Commission. It should be sent by mail to: 

Federal Election Commission
 

PO Box 979058
 

St. Louis, MO 63197-9000
 

If you choose to send your payment by courier or overnight delivery, please use this address: 

U.S. Bank - Government Lockbox
 

FEC # 979058
 

1005 Convention Plaza
 

Attn: Government Lockbox, SL-MO-C2GL
 

St. Louis, MO 63101
 

The form and payment are due within 30 days ofreceipt of this letter. 

PAYMENTS BY PERSONAL CHECK 

Personal checks will be converted into electronic funds transfers (EFTs). Your account will 

be electronically debited for the amount on the check, usually within 24 hours, and the debit will 

appear on your regular statement. We will destroy your original check and keep a copy of it. In 

case the EFT cannot be processed for technical reasons, you authorize us to process the copy in 

lieu of the original check. Should the EFT not be completed because of insufficient funds, we 

may try to make the transfer twice. 

PLEASE DETACH AND RETURN THE PORTION BELOW WITH YOUR PAYMENT 

FOR: Robinson Committee, LLC 

FEC ID#: C00355784 

AF#: 2122 

PAYMENT AMOUNT DUE: $6,050 

3 

Exhibit C, p. 3 of 3.

Case 1:10-cv-11335-GAO Document 5-4 Filed 10/08/10 Page 3 of 3