Congressional Candidates and Committees--PDF by ps94506

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									                                              Congressional
Federal Election Commission Campaign Guide


                                             Candidates and
                                                Committees
                                                    April 2008
                                                   Introduction
                                                   This Guide was written to help U.S. House and
About this Guide                                   Senate candidates comply with the Federal Election
This Campaign Guide for Congressional Candidates   Campaign Act and FEC regulations. It may be used
and Committees replaces the June 2004 edition.     by committees supporting Presidential candidates
It summarizes the federal campaign finance laws    who are not seeking public funding. However, spe-
applicable to candidate committees as of April     cial reporting rules apply to Presidential candidates,
2008. For updated information, please consult      as explained in footnotes to the reporting chapters.
the monthly Record supplements to this guide at    This publication provides guidance on certain
www.fec.gov/info/publications.shtml#guides.        aspects of federal campaign finance law. It is not
                                                   intended to replace the law or to change its mean-
                                                   ing, nor does this publication create or confer any
                                                   rights for or on any person or bind the Federal
                                                   Election Commission (Commission) or the public.
    Federal Election Commission                    The reader is encouraged also to consult the
                                                   Federal Election Campaign Act of 1971, as amended
    Washington, DC 20463                           (2 U.S.C. §431 et seq.), Commission regulations
    Commissioners:                                 (Title 11 of the Code of Federal Regulations), Com-
            David M. Mason, Chairman               mission advisory opinions, and applicable court
                                                   decisions. For further information, please contact:
            Ellen L. Weintraub, Vice Chair
                                                          Federal Election Commission
    Staff Director:
                                                          999 E Street NW
            Patrina M. Clark
                                                          Washington, DC 20463
    General Counsel:
                                                          •	 800/424-9530 (toll free)
            Thomasenia P. Duncan
                                                          •	 202/694-1100 (local)
                                                          •	 202/219-3336 (for the hearing impaired)
    Prepared by the Information Division
    of the Office of Communications                       •	 info@fec.gov

    Director:                                             •	 www.fec.gov

            Greg J. Scott
    Deputy Director:
                                                   Using This Guide
            Amy L. Kort
    Writer:                                        Citations
            Dorothy Yeager                         Authorities primarily cited in this Guide include
                                                   the Federal Election Campaign Act, FEC regula-
                                                   tions and FEC Advisory Opinions (AOs). All
                                                   regulatory citations are to Title 11 of the Code
                                                   of Federal Regulations (CFR), Parts 100–116, 300,
                                                   400 and 9001–9039 (2008). Statutory citations
                                                   are to Titles 2 and 26 of the United States Code
                                                   (U.S.C.). Copies of AOs may be obtained from
                                                   the FEC’s Public Records Office (800/424-9530



                                                                                                            i
     or 202/694-1120), the FEC web site (http://saos.        Please note that Congressional Campaign com-
     nictusa.com/saos/searchao) or by calling the FEC’s      mittees have to comply with other laws outside
     automated Faxline, (202/501-3413); in addition, each    the FEC’s jurisdiction; see Appendix G.
     AO is summarized in the Commission’s monthly
     newsletter, the Record. AOs are also reported           Faxline
     in the Federal Election Campaign Financing Guide,       The FEC maintains a free automated fax-on-
     published by Commerce Clearing House, Inc.              demand service, Faxline. Documents available
                                                             on Faxline include selected parts of Title 2 of the
     Getting More Help                                       U.S. Code, FEC regulations, Advisory Opinions
                                                             (1990-present), forms and schedules, brochures
     Advisory Opinions                                       and other documents regarding campaign finance.
     Any person or group requiring a clarification of        T o receive documents from the Faxline, call
     the election law with regard to an activity that        202/501-3413 and follow the voice prompts.
     they plan to undertake may request an advisory          World Wide Web
     opinion from the FEC. Individuals and organiza-
     tions involved in the activity specifically addressed   Visit the FEC’s home page on the World Wide
     in an AO (or in an activity that is materially          Web at http://www.fec.gov. Information on the site
     indistinguishable) may rely on the opinion for          includes campaign finance statistical data; commit-
     legal guidance. Advisory opinion requests may be        tee reports for candidates, parties and PACs; FEC
     addressed to the Office of General Counsel at:          news releases; reporting dates; forms; the Record
                                                             newsletter; brochures and Campaign Guides.
            Federal Election Commission
            999 E Street, NW                                 The FEC web site also offers the capability to
            Washington, DC 20463                             search the Commission’s campaign finance database
                                                             online. The web site also offers full text searches of
     Toll-Free Line                                          Commission Advisory Opinions (AOs) issued since
     Many questions about federal campaign finance           1977. Searches can be made using the name of a
     law do not require formal advisory opinions.            requestor or other information about AOs. In addi-
     Such questions may be addressed to trained              tion, the FEC’s Enforcement Query System allows
     FEC staff members by calling the FEC’s 800              users to search closed enforcement cases by such
     number, below. Persons in the Washington,               search criteria as respondent name or case number.
     DC, area may call locally. The numbers are:
       •	800/424-9530
                                                             Compliance with Small Business Regulatory
       •	202/694-1100                                        Enforcement Fairness Act of 1996
       •	202/219-3336 (for the hearing impaired)             This Guide serves as the small entity compliance
     Hearing-impaired persons may reverse the                guide for Congressional candidates and com-
     charges when calling long distance.                     mittees, as required by section 212 of the Small
                                                             Business Regulatory Enforcement Fairness Act of
     Free Publications                                       1996, Pub. L. No. 104-121, Title II, Stat. 857 (1996).
     In addition to this Guide, the FEC publishes a
     series of brochures and other publications on
     several aspects of campaign financing and elec-
     tion law. Subscriptions to the Commission’s
     newsletter, the Record, are available free of charge.
     Write or call the FEC for a list of publications
     currently available, or visit the FEC web site.




ii
                                                   Contents
Chapter 1 testing the Waters                             1   Chapter 7 Sources of Support                    37
  1.   Testing the Waters vs. Campaigning                1     1. Contributions                              37
  2.   Contribution Limits and Prohibitions              2     2. Free Legal and Accounting Services         37
  3.   Recordkeeping and Accounting                      2     3. Volunteer Activity                         37
  4.   Example                                           2     4. Travel Cost Exemptions                     39
  5.   Organizing a Testing-the-Waters Committee         3     5. Vendor Discounts on Food and Beverages     40
                                                               6. Support from Other Campaigns               40
Chapter 2 Starting the Campaign                          5     7. Party Support                              41
  1.   Candidate Registration Threshold                  5     8. Corporate/Labor Exceptions                 43
  2.   Candidate and Committee Registration              5     9. Use of Corporate/Labor Facilities and
  3.   Treasurer                                         7        Resources                                  46
  4.   Statement of Organization                         8    10. Fundraisers for Candidates                 47
                                                              11. Independent Expenditures                   48
Chapter 3 Understanding Contributions                   11    12. Electioneering Communications              48
  1. What Is a Contribution                             11
  2. Types of Contributions                             11   Chapter 8 expenditures and Other
                                                                       Disbursements                         51
Chapter 4 Contribution Limits                           15     1. Permissible Uses of Campaign Funds         51
  1.   Overview of Limits                               15     2. Prohibited Uses of Campaign Funds          53
  2.   How Limits Work                                  18     3. Personal Use of Campaign Funds             53
  3.   Contributions to Unauthorized Committees         19
  4.   Designated and Undesignated Contributions        20   Chapter 9 transfers                             59
  5.   Date Contribution is Made vs. Date of Receipt    20     1. Transfers Between Candidate’s Committees
  6.   Joint Contributions                              21        for Same Office                            59
  7.   Remedying an Excessive Contribution              22     2. Transfers Between Committees of
  8.   Contributions to Retire Debts                    25        Candidate Seeking More Than One Office     59
  9.   Contributions from Partnerships                  26     3. Transfers from Candidate’s Nonfederal
 10.   Contributions from Limited Liability Companies   26        Committee Are Prohibited                   61
 11.   Contributions from Minors                        26     4. Transfers of Joint Fundraising Receipts    61
 12.   Candidate’s Personal Funds                       26     5. What is NOT a Transfer                     61
 13.   Repayment of Personal Loans from Candidate       27
                                                             Chapter 10 Conducting the Campaign              63
Chapter 5 prohibited Contributions                      29     1.   Fundraising                              63
  1. Prohibited Sources                                 29     2.   Disclaimers                              65
  2. Questionable Contributions                         31     3.   Rates for Political Advertisements       67
                                                               4.   Campaign Travel                          67
Chapter 6 Other reportable receipts                     33
  1. Bank Loans                                         33   Chapter 11 Keeping records                      71
  2. Brokerage Loans and Other Lines of Credit                 1.   Record Retention                         71
     Obtained by Candidate                              34     2.   Recording Receipts                       71
  3. Overdrafts                                         34     3.   Treasurer’s Best Efforts                 72
  4. Investment Income                                  34     4.   Recording Disbursements                  74
  5. Offsets to Operating Expenditures                  35     5.   Recording Debts and Loans                75
  6. Legal and Accounting Services                      35




                                                                                                                  iii
     Chapter 12 Filing reports                            77   appenDix a: earmarked and Bundled
       1. Who Reports                                     77               Contributions                        125
       2. Where to File Reports                           78    1. Earmarked Contributions                       125
       3. When to Report                                  78    2. Effect on Contribution Limits                 125
       4. Administrative Fines for Late Filers                  3. Forwarding Earmarked Contributions            126
          and Nonfilers                                   81    4. Transmittal to Campaign                       126
       5. Electronic Filing                               82    5. Reporting Earmarked Contributions             127
       6. Public Inspection of Reports                    84    6. Contributions Bundled by Lobbyists/Registrants
                                                                    and Lobbyist PACs                            128
     Chapter 13 Completing FeC reports                    87
       1. Reporting Forms and Formats                     87   appenDix B: Contributions from
       2. Special Rules for First Report                  88               partnerships                         129
       3. Categorizing Receipts                           89    1.   Contribution Limits                        129
       4. How to Itemize Receipts                         89    2.   Attribution Among Partners                 129
       5. When to Itemize Receipts                        90    3.   Prohibited Partnership Contributions       130
       6. Reporting Contributions, Loans and                    4.   Reporting Partnership/LLC Contributions    130
          Advances from Candidate                         91
       7. Reporting Joint Contributions                   92   appenDix C: Joint Fundraising                    133
       8. Reporting Redesignations and Reattributions     93    1.   Introduction                               133
       9. Reporting Free Legal and Accounting Services    94    2.   Fundraising Representative                 133
      10. Reporting In-Kind Contributions                 95    3.   Written Agreement                          134
      11. Reporting Reimbursed Advances of                      4.   Separate Depository                        134
          Personal Funds (Non-Travel)                     96    5.   Statements of Organization                 134
      12. Reporting Travel Expenses                       98    6.   Start-Up Costs                             135
      13. Categorizing Disbursements                      99    7.   Joint Fundraising Notice                   136
      14. How to Itemize Disbursements                    99    8.   Screening Contributions                    136
      15. When to Itemize Disbursements                  100    9.   Recordkeeping                              136
      16. Reporting Debts Other Than Loans               102   10.   Paying Expenses: Step 1—
      17. Reporting Loans                                103         Allocating Gross Proceeds                  137
      18. Reporting Bank Loans, Brokerage Loans                11.   Paying Expenses: Step 2—
          and Other Lines of Credit When                             Allocating Expenses                        138
          Made to Candidates                             105   12.   Paying Expenses: Step 3—
      19. Reporting Refunds, Returns and                             Calculating Net Proceeds                   139
          Bounced Checks                                 107   13.   Reporting                                  139
      20. Reporting Transfers Between                          14.   Exception for Party Committees             139
          Authorized Committees                          109
      21. Reporting Investments                          110   appenDix D: Communications                       141
      22. Completing the Report                          110    1. Public Communications                        141
      23. The Detailed Summary Page                      111    2. Coordinated Communications                   141
      24. Post-Election Detailed Summary Page            115    3. Independent Expenditures                     145
      25. The Summary Page                               115    4. Reporting Requirements for Independent
      26. Filing Amendments                              117       Expenditures                                 146
                                                                5. Party Communications                         148
     Chapter 14 Winding Down the Campaign                119    6. Electioneering Communications                149
       1.   Terminating the Committee                    119    7. Disclaimer Notices on Communications         152
       2.   Conversion to Multicandidate Committee       119
       3.   Sale of Campaign Assets                      120   appenDix e: Fundraising by Federal Candidates
       4.   Retiring Debts                               120               and Officeholders             155
       5.   Settling Debts                               121    1. Fundraising for State/Local Candidates and
                                                                   Elections                                    155
                                                                2. Attending Fundraising Events                 156
                                                                3. Supporting Tax-Exempt Organizations          157


iv
appenDix F: Millionaires’ amendment              159
 1. The Millionaires’ Amendment: Increased
    Limits for Candidates Running Against a
    Self-Financed Opponent                        159
 2. Requirements for All Campaigns                159
 3. Triggering the Millionaires’ Amendment        160
 4. Increased Individual Contribution and Coordinated
    Party Expenditure Limits                      162
 5. Reporting and Notifications by Committees
    Benefiting from Increased Limits              164
 6. Withdrawal of Opponent                        165
 7. Disposal of Excess Contributions Made at
    Increased Limit                               165

appenDix G: Compliance with Other Laws           167
 1. Ethics in Government Act/Personal Finance
    Reports                                      167
 2. House and Senate Rules                       167
 3. Ballot Access Rules                          167
 4. Tax Laws                                     167
 5. Communications Act                           167
 6. Hatch Act                                    167

appenDix h: Definitions                          169




                                                        v
vi
                                                          Chapter 1
                                           Testing the Waters
Before deciding to campaign for federal office, an
individual may first want to “test the waters”—that             1. testing the Waters
is, explore the feasibility of becoming a candidate.               vs. Campaigning
For example, the individual may want to travel
around the state or district to see if there is suf-
ficient support for his candidacy. An individual                Testing the Waters
who merely conducts selected testing the waters                 An individual may conduct a variety of activi-
activities that fall within the exemptions in FEC               ties to test the waters. Examples of permis-
regulations that are discussed in section 1 below               sible testing-the-waters activities include
(but does not campaign for office) does not have                polling, travel and telephone calls undertaken
to register or report as a candidate even if the                to determine whether the individual should
individual raises or spends more than $5,000                    become a candidate. 100.72(a) and 100.131(a).
on those activities (i.e., the dollar threshold that
would normally trigger candidate registration
(which is discussed in Chapter 2)). Nevertheless,               Campaigning
the individual must comply with the contribution                Certain activities, however, indicate that the
limits and prohibitions. 100.72(a) and 100.131(a);              individual has decided to become a candidate
see also Advisory Opinion (AO) 1985-40.                         and is no longer testing the waters. In that case,
Once an individual begins to campaign or decides                once the individual has raised or spent more than
to become a candidate, funds that were raised                   $5,000, he or she must register as a candidate.
or spent to test the waters apply to the $5,000                 Note that, when an individual decides to run
threshold for qualifying as a candidate. 100.72(a)              for office, funds that were raised and spent to
and 100.131(a). Once that threshold is exceeded,                test the waters apply to the $5,000 threshold.
the individual must register with the FEC (candi-               Campaigning (as opposed to testing the waters)
dates for the House of Representatives)1 or the                 is apparent, for example, when individuals:
Secretary of the Senate (candidates for the Senate),              •	Make or authorize statements that refer
and begin to file reports (including in the first                   to themselves as candidates (“Smith
report all activity that occurred prior to reaching                 in 2010” or “Smith for Senate”);
the $5,000 threshold), as discussed in Chapter 2.
                                                                  •	Use general public political advertising to
                                                                    publicize their intention to campaign;
                                                                  •	Raise more money than what is rea-
                                                                    sonably needed to test the waters or
                                                                    amass funds (seed money) to be used
                                                                    after candidacy is established;
                                                                  •	Conduct activities over a protracted period
                                                                    of time or shortly before the election; or
                                                                  •	Take action to qualify for the ballot.
                                                                100.72(b) and 100.131(b).
1   The same guidance for “testing the waters” applies
    to individuals testing the waters for a Presidential        Also, once an individual files FEC Form 2, State-
    candidacy. Once the threshold is exceeded, such             ment of Candidacy, he or she is no longer
    individuals must register their candidacy with the FEC.



                                                                                                                     1
                             Campaign Guide for Congressional Candidates and Committees


    considered to be “testing the waters” and must             •	Foreign nationals; or
    file FEC Form 1 (and subsequently file financial           •	Federal government contractors.
    reports) under the rules described in Chap-
    ter 2, Starting the Campaign. AO 1979-51.               See Chapter 5 for more informa-
                                                            tion on contribution prohibitions.


