This section of the FEDERAL REGISTER

contains regulatory documents having general

applicability and legal effect, most of 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.

Rules and Regulations Federal Register

31345 

Vol. 74, No. 125 

Wednesday, July 1, 2009 

1 28 U.S.C. 2461 note, as amended by Debt 

Collection Improvement Act of 1996, Public Law 

104–134, 110 Stat. 1321–73, sec. 31001(s)(1) (1996); 

Public Law 105–362, 112 Stat. 3293 (1998). 

2 28 U.S.C. 2461 note (3)(2). 

3 28 U.S.C. 2461 note (7). 

FEDERAL RETIREMENT THRIFT 

INVESTMENT BOARD 

5 CFR Part 1600 

Employee Contribution Elections and 

Contribution Allocations 

AGENCY: Federal Retirement Thrift 

Investment Board. 

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. 

DATES: Effective Date: The Agency’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 pay period in August. 

Gregory T. Long, 

Executive Director, Federal Retirement Thrift 

Investment Board. 

[FR Doc. E9–15536 Filed 6–30–09; 8:45 am] 

BILLING CODE 6760–01–P 

FEDERAL ELECTION COMMISSION 

11 CFR Part 111 

[Notice 2009–09] 

Civil Monetary Penalties Inflation 

Adjustments 

AGENCY: Federal Election Commission. 

ACTION: Final rules. 

SUMMARY: In accordance with the 

Federal Civil Penalties Inflation 

Adjustment Act of 1990, as amended, 

the Federal Election Commission is 

adopting final rules to apply inflation 

adjustments to certain civil monetary 

penalties under the Federal Election 

Campaign Act of 1971, as amended 

(‘‘FECA’’), the Presidential Election 

Campaign Fund Act, and the 

Presidential Primary Matching Payment 

Account Act. The civil penalties being 

adjusted are for certain violations of 

these statutes that are not knowing and 

willful, involving contributions and 

expenditures; knowing and willful 

violations of the prohibition against the 

making of a contribution in the name of 

another; knowing and willful violations 

of the confidentiality provisions of 

FECA; certain penalties for late filed or 

non-filed reports under the 

administrative fines program; and 

failure to file timely 48-hour notices. 

The adjusted civil monetary penalties 

are calculated according to the formula 

set forth in the law and will be effective 

for violations occurring on or after the 

effective date of these rules. Further 

information is provided in the 

supplementary information that follows. 

DATES: Effective on July 1, 2009. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Robert M. Knop, Assistant General 

Counsel, or Ms. Cheryl A.F. Hemsley, or 

Ms. Jessica Selinkoff, Attorneys, 999 E 

Street, NW., Washington, DC 20463, 

(202) 694–1650 or (800) 424–9530. 

SUPPLEMENTARY INFORMATION: The 

Federal Civil Penalties Inflation 

Adjustment Act of 1990, as amended,1

(the ‘‘Inflation Adjustment Act’’) 

requires Federal agencies to adjust for 

inflation the civil monetary penalties 

within their jurisdiction at least once 

every four years according to detailed 

formulae. A civil monetary penalty 

(‘‘civil penalty’’) is defined in the 

Inflation Adjustment Act 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 agency 

in an administrative proceeding or by a 

Federal court pursuant to Federal law.2

Further, the Inflation Adjustment Act 

contains a 10% penalty cap on the first 

adjustment of any civil penalty. That is, 

the first adjustment made to the civil 

penalty may not exceed 10% of the 

starting civil penalty.3 Under the 

Federal Election Campaign Act of 1971 

(‘‘FECA’’), as amended, 2 U.S.C. 431 et 

seq., the Federal Election Commission 

(‘‘Commission’’) has jurisdiction over 

several civil penalties for respondents 

who violate FECA, the Presidential 

Election Campaign Fund Act, 26 U.S.C. 

9001 et seq., or the Presidential Primary 

Matching Payment Account Act, 26 

U.S.C. 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 (‘‘COLA’’) 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 U.S.C. 

553(b)(B) and (d)(3). 

For the same reasons, these rules do 

not need to be submitted to the Speaker 

31346 Federal Register / Vol. 74, No. 125 / Wednesday, July 1, 2009 / Rules and Regulations 

4 28 U.S.C. 2461 note (5)(b). 