    2. Contribution Limits
                                                            3. recordkeeping and
       and prohibitions
                                                               accounting
    Funds raised to test the waters are subject to the
    Act’s contribution limits. Moreover, the individual
    who is testing the waters may not accept funds          Recordkeeping
    from prohibited sources. 100.72(a) and 100.131(a).      An individual who tests the waters must keep
                                                            financial records. If he or she later becomes a
    Limits                                                  candidate, the money raised and spent to test
                                                            the waters must be reported by the campaign as
    Keep in mind that contribution limits apply to all      contributions and expenditures. 101.3. See Chap-
    the support given to an individual who is testing       ter 11 for more information on recordkeeping.
    the waters, even donations from a family member
    or friend. (See the chart on contribution limits
    in Chapter 4.) The limits apply, for example, to:       Separate Bank Account
    Gifts of money, goods and services;                     Another consideration, though not a requirement,
                                                            is the segregation of testing-the-waters funds
      •	Loans (except bank loans);                          from personal funds. It is advisable for the indi-
      •	Certain staff advances until repaid (See Chapter    vidual to set up a separate bank account for the
        3 for more information on staff advances.);         deposit of receipts and the payment of expenses.
      •	Endorsements and guaran-                            If the individual later becomes a candidate, a
        tees of bank loans; and                             campaign account must be established to keep
                                                            the campaign funds separate from the individual’s
      •	Funds given or personally loaned to the             personal funds. 102.10, 102.15, 103.2 and 103.3(a).
        individual to pay for his or her living
        expenses during the testing-the-waters
        period (AO 1978–40). 100.52(a).
                                                            4. example
    See Chapter 4 for more informa-
    tion on contribution limits.                            Mr. Jones is interested in running for a seat in
                                                            the U.S. House of Representatives but is unsure
    Prohibitions                                            whether he has enough support within his district
    In observing the law’s prohibitions, the indi-          to make a successful bid. He therefore accepts
    vidual may not accept money from:                       up to $2,300 from each of several relatives and
                                                            friends and uses the money to pay for an opinion
      •	Labor organizations (although funds                 poll. He sees that good records are kept on the
        from a labor separate segregated fund—              money raised and spent in his testing-the-waters
        also called a PAC—are permissible);                 effort. The poll results indicate good name recogni-
      •	Corporations, including nonprofit cor-              tion in the community, and Jones decides to run.
        porations (although funds from a cor-               By making this decision, Jones has crossed the
        porate separate segregated fund—also                line from testing the waters to campaigning. The
        called a PAC—are permissible);                      funds he raised earlier now automatically become
                                                            contributions and the funds he spent, including



2                                                                                                   CHAPTER 1
                                                 Testing the Waters


the polling costs, are now expenditures. These
contributions and expenditures count toward the
threshold that triggers candidate status. Once his
contributions or expenditures exceed $5,000,
he becomes a candidate and must register under
the Act. The money raised and spent for test-
ing the waters must be disclosed on the first
report his principal campaign committee files.
Had Jones decided not to run for federal office,
there would have been no obligation to report the
monies received and spent for testing-the-waters
activity, and the donations made to help pay for
the poll would not have counted as contributions.



5. Organizing a testing-the-
   Waters Committee
An individual may organize a “committee” for test-
ing the waters. An “exploratory committee” or
“testing-the-waters committee” is not considered
a political committee and does not have to register
or file reports as long as its activities are limited to
testing the waters and it does not engage in cam-
paigning. The name of the committee, and state-
ments by committee staff, must not refer to the
individual as a candidate. For example, an explor-
atory committee could not be called “Sam Jones
for Congress,” which would indicate that Jones had
already decided to run for federal office. Instead,
the committee could be called “Sam Jones Congres-
sional Exploratory Committee.” See AO 1981-32.
If the potential candidate decides to run for federal
office and becomes a candidate under the Act, then
he or she may designate the exploratory com-
mittee as the principal campaign committee and
change the name of the committee as appropriate.




 CHAPTER 1                                                            3
                                                     Chapter 2
                                Starting the Campaign
                                                                                 agency’s FECFile software. Samples of completed
1. Candidate registration                                                        forms appear throughout this chapter. Federal
   threshold                                                                     candidates and their committees should also
                                                                                 contact the government offices and agencies listed
An individual triggers registration and reporting                                in Appendix G for additional reporting require-
responsibilities under the Act when campaign                                     ments that are not within the FEC’s jurisdiction.
activity exceeds $5,000 in either contributions
or expenditures. (Money raised and spent to test         Candidate
the waters does not count toward this dollar
threshold until the individual decides to run for        Within 15 days after an individual becomes a can-
federal office or conducts activities that indicate      didate as described in section 1 above, he or she
he or she is actively campaigning rather than test-      must designate a principal campaign committee. This
ing the waters. See Chapter 1,
Testing the Waters.). The $5,000         Candidate Registration (Form 2)
threshold is reached when:                 CANDIDATE REGISTRATION
  •	The individual and/or persons
                                         FEC FORM 2
    he or she has authorized             STATEMENT OF CANDIDACY
    to conduct campaign activ-           1. (a) Name of Candidate (in full)
                                                Jane Doe
    ity receive over $5,000 in               (b) Address (number and street)                  Check if address changed                       2. Identification Number
                                                626 Pritham Ave.
    contributions or make over                                                              (c) City, State, and ZIP Code                    3. Is This
                                                                                                                                                Statement       X
                                                                                                                                                                    New
                                                                                                                                                                    (N)        OR
                                                                                                                                                                                              Amended
                                                                                                                                                                                              (A)
                                                Springfield, VA 00000
    $5,000 in expenditures; or           4. Party Affiliation
                                                IND
                                                                                  5. Office Sought                           6. State & District of Candidate
                                                                                    US House                                  VA 12
  •	The individual fails to disavow                                            DESIGNATION OF PRINCIPAL CAMPAIGN COMMITTEE
                                         7. I hereby designate the following named political committee as my Principal Campaign Committee for the              2008           election(s).

    unauthorized campaign activ-             NOTE: This designation should be filed with the appropriate office listed in the instructions.
                                                                                                                                                         (year of election)



    ity by writing a letter to the           (a) Name of Committee (in full)


    FEC within 30 days after being              Doe for Congress
                                             (b) Address (number and street)

    notified by the agency that                 319 Main Street
    another person or group has              (c) City, State, and ZIP Code



    received contributions or made              Springfield, VA 00000
                                                                               DESIGNATION OF OTHER AUTHORIZED COMMITTEES
    expenditures of more than                                                                  (Including Joint Fundraising Representatives)

                                         8. I hereby authorize the following named committee, which is NOT my principal campaign committee, to receive and expend funds on behalf of my
    $5,000 on the individual’s behalf.      candidacy.
                                             NOTE: This designation should be filed with the principal campaign committee.
    100.3(a) and 102.13(a)(2).
                                             (a) Name of Committee (in full)

                                                Friends of Jane Doe
                                             (b) Address (number and street)



2. Candidate and                                147 Felicity Circle
                                             (c) City, State, and ZIP Code


   Committee                                    Springfield, VA 00000
                                                       DECLARATION OF INTENT TO EXPEND PERSONAL FUNDS (House or Senate Only)
   registration                          9. I intend to expend personal funds exceeding the threshold amount (see 11 C.F.R. 400.9) by

                                                                                       9A                                       0.00           for the primary election, and                               .


                                                                                       9B                                                      for the general election.

The registration forms mentioned in                                                                    ,            ,            .
                                                                                                                                 0.00
                                             If you do not intend to expend personal funds exceeding the threshold amount for either election, you must enter “0.00” for each.

this section (FEC Forms 1 and 2) are                     I certify that I have examined this Statement and to the best of my knowledge and belief it is true, correct and complete.

available from the FEC, on the Com-      Signature of Candidate                                                                             Date



mission web site and as part of the
                                                       Jane Doe                                                                                      10/04/07


                                         NOTE: Submission of false, erroneous, or incomplete information may subject the person signing this Statement to penalties of 2 U.S.C. §437g.




                                         FE3AN039                                                                                                                                   FEC FORM 2 (REV. 02/2003)

                                                                                                                                                                                                                5
                                Campaign Guide for Congressional Candidates and Committees


    designation is made by filing either a Statement of           Candidates Must Register
    Candidacy (FEC Form 2) or a letter with the same
    information. (A candidate required to file elec-              for Each Election Cycle
    tronically cannot designate a principal campaign              Candidate
    committee with a written letter but must instead
    file Form 2. See below.) 101.1(a) and 102.12(a).              A candidate (including an incumbent) must file
                                                                  a new FEC Form 2 for each election cycle in
    Under the “Millionaires’ Amendment” (Appendix                 which he is a candidate. For example, Mr. Jones,
    F), House and Senate candidates must declare on               who was a candidate for the U.S. House of Rep-
    their Form 2 the amount by which they expect to               resentatives in 2006, wishes to run again in 2008.
    exceed the applicable threshold amount of expen-              He must file a new FEC Form 2 within 15 days
    ditures from personal funds, which might trigger              after crossing the $5,000 registration threshold
    increased contribution and coordinated party                  (see Section 1) for the 2008 election cycle.
    expenditure limits for their opponent. 400.20.
    Senate candidates file their original Form 2 with             Principal Campaign Committee
    the Secretary of the Senate, and fax or e-mail
    copies to the FEC and each opposing candidate                 Using Form 2, the candidate may either
    via fax or e-mail. House candidates file their                redesignate his previous campaign commit-
    Form 2 with the FEC and fax or e-mail cop-                    tee (if it has not terminated) or designate
    ies to each opposing candidate.1 400.20(b).                   a new principal campaign committee.
                                                                  If the candidate redesignates an existing commit-
    Principal Campaign Committee                                  tee, the committee need only amend its Statement
                                                                  of Organization (FEC Form 1) within 10 days
    Within 10 days after it has been designated by                to reflect any new information (e.g., a change
    the candidate, the principal campaign committee               in the committee’s name or address). 102.2(a)
    must register by filing (with the Commission or               (2). The redesignated committee will retain its
    Secretary of the Senate, as appropriate) a State-             original FEC identification number. Redesignated
    ment of Organization (FEC Form 1). 102.1(a).2                 committees are reminded that, if outstanding
    Electronic Filing                                             debts remain from the previous election, the
                                                                  committee must continue to report the debts
    Under FEC regulations, the Statement of                       as well as the contributions that have been des-
    Organization (FEC Form 1) and Statement of                    ignated by contributors to retire them. 104.11,
    Candidacy (Form 2) must be filed electroni-                   110.1(b)(3) and (4) and 110.2(b)(3) and (4).
    cally if the campaign raises or spends more than
    $50,000 in any calendar year, or has reason to                If the candidate designates a new principal
    expect to do so. 104.18(a). For more information              campaign committee, the committee must
    on electronic filing, see Chapter 12, Section 4.              file a new Statement of Organization (FEC
                                                                  Form 1) within 10 days after being designated.
    Committees required to file electronically                    102.1(a). The newly designated committee will
    under section 104.18 as described above must                  receive a new FEC identification number.
    also include their e-mail address on their
    Statement of Organization. 102.2(a)(1)(vii).
                                                                  Other Authorized Committees
                                                                  In addition to the principal campaign com-
                                                                  mittee, the candidate may designate other
                                                                  authorized committees to receive contribu-
                                                                  tions or make expenditures on his or her
    1    Candidates running in Guam or Puerto Rico must also
         file a copy of their Form 2 in their territory. 108.1.   behalf. The following steps must be taken:
    2    A copy must also be filed with the appropriate
         office in Guam or Puerto Rico for candidates
         running for office in those territories. 108.1.


6                                                                                                         CHAPTER 2
                                                 Starting the Campaign



Action by Candidate                                              •	Keeping the required records of receipts
                                                                   and disbursements for three years
The candidate designates the authorized com-                       from the date of the report to which
mittee by filing a statement (either FEC Form                      they relate. 102.9(c) and 104.14(b).
2 or a letter) with the principal campaign
committee. 101.1(b) and 102.13(a)(1).
                                                              Treasurer’s Liability
Action by Authorized Committee                                A committee’s treasurer is personally respon-
Within 10 days after being designated by                      sible for carrying out the duties listed above
the candidate, the authorized committee                       and should understand these responsibilities
must file a registration statement (FEC Form                  (as well as his or her personal liability for
1) with the candidate’s principal campaign                    fulfilling them) before taking them on.
committee. 102.1(b) and 102.13(a)(1).                         When the Commission brings an enforcement
Action by Principal Campaign Committee                        action against a political committee, the treasurer
                                                              is usually named as a respondent along with the
The principal campaign committee, in turn,                    committee itself. The treasurer can be named and
files the documents with the appropriate fed-                 found liable in his or her official capacity as a repre-
eral and state offices, as explained above.                   sentative of the committee. Also, the treasurer can
                                                              be named and found liable in his or her personal
                                                              capacity if he or she knowingly and willfully violates
3. treasurer                                                  the Act or intentionally deprives himself or herself
                                                              of the operative facts giving rise to the violation.
                                                              Even when an enforcement action alleges viola-
Treasurer Required                                            tions that occurred during the term of a previ-
The committee must have a treasurer before                    ous treasurer, the Commission usually names
it accepts contributions or makes expen-                      the current treasurer as a respondent in the
ditures. 102.7(b). Also, only a treasurer or                  action. See the Statement of Policy Regarding
designated assistant treasurer may sign FEC                   Treasurers Subject to Enforcement Proceed-
reports and statements (see “Vacancy in                       ings, 70 Fed. Reg. 3 (January 3, 2005).
Office,” below). 102.2(a) and 104.14(a).
                                                              Vacancy in Office
Treasurer’s Duties                                            A committee cannot raise or spend funds when
The treasurer (or registered assis-                           there is a vacancy in the office of treasurer. For
tant treasurer) is responsible for:                           that reason, the Commission urges every commit-
  •	Filing complete and accurate reports                      tee to name, on its Statement of Organization, an
    and statements on time. 104.14(d).                        assistant treasurer who may assume the treasurer’s
                                                              duties when the treasurer’s office becomes tempo-
  •	Signing all reports and state-                            rarily vacant or when the treasurer is unavailable.
    ments. 102.2(a) and 104.14(a).                            102.7(a) and (b). The assistant treasurer should
  •	Depositing receipts in the committee’s desig-             be apprised of any filing requirements and, if the
    nated bank within 10 days of receipt. 103.3(a).           committee files electronically, should obtain an
  •	Authorizing expenditures or appoint-                      electronic filing password as well. The committee
    ing an agent (either orally or in writing)                must report any change in the treasurer’s status
    to authorize expenditures. 102.7(c).                      within 10 days by filing an amendment to the State-
                                                              ment of Organization (FEC Form 1). 102.2(a)(2).
  •	Monitoring contributions to ensure                        See the next section for information on that form.
    compliance with the law’s limits and
    prohibitions. 103.3(b); 110.1(k)(3).



 CHAPTER 2                                                                                                               7
                                                           Campaign Guide for Congressional Candidates and Committees


                                                                                                                                        An authorized committee that is redesignated by a
    4. Statement of Organization                                                                                                        candidate for another election must include its FEC
                                                                                                                                        ID number on any amendment to its Statement of
    When registering, a committee must include basic                                                                                    Organization. Thereafter, the committee must enter
    information, listed below, on the Statement of Orga-                                                                                the number on all statements and reports. 102.2(c).
    nization (FEC Form 1). The registration statement
    also serves as the official designation of the trea-
    surer and custodian of records, the only two com-                                                                                   Type of Committee
    mittee officers required under the law. 102.2(a)(1).                                                                                The committee must identify itself as
                                                                                                                                        either a principal campaign commit-
    Identification Number                                                                                                               tee or other authorized committee.

    The Federal Election Commission assigns each
    committee an identification number after the com-                                                                                   Committee Name, Address
    mittee has filed a registration statement. (This                                                                                    and Contact Information
    number is used by the FEC for computer index-                                                                                       The name of a principal campaign committee and
    ing and is not the taxpayer identification number                                                                                   any other authorized committee must include the
    required by the Internal Revenue Service. See                                                                                       name of the candidate. 102.14(a). By contrast, an
    Appendix G for information on contacting the IRS.)                                                                                  unauthorized committee (such as a PAC or party
                                                                                                                                                      committee) may not use the name
                                                                                                                                                      of a candidate in its official name.
     COMMITTEE REGISTRATION                                                                                                                           An unauthorized committee may,
                                                     STATEMENT OF                                                                                     however, use the candidate’s name
            FEC
           FORM 1                                    ORGANIZATION                                                                                     in the title of a special fundraising
                                                                                                                              Office Use Only
                                                                                                                                                      project or other communication,
      1.   NAME OF                                        (Check if name       Example:If typing, type
                                                                                                               12FE4M5
           COMMITTEE (in full)                            is changed)          over the lines.                                                        but only if the title clearly and
           Doe for Congress                                                                                                                           unambiguously shows opposition to
                                                                                                                                                      the named candidate. 102.14(b)(3).
                                               319 Main Street
      ADDRESS (number and street)                                                                                                                                 The address provided on this
                (Check if address                                                                                                                                 line is considered the com-
                is changed)                    Springfield                                                      VA            00000
                                                                                                                                                                  mittee’s address of record. All
                                                                            CITY                              STATE                     ZIP CODE                  Commission correspondence
      COMMITTEE'S E-MAIL ADDRESS
           doeforcongress@doeforcongress.com                                                                                                                      will be sent to this address.
                                                                                                                                                                  The committee must disclose
      COMMITTEE'S WEB PAGE ADDRESS (URL)                                                                                                                          the URL for its web site, if one
           www.gojane.com
                                                                                                                                                                  exists. If the committee is the
                                                                                                                                                                  principal campaign committee of
      COMMITTEE'S FAX NUMBER                                                                                                                                      a candidate for the House or the
       555           222              2222                                                                                                                        Senate, it must also disclose its
                          M   M   /    D   D    /     Y    Y   Y   Y                                                                                              fax number, if one is available and
      2.   DATE           10           04                 2007
                                                                                                                                                                  its e-mail address. 102.2(a)(1)(viii).
      3.   FEC IDENTIFICATION NUMBER                                   C                                                                                          All committees required to file
      4.   IS THIS STATEMENT           X            NEW (N)            OR               AMENDED (A)                                                               electronically must disclose their
      I certify that I have examined this Statement and to the best of my knowledge and belief it is true, correct and complete.                                  e-mail addresses. 102.2(a)(1)(vii).
      Type or Print Name of Treasurer          Gottlob Frege
                                                                                                                                                                  The Commission recommends that
                                                                                                                      M   M    /    D    D   /   Y    Y   Y   Y
                                                                                                                                                                  all filers disclose an e-mail address,
                                                                                                                      10                14           2007
      Signature of Treasurer                                                                                 Date                                                 since the Commission sends
      NOTE: Submission of false, erroneous, or incomplete information may subject the person signing this Statement to the penalties of 2 U.S.C. §437g.
                                                                                                                                                                  courtesy reporting reminders and
                                           ANY CHANGE IN INFORMATION SHOULD BE REPORTED WITHIN 10 DAYS.

                 Office
                  Use
                                                                                   For further information contact:
                                                                                   Federal Election Commission                     FEC FORM 1
                                                                                   Toll Free 800-424-9530                          (Revised 12/2007)
                 Only                                                              Local 202-694-1100
      FE3AN042.PDF


8                                                                                                                                                                                           CHAPTER 2
                                                              Starting the Campaign


other helpful information to the
e-mail address listed on Form 1.               COMMITTEE REGISTRATION (PAGE 2)
                                                             FEC Form 1 (Revised 12/2007)                                                                                         Page 3

                                                      Write or Type Committee Name

Candidate Authorization                         5.
                                                            FEC Form 1 (Revised 12/2007)
                                                      Doe for Congress
                                                       TYPE OF COMMITTEE
                                                                                                                                                                                 Page 2




Information                                      6.    Candidate Committee:Organization, Affiliated Committee, Leadership PAC Sponsor or Joint Fundraising Representative
                                                        Name of Any Connected

                                                       (a)      X      This committee is a principal campaign committee. (Complete the candidate information below.)

The committee must also disclose                       (b)             This committee is an authorized committee, and is NOT a principal campaign committee. (Complete the candidate
                                                                       information below.)
the following information about                        Name of                Jane Doe
                                                       Candidate
the candidate who authorized                           Mailing Address

                                                       Candidate                                  Office                                                                      State         VA
it: name, party affiliation, office                    Party Affiliation       IND                Sought:       X     House              Senate             President
                                                                                                                                                                              District      12
sought, and State and Congres-
                                                       (c)                                                   CIT candidate, and is NOT an authorized TE
                                                                       This committee supports/opposes only one Y                                STA committee.              ZIP CODE
sional district (if applicable)                         Relationship:
                                                       Name of
in which the candidate seeks                   COMMITTEE REGISTRATION (PAGE 3)
                                                       Candidate
                                                            Connected Organization
                                                       Party Committee:
                                                                                               Affiliated Committee         Leadership PAC Sponsor           Joint Fundraising Representative

election. 102.2(a)(1)(v).
                                                 7.                                                        (Na number --                                           (Democrati of
                                                        Custodian of Records: Identify by name, address (phonetional, Stateoptional) and position of the person in possessionc, committee
                                                       (d)           This committee is a                   or subordinate) committee of the                        Republican, etc.) Par ty.
                                                        books and records.


Affiliated Committees                                  Political Action Committee (PAC):
                                                        Full Name
                                                       (e)
                                                                              Herman Lotze
                                                                       This committee is a separate segregated fund. (Identify connected organization on line 6.) Its connected organization is a:
                                                                                           319 Main Street
A principal campaign committee                          Mailing Address        Cor poration                                Cor poration w/o Capital Stock                  Labor Organization

lists the names and addresses of                                               Membership Organization                     Trade Association                               Cooperative
                                                                                           Spring eld,                                                 VA            00000
all other committees authorized                        (f)              This committee supports/opposes more than one Federal candidate, and is NOT a separate segregated fund or party
                                                                        committee. (i.e., nonconnected committee)
by the candidate as affiliated                          Title or Position
                                                                                                                  CITY                                 STATE        ZIP CODE
                                                                               In addition, this committee is a Leadership PAC. (Identify sponsor on line 6.)
committees. Other authorized                             Bookkeeper                                                                  Telephone number
                                                                                                                                                               703         000           0000
committees list only the principal                    Joint Fundraising Representative:

campaign committee as an affili-                 8.
                                                      (g)           This committee collects contributions, pays fundraising expenses and disburses net proceeds for two or more political
                                                       Treasurer: List the name and address (phone number -- optional) of the treasurer of the committee; and the name and address of
                                                                     committees/organizations, at least one of which is an authorized committee of a federal candidate.
                                                       any designated agent (e.g., assistant treasurer).
ated committee. 102.2(b)(1)(i).                       (h)           This committee collects contributions, pays fundraising expenses and disburses net proceeds for two or more political
                                                                    committees/organizations, none of which is an authorized committee of a federal candidate.
                                                       Full Name           Gottlob Frege
                                                       of Treasurer
                                                               Committees Participating in Joint Fundraiser
Custodian of Records
                                                                                      319 Main Street
                                                       Mailing Address
                                                               1.                                                                           FEC ID number     C
The name, address and com-                           2.                                    Spring eld,                                                 VA C
                                                                                                                                            FEC ID number
                                                                                                                                                                     00000
mittee position of the individual                    3.
                                             Title or Position
                                                                                                               CITY                         FEC ID STATE
                                                                                                                                                   number     C             ZIP CODE

who has actual possession of                  Treasurer
                                                     4.                                                                             Telephone number
                                                                                                                                           FEC ID number     C
                                                                                                                                                               703         000            0000

the committee’s books and                                                                                                                   FEC ID number    C
                                                     5.
records must be listed on the
                                                 FE3AN042.PDF




registration statement. 102.2(a)
(1)(iii). The treasurer or assistant treasurer (see
                                                 FE3AN042.PDF                                 Campaign Depository
below) may serve as the custodian of records.                                                 A committee must list the name and address (but
                                                                                              not the account number) of the campaign deposito-
Treasurer and Assistant Treasurer                                                             ries it maintains for depositing receipts and making
Provide the name and mailing address of the                                                   disbursements. 102.2(a)(1)(vi). (One depository
treasurer. The Commission also urges all political                                            is required, although others may be designated as
committees to name an assistant treasurer (or                                                 well.) All committee disbursements must be made
“designated agent”). Only a registered assistant                                              by check or similar drafts drawn on a designated
treasurer may sign FEC reports and state-                                                     campaign depository. 103.3(a). (Cash disbursements
ments in the treasurer’s absence. 102.7(a).                                                   of $100 or less per transaction may be made from
                                                                                              a petty cash fund. 102.11.) The following institu-
The treasurer’s responsibilities are dis-                                                     tions may be designated: state banks, national banks
cussed in detail in the previous section.                                                     and depositories insured by the Federal Deposit
                                                                                              Insurance Corporation or the National Credit
                                                                                              Union Administration. 103.1, 103.2 and 103.3(a).



 CHAPTER 2                                                                                                                                                                                           9
                                           Campaign Guide for Congressional Candidates and Committees



                                                                 COMMITTEE REGISTRATION (PAGE 4)
     Changes in Committee                                                     FEC Form 1 (Revised 12/2007)                                                             Page 4



     Officers and/or Contact                                           Full Name of
                                                                       Designated         Bob Helpsalot
     Information                                                       Agent

                                                                       Mailing Address
                                                                                                     319 Main Street
     A committee must report any
     change or correction of informa-                                             Spring eld                                              VA           00000
     tion contained in its registration                                                             CITY                                STATE                  ZIP CODE
                                                 Title or Position
     statement within 10 days after the           Assistant Treasurer                                                    Telephone number
                                                                                                                                                  703        000        0000
     change. 102.2(a)(2). A committee
     may have to file an amendment,           9. Banks or Other Depositories: List all banks or other depositories in which the committee deposits funds, holds accounts, rents
     for example, to report a new trea-          safety deposit boxes or maintains funds.
                                                 Name of Bank, Depository, etc.
     surer, a new assistant treasurer,
                                                                      First National Bank
     a new e-mail address, a change
                                                                                  967 Center Street
     of address or a new campaign                Mailing Address

     depository. The committee must
                                                                                  Alexandria                                              VA           20000
     indicate on FEC Form 1 (or in
     a letter, if the committee does                                                                CITY                                STATE                  ZIP CODE

     not file electronically) that the           Name of Bank, Depository, etc.

     statement is an amendment to its
     registration. For paper filers, the form (or letter)
                                                 Mailing Address
     should include only the committee’s name, address,
     identification number and the change or correction
     (such as a change of treasurer, address or deposi-
                                                                                                    CITY                                STATE                  ZIP CODE
     tory). The amendment must be signed by the trea-
     surer or assistant treasurer. 102.2(a)(1). When filing
     electronically, the entire form must be filed again.




                                                                     FE3AN042.PDF




10                                                                                                                                                                 CHAPTER 2
                                                    Chapter 3
                         Understanding Contributions
1. What is a Contribution                                 Earmarked Contributions and Bundling
                                                          An earmarked contribution is one which the
A contribution is anything of value given, loaned         contributor directs (either orally or in writ-
or advanced to influence a federal election.              ing) to a candidate through an intermediary
It is important to understand which receipts              or conduit. 110.6(b). Special rules govern
are considered contributions because:                     this type of transaction; see Appendix A.
  •	Contributions count toward the threshold that         When an intermediary or conduit collects
    determines whether an individual has quali-           and transmits contributions to the cam-
    fied as a candidate under the Federal Election        paign (sometimes referred to as “bundling”),
    Campaign Act (the Act). 100.3(a) and 100.57.          the special rules in Appendix A apply.1
  •	Contributions are subject to the Act’s prohibi-
    tions against contributions from certain sources.     In-Kind Contributions
  •	Contributions are subject to the Act’s                Definition
    limits on the amount of contributions.
                                                          Goods or services offered free or at less than
  •	Like all receipts, contributions are                  the usual charge result in an in-kind contribu-
    also subject to the Act’s recordkeep-                 tion. Similarly, when a person pays for services on
    ing and reporting requirements.                       the committee’s behalf, the payment is an in-kind
The section below describes different types of            contribution. 100.52(d)(1) and 100.111(e)(1). An
contributions. (Contribution limits and prohibi-          expenditure made by any person in cooperation,
tions are discussed in the chapters that follow.)         consultation or concert with, or at the request
                                                          or suggestion of, a candidate’s campaign is also
                                                          considered an in-kind contribution to the candidate.
2. types of Contributions                                 109.20(a). See Appendix D, Communications.

                                                          Limits
Gifts of Money                                            The value of an in-kind contribution—the usual
                                                          and normal charge—counts against the same
A contribution of money may be made by check,             contribution limit as a gift of money. Additionally,
cash (currency), credit card or other written             like any other contribution, in-kind contribu-
instrument. 100.52(c). See also advisory opinions         tions count against the contributor’s limit for
(AOs) 1999-22, 1995-9 (contributions made over            the next election, unless they are otherwise
the internet), 1991-1, 1990-4 and 1978-68.                designated. See Chapter 4, section 4 for more

                                                          1   At press time, the Commission was undertaking a
                                                              rulemaking to implement the provisions of the Honest
                                                              Leadership and Open Government Act of 2007 (HLOGA),
                                                              Pub. Law No 110-81, 121 Stat. 735. Under section
                                                              204 of HLOGA, authorized committees that receive
                                                              contributions bundled by lobbyists/registrants or
                                                              their PACs have additional disclosure requirements.
                                                              See Appendix A, Bundling and Earmarking, and the
                                                              Commission’s web site at http://www.fec.gov/law/
                                                              law_rulemakings.shtml#bundling for more information.



                                                                                                                     11
                               Campaign Guide for Congressional Candidates and Committees


     information on designating contributions.                  Exceptions
     100.52(d)(1), 100.54 and 100.111(e)(1).
                                                                Under limited exemptions in the law, persons may
     Value                                                      provide certain goods and services to a commit-
     Goods (such as facilities, equipment, sup-                 tee without making contributions. For example,
     plies or mailing lists) are valued at the price            when services are volunteered—not paid for by
     the item or facility would cost if purchased or            anyone—the activity is not considered a contribu-
     rented at the time the contribution is made.               tion. 100.74. See Chapter 7 for more information.
     For example, if someone donates a personal
     computer to the campaign, the contribu-                    Proceeds from Sales
     tion equals the ordinary market price of the               The entire amount paid to attend a political
     computer at the time of the contribution.                  fundraiser or other political event or to purchase
     Services (such as advertising, printing or con-            a fundraising item sold by a political commit-
     sultant services) are valued at the prevailing             tee is a contribution. 100.53. For example, if
     commercial rate at the time the services are               a contributor pays $100 to buy a ticket to a
     rendered. 100.52(d)(2) and 100.111(e)(2).                  fundraising dinner, the entire $100 is considered
                                                                a contribution to the committee, even though the
     Notifying Recipient                                        meal may have cost the committee $30. Similarly,
     The contributor needs to notify the recipient              if a contributor spends $20 to buy a campaign
     candidate committee of the value of an in-kind             T-shirt that cost the campaign $5, the contributor
     contribution. The recipient needs this information         has made a $20 contribution. See also Chapter
     in order to monitor the contributor’s aggregate            14, Section 3, “Sale of Campaign Assets.”
     contributions and to report the correct amount.

     In-Kind Contributions Designated for More                  Loans
     Than One Election in an Election Cycle                     A loan, including a loan to the campaign from a
     In AO 1996-29, the Commission determined                   member of the candidate’s family, is considered
     that the value of an in-kind contribution of used          a contribution to the extent of the outstanding
     computer equipment, received before the primary            balance of the loan. (Bank loans, however, are not
     and designated in writing by the contributors for          considered contributions if made in the ordinary
     all elections in the cycle, could, in fact, be allocated   course of business and on a basis that assures
     among all elections in the same election cycle. The        repayment. 100.82(a) through (e). See Chapter
     contribution was distinguishable from the type of          6, Section 1.) An unpaid loan, when added to
     in-kind contribution that is used for one particular       other contributions from the same contributor,
     election (such as printing or mailing costs related        must not exceed the contribution limit. Repay-
     to a general election fundraiser). If the candidate        ments made on the loan reduce the amount of
     had lost the primary election, the committee               the contribution. Once repaid in full, a loan no
     would have had to refund the amount designated             longer counts against the contributor’s contribu-
     for the general election (in this case, the candidate      tion limit. However, a loan exceeding the limit is
     was active in each election within the election            unlawful even if it is repaid in full. Besides being
     cycle). The total value of the contribution could          reported as a contribution, a loan must be continu-
     not exceed the contributor’s combined limit for            ously reported until it is fully repaid. (See Chapter
     all the elections in the cycle. The Commission             13, Section 17, for more information on report-
     did not address the issue of allocating an in-kind         ing loans.) 100.52(b), 100.111(a) and 104.3(d).
     contribution over more than one election cycle.
                                                                Endorsements and Guarantees of Loans
                                                                An endorsement or guarantee of a loan, includ-
                                                                ing a loan derived from a candidate’s brokerage
                                                                account or other line of credit, counts as a


12                                                                                                      CHAPTER 3
                                             Understanding Contributions


contribution to the extent of the outstanding bal-           1990–9 and 1985–33. For further information, see
ance of the loan. Repayments made on the loan                Chapter 4, Section 12, “Candidate’s Personal Funds.”
reduce the amount of the contribution. Once
the loan is repaid in full, the endorsement or               Unearned Income and Fringe Benefits
guarantee no longer counts against the endorser’s            A candidate’s salary or wages earned from bona fide
or guarantor’s contribution limit. If a written loan         employment are considered his or her personal
agreement does not stipulate the portion for                 funds. 100.33. However, compensation paid to a
which each endorser or guarantor is liable, then             candidate in excess of actual hours worked is gen-
individual contributions are calculated by dividing          erally considered a contribution from the employer.
the amount of the loan by the number of persons              100.54; See also AO 2000-1. Moreover, under FEC
who have endorsed or guaranteed it. 100.52(b)(3).            regulations barring personal use of campaign funds,
                                                             a third party’s payment of a candidate’s expenses
Candidate’s Use of Jointly Held Collateral                   is considered a contribution, unless the payment
A limited exception to this rule is provided when a          would have been made irrespective of the candidacy.
candidate uses property jointly held with the candi-         To be paid “irrespective of the candidacy,” and thus
date’s spouse to guarantee a bank loan to the cam-           not considered a contribution, compensation must:
paign and the bank requires the spouse’s signature.             •	Result from bona fide employment that is
Note that this exception applies only if the value                genuinely independent of the candidacy;
of the candidate’s share of the property exceeds
or equals the amount of the loan. This exception                •	Be exclusively made in consideration for
also applies when the candidate’s spouse is the                   services provided by the employee; and
endorser, guarantor or co-signer of a loan derived              •	Not exceed the amount paid to any other
from a candidate’s brokerage account, credit card                 similarly qualified person for the same
account or other line of credit. For unsecured                    work over the same period of time.
loans, the spouse would not be considered a                  113.1(g)(6). See AOs 2006-13, 2004-17,
contributor if the candidate uses, in connection             2004-8, 1980-115 and 1979-74.
with the campaign, only one-half of the available
credit. 100.83. For more information, see Chapter            Note that when a candidate is on leave without
4, Section 12, “Assets Jointly Held With Spouse.”            pay, the continued payment of fringe benefits
                                                             (such as health insurance and retirement) may
                                                             also result in contributions from the employer
Extensions of Credit                                         to the campaign. 114.12(c). (The Commission
An extension of credit outside of a creditor’s               has made an exception to this rule for employ-
ordinary course of business is considered a                  ers who had pre-existing policies providing for
contribution. 100.55. If the creditor is incorpo-            a limited extension of benefits for individuals
rated, an extension of credit beyond the ordinary            who take unpaid leave. See AO 1992-3.)
course of business would result in a prohibited
contribution. For more information on when an                Advances by Individuals
extension of credit is considered a contribution,
see Chapter 14, Section 5, “Settling Debts.”                 General Rule
                                                             When an individual uses personal funds (or
Personal Funds of Individuals                                personal credit) to pay for a campaign expense,
                                                             that payment is generally an in-kind contribution
Funds from the Candidate                                     from that individual. 100.52(a). For example, an
Unlike the other types of contributions listed here,         in-kind contribution results if a campaign staff
contributions (including loans or advances) made             member pays for postage, office supplies or
from the candidate’s personal funds to his or her            campaign materials with personal funds. This
campaign are not subject to any limits, though they          rule also applies to payments made by volunteers
must still be reported. 110.10(a); AOs 1991–9,               and by the candidate. Travel expenses later


 CHAPTER 3                                                                                                          13
                             Campaign Guide for Congressional Candidates and Committees


     reimbursed by the committee are treated dif-
     ferently. 116.5. See Chapter 7, Section 4, “Travel
     Cost Exemptions” for more information.
     Although such advances are considered in-kind
     contributions until reimbursed, special reporting
     rules apply when individuals pay for campaign
     expenses and later receive reimbursement from
     the committee. See Chapter13, Section 11, “Report-
     ing Reimbursed Advances of Personal Funds.”