5 28 U.S.C. 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 to $100, the increase is rounded to the nearest 

$10; if the existing penalty is greater than $100 but 

less than or equal to $1,000, the increase is rounded 

to the nearest $100; if the existing penalty is greater 

than $1,000 but less than or equal to $10,000, the 

increase is rounded to the nearest $1,000; and if the 

existing penalty is greater than $10,000 but less 

than or equal to $100,000, the increase is rounded 

to the nearest $5,000. 

6See Explanation and Justification for Final Rules 

on Inflation Adjustments for Civil Monetary 

Penalties, 70 FR 34633 (June 15, 2005) (‘‘2005 

Adjustment’’); Explanation and Justification for 

Final Rules on Adjustments to Civil Monetary 

Penalty Amounts, 62 FR 11316 (Mar. 12, 1997) 

(‘‘1997 Adjustment’’). In January 2002, the rounding 

rules resulted in no adjustments. Agenda Doc. 02– 

06 (Jan. 17, 2002). 

7Election-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 impact because they are filed 

in proximity to an election. Accordingly, the 

schedule of penalties imposes a higher civil penalty 

for these reports than for all other reports, which 

are non-election-sensitive. 

of the House of Representatives or the 

President of the Senate under the 

Congressional Review Act, 5 U.S.C. 801 

et seq., and these rules are effective 

upon publication. 5 U.S.C. 808(2). 

Accordingly these amendments are 

effective on July 1, 2009. The new civil 

penalties are applicable only to 

violations that occur after this effective 

date. 

Explanation and Justification 

Under the Inflation Adjustment Act, 

the Commission must adjust civil 

penalties by a COLA defined as the 

percentage by which the U.S. 

Department of Labor’s Consumer Price 

Index for all urban consumers (‘‘CPI’’) 

for June of the year preceding the 

adjustment exceeds the CPI for June of 

the year in which each civil penalty was 

last set or adjusted.4 The amount of the 

resulting increase is then subject to 

rounding rules based on the size of the 

civil penalty.5 The Inflation Adjustment 

Act imposes a 10% cap on the first 

adjustment under its rules, but no cap 

on subsequent adjustments. 

The Commission has previously 

applied the Inflation Adjustment Act 

formulae to its civil penalties in 1997, 

2002, and 2005.6 As explained in more 

detail below, the Commission has 

determined that the Inflation 

Adjustment Act now requires the 

Commission to 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 because of the rounding rules. 

1. 111.24—Civil Penalties (2 U.S.C. 

437g(a)(5), (6), (12), 28 U.S.C. 2461 nt.) 

FECA provides for civil penalties for 

any person who violates any portion of 

FECA or chapters 95 and 96 of Title 26. 

FECA’s civil penalties, found at 2 U.S.C. 

437(g)(a)(5), (6), and (12), are organized 

into two tiers: One tier of civil penalties 

for violations of FECA or chapters 95 

and 96 of Title 26, and a higher tier of 

civil penalties for ‘‘knowing and 

willful’’ violations of FECA or chapters 

95 and 96 of Title 26. Commission 

regulations in section 111.24 set forth 

each civil penalty established by section 

437g(a)(5), (6), and (12), as adjusted 

pursuant to the Inflation Adjustment 

Act. 

Example 

The following is a detailed example of 

the application of the Inflation 

Adjustment Act formulae to FECA civil 

penalties. The $5,000 civil penalties 

provided for in 2 U.S.C. 437g(a)(5)(A), 

(6)(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 (218.815) 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 increase (0.125) 

for a raw increase of $812.50. The result 

is rounded to $1,000. Finally, the 

rounded increase is added to the civil 

penalty, for a new section 111.24(a)(1) 

civil penalty of $7,500. 