     Travel Exception
     When a campaign staff member, volunteer or the
     candidate uses personal funds to pay for that indi-
     vidual’s own travel expenses (transportation, meals
     and lodging), the payments are not considered con-
     tributions if they fall under one of two exceptions:
       •	exempt Unreimbursed travel: Any individual
         may spend up to $1,000 per candidate, per
         election, on transportation expenses without
         making a contribution, and volunteers may
         spend unlimited amounts on meals and lodging
         in connection with volunteer activity. 100.79.
       •	reimbursed travel: Any other payments by
         individuals for travel expenses are not consid-
         ered contributions if the committee reimburses
         them within specified time limits. 116.5(b);
         AO 2003-31. See Chapter 7, Section 4, “Travel
         Cost Exemptions” for more information.

     Congressional Staff
     The official staff of members of Congress cannot
     contribute to their employing member’s campaign.
     See 18 U.S.C. §603. As such, it is important for
     those individuals to avoid advancing any funds to
     the campaign (e.g., buying stamps for a campaign
     mailing). See also 18 U.S.C. §602 for informa-
     tion on solicitation of federal employees.




14                                                                                        CHAPTER 3
                                                 Chapter 4
                                    Contribution Limits
Under the Federal Election Campaign Act (the Act)       than multicandidate committees and autho-
contributions are subject to limits. The chart on the   rized committees of nonfederal candidates (see
next page summarizes the Act’s contribution limits.     “Contributions from Other Candidates” below;
This chapter examines the rules concerning the          authorized committees of federal candidates have
limits placed on contributions to a candidate’s         a $2,000 per election limit). 110.1(a) and (b)(1).
campaign. The limits apply to all types of contribu-
tions (except contributions made from a candidate’s     $5,000 Per Election
personal funds, as explained in Chapter 3).             —Multicandidate Committees
It is important to note that a campaign is pro-         Political committees that have qualified as
hibited from retaining contributions that exceed        multicandidate committees have a higher con-
the limits. 110.9. In the event that a campaign         tribution limit: $5,000 per election. 110.2(a)
receives excessive contributions, it must fol-          and (b)(1). To qualify as a multicandidate com-
low special procedures for handling such funds          mittee, a political committee must have:
(within 60 days); see “Remedying an Excessive
Contribution” in Section 7 of this chapter.               •	Been registered for at least six months;
                                                          •	Received contributions from more
                                                            than 50 contributors; and
1. Overview of Limits                                     •	Made contributions to at least five candidates
                                                            for federal office. 100.5(e)(3). Note, how-
This section outlines the limits the Act places on          ever, that state party organizations are not
contributions to a candidate’s campaign. The term           required to meet this third requirement.
campaign is used in this Guide to mean a candidate      When making a contribution to a candidate’s
for a specified federal office, his or her authorized   campaign, a multicandidate PAC or party com-
agents, the principal campaign committee and any        mittee must notify the campaign in writing that it
other authorized committees. 2 U.S.C. §441a(a)(7).      has qualified for multicandidate committee status.
                                                        110.2(a)(2). (The notice may be pre-printed on the
$2,300 Per Election                                     committee’s checks, letterhead or other appropri-
Under the Act, individuals and groups (that are         ate materials.) When the contributing committee
not prohibited from making contributions, such as       fails to provide such a notification, the candidate
partnerships, sole proprietorships, certain LLC’s       committee’s treasurer should verify whether that
and Indian tribes) may contribute a maximum of          committee has qualified in order to avoid accepting
$2,300 per election to a candidate’s campaign.          an excessive contribution. 103.3(b). Multicandidate
(This limit is indexed for inflation in odd-numbered    status can be verified by consulting the FEC’s Public
years, since 2005.) Note that this limit applies to     Records Office of the FEC web site (http://www.
contributions from the members of a candidate’s         fec.gov/disclosure.shtml). Committees that have
family (e.g., spouse, parent). The limit also applies   satisfied the criteria for multicandidate status and
to contributions from political committees other        have filed FEC Form 1M (Notification of Multi-
                                                        candidate Status) will be identified as “qualified.”




                                                                                                                15
                                Campaign Guide for Congressional Candidates and Committees



     CONTRIBUTION LIMITS for 2007 – 08
             Donors                                              recipients                                   Special Limits
                                Candidate                             State, District National Party
                                                      PAC1           and Local Party Committee3
                                Committee
                                                                       Committee2
                                                                                                           Biennial limit of $108,200*
                                                                         $10,000
            Individual             $2,300*            $5,000                                   $28,500*    ($42,700 to all candidates
                                                                          per year
                                  per election4       per year                                  per year    and $65,5005 to all PACs
                                                                       combined limit                              and parties)
          State, District          $5,000             $5,000
         and Local Party          per election        per year                                                      <none>
           Committee            combined limit     combined limit
                                                                               Unlimited transfers to
                                                                              other party committees              $39,900* to
          National Party           $5,000             $5,000                                                    Senate candidate
           Committee              per election        per year                                                   per campaign6


              PAC                                                         $5,000
                                   $5,000             $5,000                                   $15,000
                                                                          per year                                  <none>
         Multicandidate7          per election        per year                                 per year
                                                                       combined limit

                                                                         $10,000
           PAC                     $2,300*            $5,000                                   $28,500*
                                                                          per year                                  <none>
     Not Multicandidate           per election8       per year                                  per year
                                                                       combined limit


     * These limits are indexed for inflation in odd-numbered years.
     1
         These limits apply both to separate segregated funds (SSFs) and to other political action committees
         (PACs). Affiliated committees share the same set of limits on contributions made and received.
     2
         A state party committee shares its limits with local and district party committees in that state unless a local or
         district committee’s independence can be demonstrated. T hese limits apply to multicandidate committees only.
     3
         A party’s national committee, Senate campaign committee and House campaign com-
         mittee are each considered national party committees, and each have separate lim-
         its, except with respect to Senate candidates—see Special Limits column.
     4
         Each of the following is considered a separate election with a separate limit: primary election, caucus or
         convention with the authority to nominate, general election, runoff election and special election.
     5
         No more than $42,700 of this amount may be contributed to sate and local parties and PACs.
     6
         This limit is shared by the national committee and the Senate campaign committee.
     7
         A multicandidate committee is a political committee that has been registered for at least six
         months, has received contributions from more than 50 contributors and—with the excep-
         tion of a state party committee—has made contributions to at least five federal candidates.
     8
         A federal candidate’s authorized committee(s) may contribute no more than $2,000 per election to another
         federal candidate’s authorized committee(s). 2 U.S.C. §432(e)(3)(B) and 11CFR 102.12(c)(2) and 102.13(c)(2).



16                                                                                                                    CHAPTER 4
                                                 Contribution Limits



$39,900 National Party Committee                              Section 1, “Fundraising,” under the subheading,
                                                              “Contributions from Unregistered Organizations.”
Limit for Senate Candidates
With respect to their contributions to Sen-                   Affiliated Committees—Shared Limit
ate candidates, the national committees of the
Republican and Democratic parties each share a                Contributions from affiliated committees are
$39,900 limit with their party’s national Senato-             subject to one overall contribution limit, per
rial campaign committee. Unlike other candidate               candidate, per election. Consequently, it is impor-
contribution limits, this one applies to the total            tant to understand the concept of affiliation.
contributions made to a Senate candidate by those             Political committees established, financed,
party committees for the entire campaign period               maintained or controlled by the same person,
(the primary and general elections). 110.2(e). This           organization or group are affiliated. 110.3(a)
limit is indexed for inflation in odd-numbered years.         (1)(ii). This definition applies to all types of
                                                              political committees, including nonconnected
$100 Limit on Cash Contributions                              committees, party committees, corporate/
                                                              labor PACs and authorized committees.
A campaign may not accept more than $100
in cash from a particular source with respect                 Party Committees
to any campaign for nomination for elec-                      Although a state party committee operates under
tion, or election to federal office. 110.4(c).                its own contribution limit, local party committees
                                                              within a state are presumed to be affiliated with the
$50 Limit on Anonymous Contributions                          state party committee.1 This means that contribu-
An anonymous contribution of currency is limited              tions from those local party committees that are
to $50. If the campaign receives a larger anonymous           required to register as federal political committees
contribution, the excess amount may be used                   count against the state committee’s limit. 110.3(b)
for any lawful purpose unrelated to any federal               (1)(ii) and (3). See AOs 2005-2 and 1999-4.
election, campaign or candidate. 110.4(c)(3).                 Note, however, that the national party com-
                                                              mittee, the House campaign committee and
Contributions from Other Candidates                           the Senate campaign committee are each
                                                              considered a separate committee, with
A candidate’s authorized committees may accept                separate contribution limits (except for the
a contribution of up to $2,000 per election from              special $39,900 limit for Senate candidates, as
the authorized committee of another federal                   explained above). 110.2(e) and 110.3(b)(2).
candidate. 102.12(c)(2) and 102.13(c)(2).
In addition, authorized committees of active                  Unregistered Local Party Organizations
candidates cannot qualify as multicandidate com-              Local party organizations that are not registered
mittees. 102.12(c) and 102.13(c). An authorized               with the FEC may contribute an aggregate of
committee of a former candidate may, however,                 $1,000 to Congressional candidates (assuming
become a multicandidate committee. Advisory                   no other federal expenditures are made) without
opinions (AOs) 1993-22, 1988-41 and 1985-30.                  triggering a reporting requirement with the FEC.
The applicable contribution limit for contributions           The organization must be able to show that the
from a nonfederal campaign is $2,300 per elec-                contribution was made with funds permissible
tion. 110.1. However, a contribution of more than             under the Federal Election Campaign Act. Prior to
$1,000 may trigger registration by the nonfederal             crossing the registration threshold, the local organi-
campaign as a federal political committee. 100.5(a).
For more information and other applicable restric-            1   A local party committee may be considered
                                                                  independent of the state party committee if it can
tions (such as the requirement that the funds
                                                                  meet certain standards as determined by the FEC
given be federally permissible), see Chapter 10,                  through its Advisory Opinion process. See 110.3(b)
                                                                  (3)(i) and (ii). See also AOs 1999-4 and 1978-9.


 CHAPTER 4                                                                                                             17
                              Campaign Guide for Congressional Candidates and Committees


     zation does not share a contribution limit with the      are each considered a separate election with a
     state party committee. AOs 2005-2 and 1999-4.            separate limit.2 100.2. (A special election may itself
                                                              involve separate primary, general and/or runoff
     Corporate/Labor/Membership Organization PACs             elections, each with a separate contribution limit.)
     All separate segregated funds (also called political     In some cases, a party caucus or convention is
     action committees or PACs) established, financed,        considered a primary election, as explained below.
     maintained or controlled by the same corporation
     or labor organization are affiliated. For example:       Party Caucus or Convention
       •	PACs established by a parent corpora-                A party caucus or convention constitutes an elec-
         tion and its subsidiaries are affiliated.            tion only if it has the authority under relevant
       •	PACs established by a national or international      state law to select a nominee for federal office.
         union and its local unions are affiliated.           (Notable examples of these types of conventions
       •	PACs established by a federation of national         are those held in Connecticut, Utah and Virginia.)
         or international unions and the federation’s         Otherwise, there is no separate limit for a caucus
         state and local central bodies are affiliated.       or convention; it is considered part of the primary
                                                              process. When the caucus or convention does
       •	PACs established by an incorporated                  constitute a primary election, reports must be filed
         membership organization and its related              for the convention as they would for the primary.
         state and local entities are affiliated.             See Chapter 12. 100.2(c)(1) and (e). See also, for
     100.5(g)(2) and (3); 110.3(a)(1)(ii) and (2).            example, AOs 1992-25, 1986-21 and 1986-17.

     When committees are not automatically affili-
     ated under the conditions described above, the           Candidates Who Lose in the Primary
     Commission may nevertheless conclude that                A candidate is entitled to an election limit only
     two or more committees are affiliated based on           if he or she seeks office in that election. Thus, a
     factors listed in the regulations. 100.5(g)(4)(ii)       candidate who loses the primary (or otherwise
     (A)-(J) and 110.3(a)(3)(ii)(A)-(J). The Commis-          does not participate in the general election) does
     sion makes these decisions, through advisory             not have a separate limit for the general. If a
     opinions, on a case-by-case basis. For examples,         candidate accepts contributions for the general
     see AOs 2006-12, 2005-3, 2004-32, 2002-11 and            election before the primary is held and loses the
     2001-7 (plus opinions cited within those AOs).           primary (or does not otherwise participate in the
                                                              general election), the candidate’s principal campaign
     Authorized Committees                                    committee must return the general election con-
                                                              tributions within 60 days of the primary. 102.9(e)
     An authorized committee, however, can be affiliated      and 110.1(b)(3)(i). See also in this Chapter, Section
     only with another authorized committee of the            4, “Designated and Undesignated Contributions,”
     same candidate. 100.5(g)(5). Note that, by defini-       and Section 8, “Contributions to Retire Debts.”
     tion, an unauthorized committee sponsored by an
     officeholder (i.e., a “leadership PAC”) is not consid-
     ered to be affiliated with any authorized commit-        Independent and Non-
     tees sponsored by the same individual. 100.5(g)(5).      Major Party Candidates
                                                              Even when independent and non-major party candi-
                                                              dates are not involved in an actual primary, they are
     2. how Limits Work                                       entitled to a primary limit. They may choose one
                                                              of the following dates to be their “primary” date,
     The limits on contributions to candidates apply
     separately to each federal election in which the         2    Presidential campaigns should note that all
     candidate participates. A primary election, gen-              Presidential primary elections held during the
                                                                   election year are considered one election for the
     eral election, runoff election and special election           purposes of the contribution limits. 110.1(j)(1).


18                                                                                                           CHAPTER 4
                                                            Contribution Limits


and, until that date, they may collect contributions                         •	A primary or general election is not held
that count towards the contributor’s primary limits.                           because the candidate is unopposed;4 or
    •	The last day on which, under state law,                                •	The general election is not held because
      a candidate may qualify for a position                                   the candidate received a majority of
      on the general election ballot; or                                       votes in the previous election.
    •	The date of the last major primary elec-                               •	The date on which the election would have
      tion, caucus or convention in that state.                                been held is considered the date of the
Non-major party candidates may also                                            election. 110.1(j)(2) and (3). The campaign
choose the date of the nomination by their                                     must file pre-election reports and, in the
party as their primary date. 100.2(c)(4).                                      case of a general election, a post-election
                                                                               report. AO 1986-21. See also Chapter
                                                                               12, Section 3, “When to Report.”
Primary vs. General Election
Campaigns must adopt an accounting system to                             Recounts
distinguish between contributions made for the
primary election and those made for the general                          A federal campaign may establish a recount fund
election, as discussed in Chapter 10, Section 1,                         either as a separate bank account of the candidate’s
“Fundraising.” 102.9(e). 3 Nevertheless, the campaign                    authorized committee or as a separate entity.
of a candidate running in the general election may                       Although they are not considered contributions
spend unused primary contributions for general                           under the Act, any funds solicited, received, directed,
election expenses. The contributions would                               transferred or spent in connection with a recount
continue to apply toward the contributors’ limits                        are subject to the amount limitations, source
for the primary. 110.3(c)(3). The campaign of a                          prohibitions and reporting requirements of the Act
candidate running in the general election may use                        under provisions of the Bipartisan Campaign Reform
general election contributions for primary debts;                        Act (BCRA) that restrict officeholders and candi-
the contributions would still count against the                          dates when soliciting, receiving, directing, transfer-
contributor’s general election limits. 110.1(b)(3)                       ring or spending funds in connection with a federal
(iv). As noted above, should the candidate lose the                      election. See 2 U.S.C. §441i(e). This means that the
primary, contributions accepted for the general                          normal contribution limits, reporting requirements
must be refunded within 60 days. Therefore, candi-                       and source restrictions apply. For more informa-
dates must ensure they have enough cash on hand                          tion and reporting instructions, see AO 2006-24.
to make those refunds if needed. AO 1986-17.

Unopposed Candidates;                                                    3. Contributions to
Elections Not Held                                                          Unauthorized Committees
A candidate is entitled to a sepa-                                       If a contributor makes a contribution to a
rate contribution limit even if:                                         committee not authorized by any candidate
The candidate is unopposed in an election;                               and knows that a substantial portion of the
                                                                         contribution will be contributed to or spent on
3     In AO 2007-3, the Commission ruled that a Presidential             behalf of a particular candidate, the contribution
       candidate could solicit and receive private contributions
       for the 2008 presidential general election without                counts against the contributor’s per-election
       losing eligibility to receive public funding if the candidate     limit with respect to that candidate. 110.1(h).
       received his party’s nomination for President, provided
       that the campaign (1) deposited and maintained all
       private contributions designated for the general
       election in a separate account, (2) refrained from                4     A primary election that is not held because the
       using these contributions for any purpose, and (3)                      candidate was nominated by a caucus or convention
       refunded the private contributions in full if the                       with authority to nominate is not a separate election
       candidate ultimately decided to receive public funds.                   with a separate contribution limit. 110.1(j)(4).