Using the same Inflation Adjustment 

Act formulae, the Commission must also 

adjust other civil penalties in 11 CFR 

111.24. Since each of these civil 

penalties has been previously adjusted, 

the 10% cap for first time adjustments 

does not apply to any of them. The 

complete list of all civil penalty 

adjustments in section 111.24 is as 

follows: 

Section Previous 

civil penalty 

Last 

adjusted COLA increase Raw increase Rounded to New civil penalty 

11 CFR 111.24(a)(1) .................................... $6,500 2005 0.125 (218.815/194.5) $812.50 $1,000 $7,500 

11 CFR 111.24(a)(2)(i) ................................ 11,000 1997 0.365 (218.815/160.3) 4,015 5,000 16,000 

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 

11 CFR 111.24(b) ........................................ 6,500 2005 0.125 (218.815/194.5) 812.50 1,000 7,500 

Note that the civil 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 permits the Commission to 

assess civil penalties for violations of 

the reporting requirements of 2 U.S.C. 

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 

reports. Reports are considered to be 

late-filed if they are filed after their due 

date under 11 CFR 104.5 but before a 

date certain which is determined by 

whether the reports are electionsensitive or not.7 Reports are considered 

not filed if they either are filed after that 

date certain or are not filed at all. See 

11 CFR 111.43(e). 

The Commission first promulgated 

two schedules of penalties for late filing 

violations in 2000 in 11 CFR 111.43(a) 

and (b), for non-election-sensitive 

reports and election-sensitive reports, 

respectively. Explanation and 

Justification for Final Rules on 

Administrative Fines, 65 FR 31787 (May 

19, 2000). The penalty calculations were 

based on the ‘‘level of activity,’’ as 

defined in the 2000 regulations at 11 

CFR 111.43(d), reported 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 

Federal Register / Vol. 74, No. 125 / Wednesday, 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 schedules at 11 

CFR 111.43(a)(2) (non-electionsensitive) and 11 CFR 111.43(b)(2) 

(election-sensitive). The penalty 

schedules for previous reports were 

located in 11 CFR 111.43(a)(1) (nonelection-sensitive) and 111.43(b)(1) 

(election-sensitive). The Commission 

also revised its definitions for ‘‘level of 

activity’’ and ‘‘estimated level of 

activity’’ for reports due on or after 

April 16, 2003. 

The Commission has now 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 

civil 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 April 16, 

2003 would need to have been 

commenced before April 16, 2008. See 

28 U.S.C. 2462. Accordingly, the 

Commission is removing paragraphs 

(a)(1) and (b)(1) 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)(1) obviates the need 

to distinguish between different 

definitions of ‘‘level of activity’’ and 

‘‘estimated level of activity’’ 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 adjusted. See 2005 

Adjustment, 70 FR at 34635. 

Accordingly, this is the first adjustment 

of these civil penalties under the 

Inflation Adjustment Act and the 10% 

cap applies to any adjustments made. 

To make the adjustments, the 

Inflation Adjustment Act formula is 

applied to each civil penalty in the 

schedules to determine what, if any, 

adjustment must be made. First, the CPI 

for 2008 is divided by the CPI for June 

of 2003 (218.815/183.7) to determine the 

applicable COLA of 0.191. Then, each 

civil penalty is multiplied by the COLA 

to determine the amount of the 

unrounded raw increase. Next, the 

statutory rounding formula is applied to 

that raw increase amount. The resulting 

rounded increase is then added to the 

current civil penalty to determine the 

new raw civil penalty. Finally, the 

statutory 10% penalty cap is applied as 

necessary. Accordingly, if the new raw 

civil penalty is larger than 110% of the 

current civil penalty, the raw penalty is 

adjusted downward to conform to that 

penalty cap. The actual adjustment to 

each civil penalty is shown in the 

schedules in the rule text, below. 

The Commission must also adjust the 

$5,500 civil penalty provided for in 

2000 in 11 CFR 111.43(c), and 

repromulgated in 2003, which has not 

been adjusted pursuant to the Inflation 

Adjustment Act. To determine this 

year’s adjustment, the 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 $5,500 is multiplied by 

the COLA for a raw increase of 

$1,050.50, which is then rounded to 

$1,000. Again, this first adjustment 

pursuant to the Inflation Adjustment 

Act is capped at 10 percent of the 

original penalty ($5,500), for a new 

section 111.43(c) civil penalty of $6,050. 

3. 11 CFR 111.44—Schedule of Penalties 

for 48-Hour Notices 

Principal campaign committees are 

required to report, within 48 hours of 

receipt, any contributions of $1,000 or 

more that are received after the 20th 

day, but more than 48 hours before any 

election. 2 U.S.C. 434(a)(6). FECA 

permits the Commission to assess civil 

penalties for violations of the 48-hour 

notice reporting requirement. 2 U.S.C. 

437g(a)(4)(C). The Commission last 

adjusted the civil penalty for these 

reporting violations in 2005 to $110 + 

(.10 x amount of contribution(s) not 

timely reported). See 2005 Adjustment, 

70 FR at 34635; Explanation and 

Justification for Final Rules on 

Administrative Fines, 65 FR 31787, 

31793 (May 19, 2000). To determine this 

year’s adjustment, The 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 COLA 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 civil money penalty.’’ 

Certification of No Effect Pursuant to 5 

U.S.C. 605(b) (Regulatory Flexibility 

Act) 

The provisions of the Regulatory 

Flexibility Act 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 U.S.C. 553 or any 

other laws. 5 U.S.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. 437g, 437d(a)) 

■ 1. The authority citation for part 111 

continues to read as follows: 

Authority 2 U.S.C. 432(i), 437g, 437d(a), 

438(a)(8); 28 U.S.C. 2461 nt. 

■ 2. Section 111.24 is amended by 

revising paragraphs (a)(1), (a)(2)(i), 

(a)(2)(ii) and (b) to read as follows: 

§ 111.24 Civil Penalties (2 U.S.C. 

437g(a)(5), (6), (12), 28 U.S.C. 2461 nt.). 

(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. 

31348 Federal Register / Vol. 74, No. 125 / Wednesday, July 1, 2009 / Rules and Regulations 

(ii) Notwithstanding paragraph 

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

knowing and willful violation of 2 

U.S.C. 441f, 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 

$60,000 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)(12)(A) 

makes public any notification or 

investigation under 2 U.S.C. 437g 

without receiving the written consent of 

the person receiving such notification, 

or the person with respect to whom 

such investigation is made, shall be 

fined not more than $3,200. Any such 

member, employee, or other person who 

knowingly and willfully violates this 

provision shall be fined not more than 

$7,500. 

■ 3. Section 111.43 is amended by 

revising paragraphs (a), (b), (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 CFR 104.5, 

shall be calculated in accordance with 

the following schedule of penalties: 

If the level of activity in the 

report was: And the report was filed late, the civil money penalty is: Or the report was not filed, the civil money penalty is: 

$1–4,999.99 a ....................... [$25 + ($5 x Number of days late)] × [1 + (.25 × Number of previous violations)].$250 × [1 + (.25 × Number of previous violations)]. 

$5,000–9,999.99 .................. [$55 + ($5 × Number of days late)] × [1 + (.25 × Number of previous violations)].$330 × [1 + (.25 × Number of previous violations)]. 

$10,000–24,999.99 .............. [$110 + ($5 × Number of days late)] × [1 + (.25 × Number of previous violations)].$550 × [1 + (.25 × Number of previous violations)]. 

$25,000–49,999.99 .............. [$200 + ($20 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$990 × [1 + (.25 × Number of previous violations)]. 

$50,000–74,999.99 .............. [$330 + ($82.50 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$2,970 × [1 + (.25 × Number of previous violations)]. 

$75,000–99,999.99 .............. [$440 + ($110 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$3,850 × [1 + (.25 × Number of previous violations)]. 

$100,000–149,999.99 .......... [$660 + ($125 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$4,950 × [1 + (.25 × Number of previous violations)]. 

$150,000–199,999.99 .......... [$880 + ($150 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$6,050 × [1 + (.25 × Number of previous violations)]. 

$200,000–249,999.99 .......... [$1,100 + ($175 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$7,150 × [1 + (.25 × Number of previous violations)]. 

$250,000–349,999.99 .......... [$1,500 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$8,800 × [1 + (.25 × Number of previous violations)] 

$350,000–449,999.99 .......... [$2,000 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$9,900 × [1 + (.25 × Number of previous violations)]. 

$450,000–549,999.99 .......... [$2,500 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$10,450 × [1 + (.25 × Number of previous violations)]. 

$550,000–649,999.99 .......... [$3,300 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$11,000 × [1 + (.25 × Number of previous violations)]. 

$650,000–749,999.99 .......... [$3,850 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$10,500 × [1 + (.25 × Number of previous violations)]. 