 CHAPTER 4                                                                                                                             19
                                  Campaign Guide for Congressional Candidates and Committees


                                                                      − Request written redesignation from
     4. Designated and Undesignated                                     the contributor to retire debts
        Contributions                                                   from a previous election cycle.6
                                                                 Otherwise the committee must return
     The Commission strongly recommends that campaigns           or refund the contribution.
     encourage contributors to designate their contribu-
     tions for specific elections. Designated contributions      For additional information on presumptive redesig-
     ensure that the contributor’s intent is conveyed            nation, see Section 7 of this Chapter, “Remedying an
     to the candidate’s campaign. In the case of                 Excessive Contribution” 110.1(b)(2)(ii) and (b)(3).
     contributions from political committees, writ-
     ten designations also promote consistency in                How Contributions Are Designated
     reporting and thereby avoid the possible appear-            Contributors designate contributions by indicat-
     ance of excessive contributions on reports.                 ing in writing the specific election to which they
                                                                 intend a contribution to apply. 110.1(b)(2)(i).
     Effect of Designating vs.                                   Contributors may make this written designation
     Not Designating                                             on the check (or other signed written instrument)
                                                                 or in a signed statement accompanying the con-
     Designated contributions count against the                  tribution. 110.1(b)(4). A designation also occurs
     donor’s contribution limits for the elec-                   when the contributor signs a form supplied by
     tion that is named. Undesignated contribu-                  the candidate. 110.1(b)(4); see also AO 1990-30.
     tions count against the donor’s contribution
     limits for the candidate’s next election.
                                                                 Campaign Must Retain Designations
     For example:
                                                                 The campaign must retain copies of contribution
         •	An undesignated contribution made5 after the          designations for three years. If the designa-
           candidate has won the primary but before              tion appears on the check (or other written
           the general election applies toward the               instrument), the campaign must retain a full-
           contribution limit for the general election.          size photocopy. 102.9(c) and (f); 110.1(l)(1).
         •	In the case of the candidate who has lost
           the primary, an undesignated contribution
           made after the primary automatically applies          5. Date Contribution is Made
           toward the limit for the next election in
           which the candidate runs for federal office.             vs. Date of receipt
         •	If the candidate does not plan to run for fed-        The date a contribution is made by the
           eral office in the future, the committee may:         contributor and the date the contribution
            − Presumptively redesignate the contribu-            is received by the campaign are significant
              tion to retire any primary debts he or             for purposes of the contribution limits. It is
              she may have. 110.1(b)(5)(ii)(C); or               important to understand the distinction.




                                                                 6    Note that if a contribution designated to retire the
                                                                      debt of a previous campaign exceeds the amount
                                                                      of the debt, the contribution must be returned,
                                                                      refunded or redesignated. Contributions can be
                                                                      designated for debt retirement only if debt exists
     5     See Section 5 for an explanation of                        and if the contributor has not already met the
           when a contribution is “made.”                             contribution limit for that election. 110.1(b)(3)(i).



20                                                                                                                CHAPTER 4
                                                Contribution Limits



Date Contribution is Received                                has no net debts outstanding. On the other
                                                             hand, an undesignated contribution made after
The date of receipt is the date the campaign                 an election counts against the donor’s limit for
(or a person acting on the campaign’s behalf)                the candidate’s next election. 110.1(b)(2)(ii).
actually receives the contribution. 102.8(a).
This is the date used by the campaign for
reporting purposes, but it also affects the                  Effect of Dates on Designated
application of the net debts outstanding rule                Contributions
(discussed in Section 8 of this Chapter).                    Both the date of receipt and the date a contribu-
                                                             tion is made affect the application of the net debts
Date Contribution is Made                                    outstanding rule to a designated contribution. The
The date a contribution is made is the                       date the contribution is made determines whether
date the contributor relinquishes con-                       the rule will apply, while the date of receipt governs
trol over it. 110.1(b)(6). For example:                      whether the contribution is acceptable under the
                                                             rule. For example, a contribution designated for
  •	A hand-delivered contribution is considered              the primary and made before that election will not
    made on the date it is delivered by the                  be subject to the net debts outstanding rule, even
    contributor to the campaign. 110.1(b)(6).                if the campaign receives the contribution after the
  •	A mailed contribution is made on the date of             primary. By contrast, a contribution designated
    the postmark. 110.1(b)(6). Note that if a cam-           for—but made after—the primary is acceptable
    paign wishes to rely on a postmark as evidence           only to the extent the campaign has net debts
    of the date a contribution was made, it must             outstanding for the primary on the date of receipt.
    retain the envelope or a copy of it. 110.1(l)(4).        110.1(b)(3)(i) and (iii). See Section 8 of this Chapter.
  •	An in-kind contribution is made on the date
    that the goods or services are provided by the           Date of Deposit
    contributor. See AOs 2004-36 and 1996-29.                While all contributions must be deposited
  •	A contribution made via the Internet                     within 10 days, the date of deposit is not used
    is considered made on the date the                       for reporting or contribution limit purposes.
    contributor electronically confirms mak-
    ing the transaction. AO 1995-9.
  •	An earmarked contribution is considered                  6. Joint Contributions
    made on the date the contributor forwards it
    to the conduit or intermediary. AO 2006-30               A joint contribution is a contribution that is made
    (footnote 5). (Note that the conduit must                by more than one person using a single check
    forward this information to the campaign.)               or other written instrument. Although each
    See Appendix A for more information.                     individual has a separate contribution limit, joint
                                                             contributors may combine their contribution limits
Effect of Dates on Undesignated                              by contributing a joint contribution (for example,
                                                             a check for $4,600 for a candidate’s primary
Contributions                                                election) as long as both sign the check (or an
The date an undesignated contribution is made                attached statement), as explained below. 110.1(k).
determines which election limit it counts against.
The date of receipt, however, does not affect                Each Contributor Must Sign the Check
the application of the contribution limits. An
undesignated contribution made on or before                  When making a joint contribution, each con-
Election Day counts against the donor’s limit                tributor must sign the check (or other written
for that election, even if the date of receipt is            instrument) or a statement that accompanies
after Election Day and even if the campaign                  the contribution. 110.1(k)(1). Note that if the



 CHAPTER 4                                                                                                              21
                             Campaign Guide for Congressional Candidates and Committees


     check or an accompanying statement of attribu-         the primary election so that it counts against his
     tion is not signed by each contributor, the entire     or her limit with respect to the general election
     contribution will be attributed only to the party      (provided the contributor has not already con-
     who signed the check. 104.8(c). However, under         tributed the maximum for the general election).
     certain circumstances the committee may pre-           When requesting a redesignation, the com-
     sumptively reattribute the excessive portion           mittee must inform the contributor that he
     of a contribution. See “Reattribution” below.          or she may, alternatively, request a refund
     Exception: Partnerships and LLCs                       of the excessive amount. 110.1(b)(5).

     Contributions from partnerships and                    Presumptive Redesignation by Committee
     certain LLCs are not considered joint                  Under certain circumstances, the committee
     contributions, but do trigger special attribu-         may make a presumptive redesignation of an
     tion requirements; see Appendix B.                     excessive contribution. When an individual
     Attribution                                            or a non-multicandidate committee makes an
                                                            excessive contribution to a candidate’s autho-
     If the check or statement does not indicate how        rized committee, the campaign may presump-
     much should be attributed to each donor, the           tively redesignate the excessive portion to
     recipient committee must attribute the contribu-       the general election if the contribution:
     tion in equal portions. 110.1(k)(1) and (2). For
     example, if a committee receives a $1,000 joint           •	Is made before that candi-
     contribution signed by two individuals but with             date’s primary election;
     no written attribution, the committee must                •	Is not designated in writ-
     attribute a $500 contribution to each donor.                ing for a particular election;
     A campaign may request that a contribu-                   •	Would be excessive if treated as a pri-
     tion be reattributed, as explained below.                   mary election contribution; and
                                                               •	As redesignated, does not cause the con-
                                                                 tributor to exceed any other contribu-
     7. remedying an excessive                                   tion limit. 110.1(b)(5)(ii)(B)(1)-(4).
        Contribution                                        Also, the excessive portion of an undesignated
                                                            contribution made after the primary, but before
     When a committee receives an excessive contri-         the general election, may be automatically
     bution—one which exceeds the contributor’s limit       applied to the primary if the campaign’s net
     or the campaign’s net debts outstanding for an         debts outstanding from the primary equal or
     election—the committee may remedy the violation        exceed the amount redesignated. 110.1(b)
     by refunding the excessive amount or by seeking a      (5)(ii)(C). See Section 8 in this Chapter.
     redesignation or reattribution of it within 60 days.   The committee is required to notify the contributor
     Step-by-step procedures for obtaining a reat-          of the redesignation within 60 days of the treasur-
     tribution or redesignation are explained below.        er’s receipt of the contribution, and must offer the
                                                            contributor the option to receive a refund instead.
     Redesignation                                          It is important to note that presumptive
                                                            redesignations may be made only within
     By Contributor                                         the same election cycle. Also, presumptive
     With a redesignation, the contributor instructs        redesignation is not an option when the con-
     the committee to use the excessive portion of a        tributor is a multicandidate committee.
     contribution for an election other than the one
     for which the funds were originally given. For
     example, the contributor may redesignate the
     excessive portion of a contribution made for


22                                                                                                   CHAPTER 4
                                                           Contribution Limits



Reattribution                                                           When to Request Redesignations
By Contributor                                                          and Reattributions
With a reattribution, the contributor instructs the                     In many circumstances, the committee will be
committee in writing to attribute the excessive                         able to presumptively redesignate or reattrib-
portion of a joint contribution to another indi-                        ute contributions. For all other circumstances,
vidual. For example, if the committee receives an                       contributions can be redesignated or reat-
excessive contribution drawn on a joint checking                        tributed only by the individual contributor.
account, but signed by only one account holder,                         A committee may ask a contributor to redes-
the committee may seek a signed reattribution                           ignate and/or reattribute a contribution
of the excessive amount to the other account                            (within 60 days of the treasurer’s receipt), for
holder. 110.1(k)(3)(i). (A joint contribution may                       example, when the committee receives:
also be reattributed so that a different amount is                        •	A designated or undesignated con-
attributed to each contributor.7) Note that a joint                         tribution that exceeds the donor’s
contribution must represent the personal funds                              limit. 110.1(b)(5)(i)(A) and (C).
of each contributor because contributions made
in the name of another are prohibited. 110.4(b).                          •	A designated or undesignated contribu-
                                                                            tion for an election in which the candidate
When requesting reattributions, the committee                               is not running. For example, a contribution
must also inform contributors that they may,                                that was designated for the general but was
alternatively, ask for a refund of the excessive                            received before the primary may be redes-
portions of their contributions. 110.1(b)(5).                               ignated for a future primary if the candidate
Presumptive Reattribution By Committee                                      loses the primary or otherwise does not
                                                                            run in the general election. 102.9(e); see
When a committee receives an excessive contribu-                            also AOs 1996-29, 1992-15 and 1986-17.
tion made via a written instrument with more than
one individual’s name imprinted on it, but only                           •	A contribution that is designated for, but
one signature, the committee may attribute the                              made after, an election and that exceeds
permissible portion to the signer. The committee                            the campaign’s net debts outstanding for
may make a presumptive reattribution of the exces-                          that election. 110.1(b)(3)(i) and (5)(i)(B).
sive portion to the other individual whose name                           •	An undesignated contribution (which normally
is imprinted on the written instrument, without                             applies to the candidate’s upcoming election)
obtaining a second signature, so long as the reat-                          that the committee wants to use to retire
tribution does not cause the contributor to exceed                          debts of a previous election. Note that, if it
any other contribution limit. 110.1(k)(3)(ii)(B)(1).                        is redesignated, the contribution then counts
The committee is required to notify the contributor                         against the donor’s contribution limits for
of the reattribution within 60 days of the treasur-                         that previous election. 110.1(b)(5)(i)(D).
er’s receipt of the contribution, and must offer the
contributor the option to receive a refund instead.                     Procedures for Obtaining
                                                                        Redesignations and Reattributions
                                                                        from Contributors
                                                                        The committee treasurer is the person ultimately
                                                                        responsible for complying with the procedures
                                                                        outlined on the following page. 103.3(a) and (b).

7   See the Explanation and Justification published with
    the final rule, 52 Fed. Reg. 760, 765-766 (January
    9, 1987), available online at http://www.fec.gov/
    law/cfr/ej_compilation/1987/1987-1.pdf.


 CHAPTER 4                                                                                                                   23
                                  Campaign Guide for Congressional Candidates and Committees



     Step 1: Deposit Contribution                                   contribution was a joint contribution, the commit-
                                                                    tee requests that contributors adjust the amount
     A committee must deposit contributions within                  attributable to each.9 In either case, the committee
     10 days of the treasurer’s receipt. (If a contribu-            should inform contributors that they must sign
     tion is not deposited, it must be returned to the              the reattribution. The request must notify each
     contributor within 10 days of receipt. A contri-               contributor that, instead of reattributing the contri-
     bution is returned when it is sent back to the                 bution, he or she may seek a refund of the portion
     contributor without being deposited.) 103.3(a).                of the contribution that exceeds the limits or the
     Step 2: Determine Whether Excessive                            campaign’s net debts outstanding. 110.1(k)(3)(ii)(A).

     The committee must determine whether a                         Step 5: Redesignation/Reattribution Made
     contribution exceeds the donor’s limit or the                  or Make Refund Within 60 Days
     campaign’s net debts outstanding. The Commission               Within 60 days after the date of the commit-
     encourages committees to make this determina-                  tee’s receipt of the contribution either:
     tion within 30 days of receiving the contribution.
     This allows a committee sufficient time to request                 •	The contributor must provide the commit-
     and receive a redesignation and/or reattribution                     tee with a redesignation or reattribution; or
     within the 60-day limit, as explained below.                       •	The committee must refund the exces-
                                                                          sive portion of the contribution.
     Step 3: Be Prepared to Make Refund
                                                                    103.3(b)(3).
     When a committee deposits contributions that
     may exceed the limits or net debts outstanding                 A contribution is properly redesignated if,
     for an election, the committee must not spend                  within the 60-day period, the contributor
     the funds because they may have to be refunded.                provides the committee with a written, signed
     To ensure that the committee will be able to                   statement redesignating the contribution
     refund the contribution in full, the committee                 for a different election. 110.1(b)(5)(ii)(B).
     may either maintain sufficient funds in its regular            A contribution is properly reattributed if, within
     campaign depository or establish a separate                    the 60-day period, the contributors provide the
     account used solely for the deposit of possibly                committee with a written statement reattributing
     illegal contributions. 103.3(b)(4). Furthermore,               the contribution. The statement must be signed
     the committee must keep a written record not-                  by all contributors and must indicate the amount
     ing the reason a contribution may be excessive                 attributable to each donor. (If the contributors
     and must include this information when reporting               do not specify how to divide the contribution, the
     the receipt of the contribution. 103.3(b)(5).                  committee must attribute the contribution equally
                                                                    among the contributors.) 110.1(k)(2) and (3)(ii)(B).
     Step 4: Request Redesignation and/or Reattribution
     When requesting a redesignation, the committee                 Step 6: Keep Records and Report
     asks the contributor to provide a written, signed              The committee must keep documentation for
     redesignation of the contribution for another                  each reattribution and redesignation to verify
     election. The request must also state that the                 that it was received within the 60-day time limit.
     donor may receive a refund of the excessive                    Documentation for a reattribution or a redes-
     portion of the contribution if he or she does                  ignation must include one of the following:
     not wish to redesignate it.8110.1(b)(5)(ii)(A).                    •	A copy of the postmarked envelope
     When requesting a reattribution, the committee                       bearing the contributor’s name, return
     asks the contributor whether the contribution                        address or other identifying code;
     was intended to be a joint contribution from
     more than one person. Alternatively, if the original           9     See the Explanation and Justification published
                                                                          with the final rule, 52 Fed. Reg. 760, 766 (January
     8    This is not required when requesting a redesignation            9, 1987), available online at http://www.fec.gov/
          of a contribution that was initially within the limits.         law/cfr/ej_compilation/1987/1987-1.pdf.


24                                                                                                                    CHAPTER 4
                                                          Contribution Limits


     •	A copy of the signed statement reat-                              •	The estimated cost of raising funds
       tributing or redesignating the contribu-                            to liquidate the debts; and
       tion with a date stamp showing the                                •	If the campaign is terminating, estimated
       date of the committee’s receipt; or                                 winding down costs (for example, office
     •	A copy of the written redesignation or                              rental, staff salaries and office supplies).
       reattribution dated by the contributor.                         110.1(b)(3)(ii).
110.1(l)(6).
                                                                       Cash on Hand
The documentation relating to a reat-
tribution or redesignation must be                                     Cash on hand consists of the resources available to
retained for three years. 102.9(c).                                    pay the campaign’s total debts, including currency,
                                                                       deposited funds, traveler’s checks, certificates of
                                                                       deposit, treasury bills and any other investments
                                                                       valued at fair market value. Additionally, the
8. Contributions to retire Debts                                       cash-on-hand total includes amounts owed to
                                                                       the campaign in the form of credits, refunds of
If a committee has net debts outstand-                                 deposits, returns and receivables or a commercially
ing after an election is over, a campaign                              reasonable estimate of the collectible amount.
may accept contributions after the elec-
tion to retire the debts provided that:                                For the purpose of calculating net debts
                                                                       outstanding for the primary, cash on hand
     •	The contribution is designated for that elec-                   need not include contributions designated
       tion (since an undesignated contribution                        for the general. 110.1(b)(3)(ii)(A) and (B).
       made after an election counts toward the
       limit for the candidate’s upcoming election);
                                                                       Adjustment to Net Debts Total
     •	The contribution does not exceed the con-
       tributor’s limit for the designated election; and               A campaign first calculates its net debts outstand-
                                                                       ing as of the day of the election. Thereafter,
     •	The campaign has net debts outstand-                            the campaign continually recalculates its total
       ing for the designated election on the                          net debts outstanding as additional funds are
       day it receives the contribution.                               received for, or spent on, the election for which
110.1(b)(3)(i) and (iii).                                              the debt remains. 110.1(b)(3)(ii) and (iii).

How to Calculate Net                                                   Contributions Exceeding Net Debts
Debts Outstanding                                                      If, on the same day, a campaign receives several
A campaign’s net debts outstanding consist                             contributions that, together, exceed the amount
of unpaid debts incurred with respect to the                           needed to retire its debts, the campaign may:
particular election minus cash on hand.10                                •	Accept a proportionate amount of each
                                                                           contribution and either refund the remaining
Unpaid Debts                                                               amount or ask contributors to redesignate the
Unpaid debts include the following:                                        excessive portions for another election; or
     •	All outstanding debts and obligations;                            •	Accept some contributions in full and
                                                                           either return or refund the others or
                                                                           seek redesignations for them. (Redesigna-
10     For an illustration of how the net debts outstanding                tions are explained later in this chapter.)
       calculation is performed, see the Explanation and
       Justification published with the final rule, 52 Fed. Reg.
                                                                       110.1(b)(3).
       762 (January 9, 1987), available online at http://www.fec.
       gov/law/cfr/ej_compilation/1987/1987-1.pdf#page=3.




 CHAPTER 4                                                                                                                   25
                              Campaign Guide for Congressional Candidates and Committees


                                                                •	That it is eligible to make the contribution; and
     9. Contributions from
                                                                •	How the contribution is to be
        partnerships                                              attributed among members.

     Partnerships are permitted to make contribu-            This requirement will prevent the recipi-
     tions according to special rules. 110.1(e) and          ent committee from inadvertently accept-
     (k)(1). For further details, see Appendix B.            ing an illegal contribution. 110.1(g)(5).



     10. Contributions from Limited                          11. Contributions from Minors
         Liability Companies                                 An individual who is under 18 years old may make
                                                             contributions to candidates and party committees,
                                                             subject to the limit of $2,300 per election, if:
     Corporation v. Partnership
                                                                •	The decision to contribute is made know-
     For purposes of contribution limitations and                 ingly and voluntarily by the minor;
     prohibitions, a limited liability company (LLC) is
     treated as either a corporation or a partnership.          •	The funds, goods or services contributed
                                                                  are owned or controlled by the minor,
     An LLC is treated as a corporation if:                       proceeds from a trust for which he or
       •	It has chosen to file, under Internal Revenue            she is a beneficiary or funds withdrawn by
         Service (IRS) rules, as a corporation; or                the minor from a financial account owned
       •	It has publicly traded shares. 110.1(g)(3).              and maintained in his or her name; and

     An LLC is treated as a partnership if:                     •	The contribution is not made using funds
                                                                  given to the minor as a gift for the purpose
       •	It has chosen to file, under IRS                         of making the contribution, and is not in any
         rules, as a partnership; or                              way controlled by another individual. 110.19.
       •	It has made no choice, under IRS
         rules, as to whether it is a corpora-
         tion or a partnership. 110.1(g)(2).                 12. Candidate’s personal Funds
     If an LLC is treated as a corporation, it is pro-
     hibited from making contributions to candidate          When candidates use their personal funds for
     committees, but it can establish an SSF (see            campaign purposes, they are making contribu-
     Chapter 5 for general information on the cor-           tions to their campaigns. Unlike other con-
     porate prohibition). If it is considered a partner-     tributions, these candidate contributions are
     ship, it is subject to the contribution limits for      not subject to any limits. 110.10; AOs 1991-9,
     partnerships outlined in Appendix B. 110.1(g).          1990-9, 1985-33 and 1984-60. They must, how-
                                                             ever, be reported (as discussed below). Also, if
     Single Member LLC                                       a candidate makes expenditures from personal
                                                             funds in excess of certain threshold amounts, his
     If a single member LLC does not require                 or her opponent may be eligible for increased
     corporate tax treatment, it may make con-               contributions to his or her campaign under the
     tributions; the contributions will be attrib-           Millionaires’ Amendment. See Appendix F.
     uted to the single member, not the LLC.
                                                             Contributions from members of the candidate’s
     Notifying Recipient Committee                           family are subject to the same limits that apply to
     An LLC must, at the time it makes a contri-             any other individual. For example, a candidate’s
     bution, notify the recipient committee:                 parent or spouse may not contribute more
                                                             than $2,300, per election, to the candidate.



26                                                                                                     CHAPTER 4
                                                 Contribution Limits



Definition of a Candidate’s                                   What Are Not Considered
“Personal Funds”                                              Personal Funds
The personal funds of a candidate include:                    Personal Gifts and Loans
  •	Assets which the candidate has a legal right              If any person, including a relative or friend of the
    of access to or control over, and which                   candidate, gives or loans the candidate money in
    he or she has legal title to or an equitable              connection with his or her campaign, the funds are
    interest in, at the time of candidacy;                    not considered personal funds of the candidate.
  •	Income from employment;                                   Instead, the gift or loan is considered a contribution
  •	Dividends and interest from, and pro-                     from the donor to the campaign, subject to the
    ceeds from sale or liquidation of,                        per-election limit and reportable by the campaign.
    stocks and other investments;                             This is true even if the candidate uses the funds for
                                                              personal living expenses while campaigning. See
  •	Income from trusts, if estab-                             AOs 1985-33 and 1982-64; see also AO 1987-1.
    lished before candidacy;
  •	Income from trusts established by                         Bank Loans Used in Connection with Campaign
    bequests (even after candidacy);                          Bank loans are not considered contributions from
  •	Bequests to the candidate;                                the bank if they comply with FEC regulations on
                                                              bank loans. (See “Bank Loans” in Chapter 6.)
  •	Personal gifts that had been customar-
    ily received by the candidate prior to the                When a candidate obtains a bank loan for use
    beginning of the election cycle; and                      in connection with his or her campaign, the loan
                                                              is considered to be from the bank and not from
  •	Proceeds from lotteries and simi-                         the candidate’s personal funds. The candidate
    lar games of chance.                                      is acting as the agent of the campaign. 102.7(d)
100.33(a) and (b).                                            and AO 1985-33. However, if the candidate
                                                              endorses, co-signs, guarantees or is in any way
Assets Jointly Held with Spouse                               liable for the loan, it would be considered an
A candidate may also use, as personal funds, his              expenditure from personal funds under the
or her portion of assets owned jointly with a                 Millionaires’ Amendment. See Appendix F.
spouse (for example, a checking account or jointly
owned stock). If the candidate’s financial interest
in an asset is not specified, then the candidate’s            13. repayment of personal
share is deemed to be half the value. 100.33(c).
                                                                Loans from Candidate
Some banks may require a spouse to co-sign
a loan obtained by the candidate using jointly                For personal loans (including advances of per-
held assets as collateral. While an endorsement               sonal funds or endorsements of bank loans to
or guarantee of a loan normally constitutes a                 the committee) from the candidate to his or
contribution, in this instance the spouse is not              her authorized committee made on or after
considered a contributor as long as the candidate’s           November 6, 2002, that aggregate more than
share in the collateral equals or exceeds the                 $250,000, the following rules apply separately
amount of the loan. 100.52(b)(4); AO 1991-10.                 to the primary and general elections:
exaMpLe: A candidate obtains a $5,000                           •	The committee may use contributions to repay
bank loan for his campaign using, as collateral,                  the candidate for the entire amount of the
property valued at $20,000 held jointly with                      loan or loans only if those contributions were
his wife. Both co-sign the loan. Because the                      made on or before the day of the election; and
candidate’s interest in the property is $10,000,
which exceeds the amount of the loan, his wife
has not made a contribution by co-signing it.

 CHAPTER 4                                                                                                             27
                             Campaign Guide for Congressional Candidates and Committees


       •	The committee may use contribu-
         tions to repay the candidate only up to
         $250,000 from contributions made after
         the date of the election. 116.11(b).
       •	Furthermore, if the committee uses the
         amount of cash-on-hand as of the date of the
         election to repay the candidate for loans in
         excess of $250,000, it must do so within 20
         days of the election. 116.11(c). During that
         time, the committee must treat the portion
         of candidate loans that exceed $250,000,
         minus the amount of cash-on-hand as of
         the day after the election, as a contribution
         by the candidate. 116.11(c). AO 2003-30.
     Note that a runoff election has a separate limit
     for purposes of FEC regulations at 116.11. For
     example, if a candidate loaned the committee
     $345,000 for the primary election, the committee
     could repay the candidate up to $250,000 from
     contributions made after the date of the primary
     election. Similarly, if the candidate loaned $300,000
     for a primary runoff election, the committee could
     repay the candidate up to $250,000 from contribu-
     tions made after the date of the runoff election.




28                                                                                        CHAPTER 4
                                                          Chapter 5
                                   Prohibited Contributions
Campaigns are prohibited from accepting con-                       tions, incorporated membership organizations,
tributions from certain types of organizations                     trade associations and national banks to use
and individuals. 110.9, 110.20, 114.2(c).and 115.2.                their treasury funds for certain election-related
These prohibited sources are listed below.1                        activities that benefit candidates. See Chapter
If a committee is uncertain whether a con-                         7, Sections 7, 8 and 9 for more information.
tribution comes from a prohibited source, it
must follow the procedures described under                         Federal Government Contractors
“Questionable Contributions,” below.                               Campaigns may not accept contributions from
                                                                   federal government contractors. Since corporate con-
                                                                   tributions are already prohibited, the government
1. prohibited Sources                                              contractor ban applies primarily to contributions
                                                                   from a partnership (or a limited liability company)
                                                                   with a government contract. It also applies to the
Corporations, Labor Organizations,                                 personal and business funds of (1) individuals under
National Banks                                                     contract to the federal government and (2) sole
                                                                   proprietors of businesses with federal contracts.
Campaigns may not accept contributions made
from the general treasury funds of corporations,                   The spouses and employees of federal govern-
labor organizations or national banks.2 114.2(a),(b)               ment contractors, however, may make con-
and (d). This prohibition applies to any incorpo-                  tributions from personal funds. Part 115.
rated organization, including a nonstock corpora-
tion, a trade association, an incorporated member-                 Foreign Nationals
ship organization and an incorporated cooperative.3                Campaigns may not solicit or accept contributions
exaMpLe: The owner of an incorporated “mom                         from foreign nationals.4 Federal law prohibits con-
and pop” grocery store is not permitted to use a                   tributions, donations, expenditures and disburse-
business account to make contributions. Instead,                   ments solicited, directed, received or made directly
the owner would have to use a personal account.                    or indirectly by or from foreign nationals in connec-
A campaign may, however, accept contributions                      tion with any election—federal, state or local. Fur-
from separate segregated funds (PACs) established                  thermore, it is a violation of federal law to knowingly
by corporations, labor organizations, incorporated                 provide assistance to foreign nationals in the making
membership organizations, trade associations                       of contributions, donations, expenditures, indepen-
and national banks. Moreover, the Federal Election                 dent expenditures and disbursements in connection
Campaign Act permits corporations, labor organiza-                 with federal and nonfederal elections. 110.20. This
                                                                   prohibition includes, but is not limited to, acting
                                                                   as a conduit or intermediary for foreign national
1   These organizations and persons are, in turn, prohibited
    from making contributions in connection with, or for the
                                                                   contributions and donations. 110.20(g) and (h).
    purpose of influencing, federal elections. 114.2(a) and (b).    A campaign has “knowingly” solic-
2   National banks and federally chartered corporations            ited, directed or received a contribution
    may not make contributions in connection with                  from a foreign national when it has:
    any election—federal, state or local. 114.2(a).
3   However, a political committee that has                        4   Foreign nationals may not make contributions in
    incorporated for liability purposes only is not                    connection with any election—federal, state or local—
    considered a prohibited source. 114.12(a).                         either directly or through any other person. 110.20(f).



                                                                                                                                 29
                              Campaign Guide for Congressional Candidates and Committees


       •	Actual knowledge that the funds have                tributions to federal candidates as long as the
         come from a foreign national;                       subsidiary complies with the following rules:
       •	Awareness of certain facts that would                  •	The foreign parent may not finance these activi-
         lead a reasonable person to believe that                 ties either directly or through the subsidiary.
         there is a substantial probability that the            •	No foreign national (including the foreign
         money is from a foreign national; or                     parent) may participate in the operations
       •	Awareness of facts that should have                      of the separate segregated fund or in its
         prompted a reasonable inquiry into whether               administration (such as by appointing officers)
         the source of funds is a foreign national.               or in any decision to make contributions or
     The facts that should lead the campaign to                   expenditures in connection with any federal
     question the origin of a contribution include:               or nonfederal election See 110.20(i).

       •	Use of a foreign passport or passport number;       See also AOs 2006-15, 2000-17, 1995-15,
                                                             1992-16, 1990-8 and 1985-3.
       •	Use of a foreign address;
       •	A check or other written instru-                    Determining Nationality of Contributor
         ment drawn on an account or wire                    The Commission stated, in AO 1998-14, that the
         transfer from a foreign bank; or                    use of any surname on a contribution check (or
       •	Contributor or donor living abroad.                 similar instrument) would not, by itself, give any
                                                             reason to inquire as to the person’s national-
     110.20(a)(5)(i)-(v).                                    ity. Nonetheless, the Commission advised the
                                                             committee to take the following minimally
     Definition of Foreign National                          intrusive steps to ensure that the contributions
     A foreign national is:                                  it received did not come from foreign nationals:

       •	An individual who is (1) not a citizen of              •	Ensure that public political ads and solicita-
         the United States and (2) not lawfully                   tions directed to audiences outside the
         admitted for permanent residence (as                     U.S. contain a summary of the foreign
         defined in 8 U.S.C. §1101(a)(20)); or                    national prohibition of 2 U.S.C. §441e.

       •	A foreign principal, as defined in 22 U.S.C.           •	Make further inquiry into the nationality of the
         §611(b). Section 611 defines a foreign                   contributor if the committee receives a contri-
         principal as a group organized under the                 bution postmarked from any non-U.S. territory.
         laws of a foreign country or having its prin-          •	Make further inquiry into the nationality of
         cipal place of business in a foreign country.            the contributor if the committee receives a
         The statute specifically mentions foreign                contribution indicating that either the bank
         governments, political parties, partnerships,            or the account owner has a foreign address.
         associations and corporations. 110.20(a)(3).           •	In all of the above instances, if the contribu-
     “Green Card” Exception                                       tion is submitted along with credible evidence
                                                                  (e.g., a copy of a valid U.S. passport) that the
     An immigrant is eligible to make a contribution              contributor is a U.S. citizen, a U.S. national or
     if the immigrant has a “green card” indicating               a permanent resident alien, no further inquiry
     that he or she is lawfully admitted for permanent            need be made. However, if the committee
     residence in the United States. 110.20(a)(3)(ii).            has actual knowledge that the contributor is
     Domestic Subsidiaries of Foreign Corporations                in fact a foreign national, it may not rely on
                                                                  these documents as a defense. 110.20(a)(7).
     In advisory opinions, the Commission has
     said that a United States corporation that is a
     subsidiary of a foreign corporation may spon-
     sor a separate segregated fund to make con-



30                                                                                                     CHAPTER 5
                                             Prohibited Contributions



Contributions in the Name of Another                        Be Prepared to Make Refund
A contribution made by one person in the name               Second, if it decides to deposit the question-
of another is prohibited. 110.4(b). For example,            able contribution, the committee must make
an individual who has already contributed up to             sure that the funds are not spent because they
the limit to the campaign may not give money to             may have to be refunded. To ensure this, the
another person to make a contribution to the same           committee may either maintain sufficient funds
candidate. Similarly, a corporation is prohibited           in its regular campaign depository or establish
from using bonuses or other methods of reimburs-            a separate account used solely for the deposit
ing employees for their contributions. 114.5(b)(1).         of possibly illegal contributions. 103.3(b)(4).