$750,000–849,999.99 .......... [$4,400 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$11,000 × [1 + (.25 × Number of previous violations)]. 

$8,50,000–949,999.99 ......... [$4,950 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$11,500 × [1 + (.25 × Number of previous violations)]. 

$950,000 or over .................. [$5,500 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$12,000 × [1 + (.25 × Number of previous violations)]. 

aThe civil money penalty for a respondent who does not have any previous violations will not exceed the level of activity in the report. 

(b) The civil money penalty for 

election sensitive reports that are filed 

late or not filed shall be calculated in 

accordance with the following schedule 

of penalties: 

If the level of activity in the 

report was: And the report was filed late, the civil money penalty is: Or the report was not filed, the civil money penalty is: 

$1–4,999.99 a ....................... [$55 + ($10 × Number of days late)] × [1 + (.25 × Number of previous violations)].$550 × [1 + (.25 × Number of previous violations)]. 

$5,000–9,999.99 .................. [$110 + ($10 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$660 × [1 + (.25 × Number of previous violations)]. 

$10,000–24,999.99 .............. [$150 + ($10 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$990 × [1 + (.25 × Number of previous violations)]. 

$25,000–49,999.99 .............. [$330 + ($25 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$1,400 × [1 + (.25 × Number of previous violations)]. 

$50,000–74,999.99 .............. [$495 + ($82.50 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$3,300 × [1 + (.25 × Number of previous violations)]. 

$75,000–99,999.99 .............. [$660 + ($110 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$4,400 × [1 + (.25 × Number of previous violations)]. 

Federal Register / Vol. 74, No. 125 / Wednesday, July 1, 2009 / Rules and Regulations 31349 

If the level of activity in the 

report was: And the report was filed late, the civil money penalty is: Or the report was not filed, the civil money penalty is: 

$100,000–149,999.99 .......... [$990 + ($125 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$5,500 × [1 + (.25 × Number of previous violations)]. 

$150,000–199,999.99 .......... [$1,200 + ($150 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$6,600 × [1 + (.25 × Number of previous violations)]. 

$200,000–249,999.99 .......... [$1,500 + ($175 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$8,250 × [1 + (.25 × Number of previous violations)]. 

$250,000–349,999.99 .......... [$2,250 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$9,900 × [1 + (.25 × Number of previous violations)]. 

$350,000–449,999.99 .......... [$3,300 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$11,000 × [1 + (.25 × Number of previous violations)]. 

$450,000–549,999.99 .......... [$4,125 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$11,000 × [1 + (.25 × Number of previous violations)]. 

$550,000–649,999.99 .......... [$4,950 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$12,000 × [1 + (.25 × Number of previous violations)]. 

$650,000–749,999.99 .......... [$5,775 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$13,000 × [1 + (.25 × Number of previous violations)]. 

$750,000–849,999.99 .......... [$6,600 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$15,400 × [1 + (.25 × Number of previous violations)]. 

$850,000–949,999.99 .......... [$7,425 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$16,500 × [1 + (.25 × Number of previous violations)]. 

$950,000 or over .................. [$8,250 + ($200 × Number of days late)] × [1 + (.25 × 

Number of previous violations)].

$17,600 × [1 + (.25 × Number of previous violations)]. 

aThe civil money penalty for a respondent who does not have any 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 $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 18(a) of FEC Form 3X 

Disbursements 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)] ÷ Number of reports filed to 

date covering the activity in the current 

two-year election cycle. 

(B) 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 twoyear election cycle)—(Transfers received 

from non-Federal account(s) as reported 

on Line 18(a) of FEC Form 3X 

Disbursements 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)] ÷ Number of reports filed 

covering the activity in the prior twoyear election cycle. 

(3) Level of activity means: 

(i) 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 

(d)(2)(i) of this section. 

(ii) 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 

FEC 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)(ii) 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 (d)(2)(ii) of this 

section. 

(4) Number of previous violations 

means all prior final civil money 

penalties assessed under this subpart 

during the 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 

civil money penalty.’’ 

Dated: March 25, 2009. 

On behalf of the Commission. 

Steven 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 6–30–09; 8:45 am] 

BILLING CODE 6715–01–P