Candidate Employed by                                       Document the Possibility
Prohibited Source                                           of Illegal Contribution
As noted in the previous chapters, a candidate’s            Third, the committee must keep a written
salary or wages earned from bona fide employ-               record noting the reason why a contribu-
ment are considered his or her personal funds.              tion may be prohibited and must include this
100.33. However, compensation paid to a can-                information when reporting the receipt of the
didate in excess of actual hours worked, or in              contribution. 103.3(b)(5). See also Chapter
consideration of work not performed, is generally           12, Section 1, “Recording Receipts,” under the
considered a contribution from the employer.                subheading “Possibly Illegal Contributions.”
100.54. If the employer is a corporation, federal
government contractor or another prohibited                 Seek Evidence of Legality
source, the excess payment would result in a
prohibited contribution under the regulations               Fourth, within 30 days of the treasurer’s receipt
applicable to that employer. See 110.20 (foreign            of a possibly prohibited contribution, the com-
nationals), 114.2(c) (corporations and labor                mittee must make at least one written or oral
organizations) and 115.2 (federal contractors).             request for evidence that the contribution is
                                                            legal. Evidence of legality includes, for example, a
                                                            written statement from the contributor explain-
                                                            ing why the contribution is legal, or an oral
2. Questionable Contributions                               explanation that is recorded by the committee in
                                                            a memorandum. 103.3(b)(1) and AO 1995-19.
If a committee receives a contribution of question-
able legality, it must follow the five procedures
described below. 103.3(a) and (b). (Procedures for          Confirm Legality or Refund
handling contributions that exceed the contribu-            Contribution
tion limits or the campaign’s net debts outstanding         Fifth, within these 30 days, the com-
are described in Chapter 4, Sections 7 and 8)               mittee must either:
                                                              •	Confirm the legality of the contribution; or
Return or Deposit Contribution
                                                              •	Refund the contribution. 103.3(b)(1).
First, when receiving a contribution of ques-
tionable legality, a committee must, within
10 days of the treasurer’s receipt, either:                 Disgorge Prohibited Contribution
  •	Return the contribution to the                          Discovered Late
    donor without depositing it; or                         If a committee deposits a contribution that
  •	Deposit the contribution. 103.3(b)(1).                  appears to be legal and later discovers that it
                                                            is prohibited (based on new information not
                                                            available when the contribution was deposited),


 CHAPTER 5                                                                                                         31
                                 Campaign Guide for Congressional Candidates and Committees


     the committee must disgorge the contribution               Insufficient Funds
     within 30 days of making the discovery. 103.3(b)           If the committee does not have sufficient
     (2). This situation might arise, for example, if the       funds to disgorge the contribution when the
     committee learned that a past contributor was a            illegality is discovered, the committee must
     foreign national or had a contract with the federal        use the next funds it receives. 103.3(b)(2).
     government. As another example, the commit-
     tee might find out that a corporation reimbursed
     employees for their contributions to the commit-
     tee (and had thus made corporate contributions
     and contributions in the name of another).

     Contributor Known
     If the identity of the original contributor is known,
     the committee must refund the funds to the source
     of the original contribution. 103.3(b)(2). Alterna-
     tively, the Committee may pay the funds to the U.S.
     Treasury. AO 1996-5; but see Fireman v. United States,
     44 Fed. Cl. 528 (1999).5 To do so, send the funds to:
            U. S. Department of the Treasury
            Financial Management Services
            Credit Accounting Branch
            3700 East-West Highway
            Hyattsville, MD 20782
     The committee must include a cover letter
     that explains that the funds being sent repre-
     sent potential violations of the Federal Election
     Campaign Act and that requests that the funds
     be placed in the “general fund account.”

     Contributor Unknown
     If, however, the identity of the original contribu-
     tor cannot be determined or is in question, the
     committee must disburse the funds to a gov-
     ernmental entity (federal, state or local), or to
     a qualified charitable organization described in
     2 U.S.C. §170(c). AOs 1995-19 and 1991-39.

     Prohibited In-kind Contribution
     If the prohibited contribution was an in-kind
     contribution, the committee must disgorge an
     amount equal to the value of the contribution
     to the appropriate party as determined above.




     5    In Fireman, the Court of Federal Claims suggested
           that a contributor of illegal contributions might
           have a right to have the contributions refunded to
           him rather than disgorged to the U.S. Treasury.



32                                                                                                     CHAPTER 5
                                                  Chapter 6
                              Other Reportable Receipts
This chapter describes campaign receipts that           exceed the amount of the loan and any senior liens.
are not considered contributions and, therefore,        The committee must ensure that the bank has
are not subject to contribution limits; all receipts    established a “perfected security interest” in the
must nevertheless be reported by the campaign.          collateral (that is, has taken steps to legally protect
                                                        its interest in the collateral in the event that the
                                                        committee defaults on the loan). 100.82(e)(1)(i).
1. Bank Loans                                           Note that if a candidate obtains a loan using
                                                        assets jointly owned with his or her spouse, the
                                                        amount of the loan may not be greater than the
Conditions                                              candidate’s share of the property (usually one
A candidate or his or her committee may                 half); otherwise, a contribution from the spouse
obtain a loan, including a line of credit,              results. 100.52(b)(4). (See Chapter 4, Section 12,
from a bank, provided that the loan:                    under the subheading, “Assets Jointly Held with
                                                        Spouse” for a narrow exception to this rule.)
  •	Bears the bank’s usual and customary inter-
    est rate for the category of loan involved;         Guarantees or endorsements. An endorse-
                                                        ment or guarantee of a bank loan is considered
  •	Is evidenced by a written instrument;               a contribution by the endorser or guarantor
  •	Is subject to a due date or amor-                   and is thus subject to the law’s prohibitions
    tization schedule; and                              and limits on contributions. 100.82(e)(1)(ii).
  •	Is made on a basis which assures                    Pledge of Future Receipts
    repayment (see below).
                                                        If the committee pledges its future receipts as
100.82(a).                                              security for the loan, then the amount loaned by
If a loan fails to meet any of these condi-             the bank may not exceed a reasonable estimate of
tions, then a prohibited contribution                   anticipated receipts, based on documentation pro-
from the lending institution results.                   vided by the candidate or committee (such as cash
                                                        flow charts or fundraising plans). 100.82(e)(2)(i)
Methods of Assuring Repayment                           and (ii). Future receipts might include, for example,
                                                        anticipated contributions or interest income.
A loan is made on a basis which assures repayment
if it is obtained using one or more of the follow-      The committee must also set up a separate
ing authorized methods of securing the loan:            account for the receipt of funds pledged for
                                                        the repayment of the loan. The account may be
Traditional Methods                                     established with either the lending institution or a
A committee may use one of the follow-                  different depository. If the account is established
ing traditional methods of securing the                 at a depository other than the lending institution,
loan, or a combination of the two:                      then the committee must execute an assignment
                                                        of the account’s funds to the lending institution
Collateral. A loan may be secured using assets of       and notify the depository of the assignment. The
the candidate or the committee, such as real estate,    loan agreement must require the committee to
personal property, cash on deposit, certificates        deposit the pledged funds into the account estab-
of deposit and stocks. The fair market value of         lished for this purpose. 100.82(e)(2)(iii) and (iv).
the assets must, on the date of the loan, equal or



                                                                                                                  33
                             Campaign Guide for Congressional Candidates and Committees



     Other Methods of Assuring Repayment                    credit directly to the lending institution or to
                                                            the candidate. 100.83(d). All such loans to the
     The Commission may, on a case-by-case basis,           committee derived by these methods must be
     approve methods of assuring repayment other            reported by the committee. 100.83(e). The com-
     than those described above. 100.82(e)(3). See, for     mittee must report the loan from the candidate
     example, Advisory Opinion (AO) 1994-26. A com-         as a receipt and repayment of the loan to the
     mittee should request an advisory opinion from the     candidate as a disbursement. 104.3(a)(3)(vii)
     Commission before entering into a loan agreement       and (b)(2)(iii)(A). See Chapter 13, Section 18.
     that relies on alternative sources of repayment.

     Schedule C-1/C-P-1                                     3. Overdrafts
     When a committee obtains a loan from a bank
     or other permissible lending institution (or the       If a bank honors a check written by a political
     candidate obtains one on behalf of his or her          committee with insufficient funds in its check-
     committee), the committee must file Schedule           ing or savings account, no contribution from
     C-1 (or Schedule C-P-1 (for Presidential can-          the bank results as long as the overdraft:
     didates)) with the report covering the period             •	Is made on an account subject to
     in which the loan was obtained. 104.3(d)(1).                automatic overdraft protection;
     If the loan is obtained by the committee (rather          •	Is subject to a definite interest rate which
     than by the candidate), the treasurer must sign             is the usual and customary rate; and
     the schedule and attach a copy of the loan
     or line of credit agreement. See Chapter 13.              •	Is subject to a definite repayment schedule.
     Both Schedule C-1 and Schedule C-P-1 (for              100.82(d).
     Presidential candidates) include a statement to        An overdraft that does not meet the above
     be signed by an officer of the lending institution     conditions is a prohibited contribution. 114.2.
     certifying that the information provided by the        Note that if the overdraft protection is based
     committee is accurate and that the terms and           on a line of credit extended by the bank,
     conditions of the loan comply with FEC rules.          draws on that line of credit must be disclosed
                                                            on Schedule C-1, as discussed above.

     2. Brokerage Loans and
        Other Lines of Credit                               4. investment income
        Obtained by Candidate
                                                            Interest earned on investments, such as inter-
     Candidates may use funds derived from an               est earned on invested funds and dividends
     advance on their brokerage account, credit             earned on securities, are not considered
     card account or other line of credit to finance        contributions. Such funds, however, must be
     their campaigns, if the extension of credit is:        transferred back into the main campaign deposi-
                                                            tory before being disbursed by the campaign.
       •	In accordance with applicable law;                 Additionally, tax laws apply. See 103.3(a); AOs
       •	Under commercially reasonable terms; and           1999-8, 1997-6, 1986-18 and 1980-39, as well as
       •	Made by persons who make such loans                Appendix G, Compliance with Other Laws.
         in the normal course of their business.
     100.83(a).
     The candidate’s authorized committee has
     the option of repaying loans derived from a
     candidate’s brokerage account or other line of


34                                                                                                    CHAPTER 6
                                          Other Reportable Receipts



5. Offsets to Operating
   expenditures
Offsets to operating expenditures, such as
returns by vendors of deposits, reimbursements
for expenses shared by committees, refunds and
rebates, are not considered contributions. Note,
however, that rebates to campaigns must be
offered in the ordinary course of business and on
the same terms and conditions as those offered
to nonpolitical entities. Otherwise, the rebate
may be considered a contribution—a prohibited
contribution if a corporation pays the rebate. See,
for example, AOs 2004-37 (see response to Ques-
tion 4), 1996-2, 1994-10, 1987-24 and 1986-22.



6. Legal and accounting
   Services
The value of legal and accounting services pro-
vided without charge in accordance with the
guidelines described in the next chapter is not
a contribution. 100.86 and114.1(a)(2)(vii).




 CHAPTER 6                                                            35
                                               Chapter 7
                                     Sources of Support
Support may be given to campaigns in a               Use of Equipment
variety of ways, as described below.
                                                     This exemption covers only the services pro-
                                                     vided to ensure compliance. The employer
                                                     cannot donate equipment, such as computers,
1. Contributions                                     to the campaign without making a contribution
                                                     (a prohibited contribution if the employer is an
Contributions are the most common source of          incorporated entity). However, the use of the
campaign support. Earlier chapters explain the       employer’s resources, such as computer equip-
Federal Election Campaign Act’s (the Act) limits     ment, necessary to enable the employee to provide
and prohibitions on contributions. Remember          the service is not considered a contribution by
that all contributions are reportable. See Chap-     the employer. AOs 1989-13 and 1980-137.
ter 3, Section 2, “Types of Contributions.”

                                                     Volunteer Services
2. Free Legal and                                    If an individual personally volunteers legal
                                                     or accounting services without compensa-
   accounting Services                               tion, the work is considered personal volun-
                                                     teer activity (see “Personal Services,” below)
                                                     and the above restrictions do not apply.
The Exemption
Any entity (e.g., a committee, a corporation, a
union, a partnership) may provide a campaign with    3. Volunteer activity
free legal and accounting services as long as:
  •	The services are provided only for the purpose
    of helping the campaign comply with the Act;     Personal Services
  •	The entity paying for the service is             Basic Rule: No Compensation
    the regular employer of the indi-
    vidual performing the service;                   An individual may volunteer personal services
                                                     to a campaign without making a contribu-
  •	The employer does not hire additional            tion as long as the individual is not com-
    employees to free regular employ-                pensated by anyone for the services. 100.74.
    ees to perform the service; and                  Volunteer activity is not reportable.
  •	The campaign reports the value of the service    exaMpLe: An attorney, working as a volunteer
    (the amount paid by the employer), as well as    (i.e., he receives no compensation from any-
    the name of each person who performed the        one), writes policy papers for the campaign.
    service and the date the service was provided.
                                                     Note, however, that if volunteers are, in fact,
100.86, 100.146 and 114.1(a)(2)(vii). See            paid for their services, the activity is no longer
Advisory Opinion (AO) 2006-22.                       considered volunteer activity, and the payments,
For more information on reporting free legal and     if made by someone other than the campaign
accounting services, see Chapter 13, Section 9.      itself, result in in-kind contributions, which must
                                                     be reported by the campaign. 100.54. (Excep-



                                                                                                           37
                              Campaign Guide for Congressional Candidates and Committees


     tion: “Free Legal and Accounting Services,”                of corporate or labor facilities, see Section 9, “Use
     above.) See AOs 2007-8, 1982-4 and 1980-42.                of Corporate/Labor Transportation and Facilities,”
                                                                later in this chapter. For information on the use by
     Foreign National as Campaign Volunteer                     a volunteer of an employer’s computer and Internet
     Although he or she may not make contributions              access, see Internet Volunteer Activity below.)
     or expenditures (including advances of personal
     funds), an individual who is a foreign national may        Use of Real or Personal Property:
     participate in campaign activities as an uncompen-
     sated volunteer. In doing so, the volunteer must           Activities in Home, Church,
     be careful not to participate in the decision-making       Community Room
     process of the campaign as the Commission has              Individuals, in the course of volunteering personal
     specifically prohibited that activity. For example,        services, may use their homes—or the recreation
     a foreign national volunteer may attend commit-            room of the residential complex where they
     tee events and campaign strategy meetings, but             live—for campaign-related activities without
     may not be involved in the management of the               making a contribution. (Any small fee paid for
     committee. AOs 2007-22, 2004-26 and 1987-25.               the use of a recreation room is not considered
                                                                an in-kind contribution to the campaign and
     Incidental Volunteer Activity at                           is not, therefore, reportable.) Volunteers may
     Corporate/Labor Facilities                                 use a church or community room for campaign
                                                                activities as long as the facility is regularly used
     Generally, if an individual provides services to a         for noncommercial purposes by members of
     campaign during paid working hours, the employer           the community, without regard to political affili-
     makes a contribution to the campaign. 100.54.              ation. ( Again, a small fee paid for the use of the
     However, an employee, stockholder or member of             room is not a contribution.) 100.75 and 100.76.
     a corporation or labor organization may make inci-         For rules concerning the use of a home com-
     dental use of corporate/labor organization facilities      puter, see Internet Volunteer Activity below.
     for his or her own individual volunteer activities on
     behalf of a campaign. Note that the Commission
     has said that the use of facilities during one (1) hour    Food, Drink, Invitations for Home,
     per week or four (4) hours per month is consid-            Church or Community Room Event
     ered “incidental use.” For example, an employee            When holding a campaign-related activity in their
     may use an office phone to make calls that pertain         home, church or community room, individu-
     to political volunteer work. If the volunteer activ-       als may spend up to $1,000 per candidate, per
     ity is limited to “incidental use” of the facilities the   election, for food, beverage and invitations for
     volunteer does not have to reimburse the organiza-         the event without making a contribution. (For
     tion for use of the facilities (only for any increased     example, two individuals who jointly own the
     overhead or operating costs). 114.9(a)(1) and (b)(1).      same home may together spend up to $2,000
     When use of the facilities exceeds “incidental use,”       per candidate, per election.) Any amount spent in
     the volunteer must reimburse the organization the          excess of $1,000, however, must be reported by
     usual and normal rental fee within a commercially          the campaign as an in-kind contribution. 100.77.
     reasonable time. Such reimbursement is consid-             Note that in AO 1980–63, the Commission said
     ered an in-kind contribution from the volunteer and        that if an individual co-hosts an event held in
     must be reported by the benefiting campaign com-           someone else’s home, any expenses paid by the
     mittee. 114.9(a)(2) and (b)(2). Or, if anyone (includ-     nonresident co-host are considered contribu-
     ing an employee, stockholder or member) uses the           tions to the campaign benefiting from the event.
     equipment of a corporation or union to reproduce
     campaign materials, reimbursement is required
     regardless of how much time is spent on the activ-
     ity. 114.9(c). (For information on a campaign’s use


38                                                                                                       CHAPTER 7
                                                 Sources of Support



Internet Volunteer Activity                                  and may count as a contribution and/or expen-
                                                             diture. See Appendix D, Communications.
General Exception
An uncompensated individual or group of uncom-
pensated individuals may engage in Internet                  4. travel Cost exemptions
activities for the purpose of influencing a federal
election without restriction. The activity would
not result in a “contribution” or an “expendi-               Unreimbursed Travel Expenses
ture” under the Act and would not trigger any                The exemptions described below apply only to
registration or reporting requirements with the              an individual’s payments for his or her own travel
FEC. This exemption applies to individuals acting            expenses; if an individual uses personal funds to
with or without the knowledge or consent of a                pay the travel expenses of another, an in-kind
campaign or a political party committee. 100.94              contribution results. 100.93(b). For the general
and 100.155. Exempted Internet activities include,           rules concerning campaign travel, including the
but are not limited to, sending or forwarding                rules for using non-commercial transportation,
electronic mail, providing a hyperlink to a web site,        see Chapter 10, Section 4, “Campaign Travel.”
creating, maintaining or hosting a web site and
paying a nominal fee for the use of a web site.              $1,000 Transportation Exemption
Use of Employer’s Computer and Internet Access               An individual (including the candidate, a paid staff
                                                             member or a volunteer) may voluntarily spend
A corporation or a labor organization may                    up to $1,000 for unreimbursed transportation
permit its employees, shareholders, officials and            expenses on behalf of the campaign without
members to use its computer and Internet access              making a contribution. However, payments for
for individual volunteer Internet activity, without          transportation expenses on behalf of a campaign
making a prohibited contribution. The individual             that exceed $1,000 per candidate, per election,
volunteer must comply with the employer’s internal           are considered contributions—unless they are
policies for computer and Internet use, and must             reimbursed by the candidate’s committee in
complete the normal amount of work for which                 a timely manner (see below). 100.79(a)(1).
the employee is paid, or is expected to perform.
Also, the activity must not increase the overhead            Volunteer’s Exemption for Meals and Lodging
or operating costs of the organization, and the              A campaign volunteer may spend unlimited
activity must not be coerced. The organization               amounts for his or her own meals and lodging with-
may not condition the availability of the Internet           out making a contribution, as long as the expenses
or the computer on their being used for political            are incidental to volunteer activity. 100.79(b).
activity or for support for or opposition to any
particular candidate or political party. 114.9(a)(2)
(ii) and (b)(2)(ii). (For rules on communications            Reimbursed Travel Expenses
by a corporation or labor organization using a               When the candidate or an individual work-
computer or the Internet, see Section 8, Corpo-              ing on behalf of the candidate pays any
rate/Labor Exceptions, later in this chapter.)               other travel expense, no contribution will
                                                             result if the committee reimburses the indi-
Not Exempt: Paid Web Communications                          vidual within the following time limits:
If an individual or group of individuals pays a                •	If the expense was paid with cash or
fee to place a communication on another per-                     a personal check, within 30 days from
son or entity’s web site, the communication is                   the date the expense was incurred.
considered general public political advertising,
and thus qualifies as a public communication.                  •	If the expense was paid with a credit
100.26. As such, it may require a disclaimer                     card, within 60 days of the closing



 CHAPTER 7                                                                                                          39
                             Campaign Guide for Congressional Candidates and Committees


         date on the credit card billing state-             and 2004-1. Note that payments by nonfederal
         ment where the charge first appears.               campaigns for shared expenses involving public
       •	Outside of these time limits, the pay-             communications must be made from funds that
         ments are in-kind contributions. 116.5(b);         are subject to the limitations, prohibitions and
         AO 2003-31. See Chapter 13, Section                reporting requirements of the Act. 300.71.
         11, “Reporting Reimbursed Advances of
         Personal Funds” for reporting rules.               “Coattail” Support in
                                                            Campaign Materials
                                                            Under the “coattail” provision of the Federal
     5. Vendor Discounts on                                 Election Campaign Act, a federal candidate may be
        Food and Beverages                                  mentioned in campaign materials produced by
                                                            another federal candidate’s campaign or by the
     A vendor of food or beverages (even if incorpo-        campaign of a nonfederal candidate. The commit-
     rated) may sell food and beverages to a campaign       tee making the expenditure must report it, but
     at a discount. The amount charged must at least        the candidate named in the ad has no reporting
     equal the vendor’s cost for the items. If the          responsibility. The payment for the materials is not
     value of the discount—the difference between           a contribution to the referenced federal candidate
     the normal charge and the amount paid by the           provided that the guidelines below are followed.
     campaign—does not exceed $1,000 per candidate,
     per election, the discount is not considered a con-    Example: A U.S. House campaign may produce a
     tribution. Discounts exceeding $1,000, however,        yard sign that includes the name of a U.S. Senate
     are in-kind contributions and must be reported         candidate without allocating a portion of the
     as such. A corporate vendor may not exceed the         cost as an in-kind contribution to that candidate
     $1,000 discount limit since corporate contribu-        as long as the conditions listed below are met.
     tions are prohibited. 100.78 and 114.1(a)(2)(v).       Guidelines to Qualify for Exemption
                                                               •	The materials must be limited to items
                                                                 such as pins, bumper stickers, handbills,
     6. Support from Other                                       brochures, posters and yard signs;
        Campaigns                                              •	The materials must be distributed by volun-
                                                                 teers (for example, by hand) or by mail using
     This section describes ways in which campaigns may          lists developed by the candidate’s campaign
     assist one another without making a contribution.           (but not by direct mail—see below); and
     For the rules on campaign-to-campaign contribu-
     tions, see Chapter 4, Section 1 under the subhead-        •	The materials may not be distributed through
     ing, “Contributions from Other Candidates.”                 public political advertising such as broadcast
                                                                 media, newspapers, magazines, billboards
                                                                 or direct mail (a mailing by a commercial
     Shared Expenses                                             vendor or made from a commercial list).
     Campaigns may share common expenses (e.g.,             Note that the portion of the cost allocable to
     rent for a shared headquarters or printing for a       a federal candidate must be paid from funds
     brochure that promotes each campaign) without          subject to the limits and prohibitions of the
     a contribution resulting, as long as each com-         Act, even if a nonfederal campaign pays for the
     mittee pays its attributed portion of the costs.       materials. 100.88(a) and (b) and 100.148.
     If one committee pays a bill, the other commit-
     tees involved in the expense must reimburse
     that committee for their portion of the expense
     within a reasonable period of time to avoid a
     contribution. See AOs 2007-24, 2004-37, 2004-36


40                                                                                                    CHAPTER 7
                                                      Sources of Support



Endorsements and Solicitations                                    campaign; money given directly to the candidate’s
                                                                  campaign is not a coordinated party expenditure.
by Federal Candidates
A public communication in which a federal can-                    Party Expenditure Limits
didate endorses, or solicits funds for, another                   The party’s national committee has a spending
candidate for federal or nonfederal office does                   limit for each U.S. Senate and House nominee in
not result in a contribution to the endorsing                     the general election. See 109.35(c). The national
(or soliciting) candidate unless the communica-                   committee may designate (in writing) the party’s
tion promotes or supports the endorsing (or                       national Senatorial Committee or national Con-
soliciting) candidate or attacks or opposes his                   gressional Committee to spend its allowance with
opponent in the election. 109.21(g). For more                     respect to a particular nominee, but those commit-
information, see Appendix D, Communications.                      tees do not have separate spending limits. 109.32(b)
                                                                  and 109.33; see also AO 1976–108. The national
                                                                  committee may also designate a state or local party
7. party Support                                                  committee to make its expenditures. 109.33(a).
                                                                  A state party committee has a separate spend-
In addition to making contributions (up to                        ing limit for each Senate and House general
$5,000 per election as a multicandidate commit-                   election nominee seeking election in that state.
tee), party committees may support a candidate                    The state committee may designate (in writing)
through other activities described below. These                   a national party committee to spend its allow-
other activities are reportable by the political                  ance with respect to a particular nominee.
party committee but not by the campaign of the                    Although local party committees have no separate
candidate receiving the support. Note that some                   spending allowance, they may be designated in
of these activities may trigger additional report-                writing by either the national committee or the
ing responsibilities or funding provisions for the                state committee to make coordinated party expen-
party committee. For detailed information, see                    ditures. 109.33(a) and (b)(1). When making coordi-
the Campaign Guide for Political Party Committees.                nated party expenditures, party organizations that
                                                                  are not federally registered political committees
Coordinated Party Expenditures                                    must nevertheless use funds that are permissible
The Act creates a special exception to the contri-                under the Federal Election Campaign Act. 102.5(b)
bution limits for certain party activities supporting             Coordinated party expenditure limits for Senate
candidates. 2 U.S.C. §441a(d). 1 The national party               and House candidates are calculated as follows:2
committee and the state party committee each                          •	Senate Candidate: State voting age popula-
have an additional special contribution limit for                       tion x 2 cents, multiplied by the Cost of Living
coordinated party expenditures made in connec-                          Adjustment (COLA); or $20,000 multiplied
tion with the general election campaigns of U.S.                        by the COLA, whichever is greater.
House and Senate candidates. 109.32. (Coordi-
nated party expenditures are also called “441a(d)                     •	house Candidate: 3 $10,000 multiplied by
expenditures” because they are provided for in 2                        the COLA, or, in states with only one rep-
U.S.C. §441a(d) of the Federal Election Campaign Act.)                  resentative, the same as the Senate limit.

Although these expenditures may be coordinated                        •	The Commission publishes in the Federal
with a campaign, the party committee must                               Register, the FEC Record and on the Commis-
actually make the expenditure on behalf of the                    2     The Cost of Living Adjustment (COLA) has a
                                                                        considerable effect on party spending limits. For
                                                                        example, the spending limit for a House candidate
1   This special provision creates, in part, an exception
                                                                        for a special election in 2007 was $40,900.
    to the above contribution limits. That is, without
    special treatment, political parties ordinarily would         3     The limit applies to candidates for Delegate (American
    be subject to the general limitation on contributions               Samoa, District of Columbia, Guam,Virgin Islands) and
    by a multicandidate political committee.                            Resident Commissioner (Puerto Rico). 109.32(b)(2)(ii).


 CHAPTER 7                                                                                                                       41
                                   Campaign Guide for Congressional Candidates and Committees


          sion’s web site, the dollar amounts of the              Permissible Sources
          coordinated party expenditure limits. 110.17(e).
                                                                  Since independent expenditures contain express
     Party Expenditures vs. In-Kind Contributions                 advocacy on behalf of federal candidates, they
     When making either coordinated party expen-                  must be financed with funds from the party’s
     ditures or in-kind contributions, a party com-               federal account. For more information regard-
     mittee purchases goods or services for the                   ing independent expenditures, see this chapter,
     benefit of a campaign. The committee may                     Section 11 and Appendix D, ”Communications.”
     decide whether to regard an expenditure made
     on behalf of the candidate as a coordinated                  Exempt Party Activities
     party expenditure or as an in-kind contribution.             Two types6 of grassroots activities—preparation,
     (As previously noted, monetary contributions                 display and distribution of slate cards and cam-
     given directly to the campaign do not qualify as             paign materials—undertaken by state and local
     coordinated party expenditures.) 109.37(b).                  party committees in support of specific federal
     Despite their similarity, coordinated                        candidates are unlimited because they are exempt
     party expenditures differ from in-kind                       from the definition of contribution. Note that
     contributions in several ways:                               although they are exempt from contribution
         •	Coordinated party expenditures may be                  limitations, such activities often qualify as federal
           made in connection with the general election           election activity and thus may be subject to certain
           only (although they may be made during the             funding restrictions. Moreover, payments made
           primary period—see 109.34), whereas in-kind            by an unregistered party organization for such
           contributions may be made for any election.4           materials count towards the organization’s FEC
                                                                  registration threshold. For more information
         •	Coordinated party expenditures count against           on federal election activity, exempt activities and
           the special spending limits explained above,           party committee registration thresholds, see the
           whereas in-kind contributions count against            Campaign Guide for Political Party Committees.
           the committee’s per-candidate, per-election
           limits on contributions (e.g., $5,000).                Sources of Funds
         •	Coordinated party expenditures are reported            Many local party organizations are not registered
           by the party committee only, whereas                   political committees under the Federal Election
           in-kind contributions and coordinated com-             Campaign Act and may, under state law, accept dona-
           munications are reported by both the party             tions that would be prohibited or excessive under
           committee and the recipient campaign.                  the Act. These funds may not be used to pay for
                                                                  exempt party activities. Instead, the party must
     Party Independent Expenditures                               use funds that are permissible under federal law.
                                                                  100.80 and 100.87; 100.140 and 100.147; 102.5(b).
     Party committees may make independent expendi-
     tures on behalf of, or in opposition to, candidates.         Campaign Materials
     Such expenditures are not subject to contribu-               A state or local party committee or organization
     tion or coordinated party expenditure limits.5               may prepare and distribute campaign materials
                                                                  such as pins, bumper stickers, handbills, brochures,
                                                                  posters or yard signs without having its pay-


                                                                  6    There is a third type of exempt activity for
                                                                       registration and GOTV activity conducted by a
     4     A post general runoff does not constitute
                                                                       state or local party committee on behalf of the
           a general election triggering an additional
                                                                       Presidential and Vice-Presidential nominees of
           §441a(d) expenditure allowance.
                                                                       that party. 100.89. For the conditions and details
     5     See FEC v. Colorado Republican Federal Campaign             regarding this type of exempt activity, see the
           Committee, (518 U.S. 604 (1996)).                           Campaign Guide for Political Party Committees.


42                                                                                                                CHAPTER 7
                                                 Sources of Support


ments for such items considered contributions or             Reporting
expenditures if the following conditions are met:
                                                             The campaign of a candidate supported through
  •	The activity is conducted on behalf of the               exempt party activities is not required to report
    party’s nominees for the general election.               them. If these activities are conducted by a federally
  •	The materials are distributed by volunteers, not         registered party committee, the party committee
    through public advertising such as broadcast             must report them. (Note that these exempt activi-
    media, newspapers, magazines or billboards               ties may trigger federal registration and reporting
    or by direct mail (that is, a mailing by a com-          obligations for a local party organization. 100.5(c).)
    mercial vendor or from commercial lists).
  •	The party committee does not use materials
    purchased by the national party committee                8. Corporate/Labor exceptions
    or money transferred from the national party
    committee specifically to purchase materials.            Although corporations (including incorporated
  •	The party committee does not use funds                   trade associations and membership organiza-
    designated for a particular candidate.                   tions) and labor organizations are prohibited
                                                             from using their treasury funds to make con-
  •	A payment from a state or local candidate                tributions and expenditures in connection with
    to help pay for the materials does not                   federal elections,7 they are permitted to:
    exceed his or her share of the expenses.
                                                                 •	Establish separate segregated funds (popu-
Slate Cards and Sample Ballots                                     larly referred to as PACs), which can sup-
A state or local party committee or organization                   port federal candidates (114.1(a)(2)(iii));
may prepare and distribute a slate card, sample                  •	Provide certain free legal and account-
ballot, palm card or other printed list naming                     ing services to a campaign (See
candidates for any public office. The payments                     section 2 of this Chapter);
are not considered contributions or expendi-                     •	Allow employees, stockholders and members
tures on behalf of any federal candidate listed                    to make incidental use of their facilities for
as long as the following conditions are met:                       volunteer campaign work (see Section 3
  •	The list names at least three candidates running               of this Chapter, “Volunteer Activity”);8
    for election to any public office within the state.          •	Sponsor communications to the restricted
  •	The list is not distributed through public                     class (e.g., a corporation’s executives and
    advertising such as broadcast media, newspa-                   stockholders and their families; a labor
    pers, magazines or billboards. Note, however,                  organization’s members and their families)
    that it may be distributed by direct mail (that                that contain express advocacy and may
    is, a mailing by a commercial vendor or from                   be coordinated with a candidate; and
    a commercial list). 100.80 and 100.140.                      •	Sponsor certain election-related com-
  •	The content is limited to the identification                   munications to other employees and/
    of each candidate (pictures may be used),                      or the general public as long as they do
    the office or position currently held, the                     not contain express advocacy and are not
    office sought and party affiliation. The list                  coordinated with a candidate, except to the
    must exclude any additional biographical data                  extent permitted under 11 CFR 114.4.
    on candidates and their positions on issues              This section focuses on the last two items.
    as well as statements on party philosophy.
    Certain voting information, however, may be
                                                             7     There is a limited exception to these general
    given, such as time, place and instructions on                 rules for certain Qualified Nonprofit
    voting a straight party ticket. AO 1978-89.                    Corporations. See Section 3 in Appendix D.
                                                             8     For information on a campaign’s use of corporate/
                                                                   labor facilities, see Section 9, this chapter.


 CHAPTER 7                                                                                                             43
                             Campaign Guide for Congressional Candidates and Committees



     Restricted Class                                       cal party committee or its agents.9 109.20(a). FEC
                                                            regulations provide for a three-part test to deter-
     A corporation’s restricted class consists of its       mine whether a communication is coordinated,
     executive and administrative personnel, its stock-     and thus, represents an in-kind contribution unless
     holders and the families of those two groups.          it is otherwise exempt under FEC regulations.
     A labor organization’s restricted class consists       See 109.21 and Appendix D, Communications.
     of its members, executive and administrative
     personnel and the families of those two groups.
     A membership organization’s restricted class           Communications to Restricted Class
     generally includes the executive and administra-       Coordination and Express Advocacy Allowed
     tive staff of the organization, the organization’s
     members and the families of those two groups.          As noted above, a corporation or labor organiza-
     (Note: If a member is incorporated, a member-          tion may communicate with its restricted class in
     ship organization or trade association would           a manner that expressly advocates the election
     communicate with the personnel of the member           or defeat of a clearly identified candidate, and the
     corporation with whom they normally conduct            organization may coordinate these communications
     business. See the Campaign Guide for Corporations      with the candidate without making a prohibited
     and Labor Organizations for more information.)         contribution. While such coordination does not
                                                            transform the restricted class communication into
                                                            an in-kind contribution, it may provide evidence that
     Express Advocacy                                       could jeopardize the independence of future com-
     When a corporation or labor organization commu-        munications to those outside the restricted class by
     nicates with its restricted class, it may issue com-   the organization or its SSF. 114.2(c) and 114.3(a)(1).
     munications that contain express advocacy. 114.3(a).
                                                            Permitted Restricted Class Communications
     However, election-related communications by those
     organizations that reach beyond their restricted       Corporations and labor organizations may
     class may not contain express advocacy. See 114.4.     engage in certain types of communications to the
                                                            restricted class provided they follow the guidelines
                                                            contained in the FEC regulations. The pertinent
     Coordination with the Candidate                        regulations and some examples are listed below.
     An expenditure that is coordinated with a can-             •	Publications. A corporation or labor organiza-
     didate or the candidate’s campaign is considered             tion may produce and distribute publications
     an in-kind contribution to the candidate, which              that endorse or solicit funds for a candidate or
     the candidate must report as a contribution                  party (as long as the publications are not repro-
     received and an expenditure made. 104.13(a),                 ductions of the candidate’s campaign materials
     109.20(b) and 109.21(b). Because the Act                     and the organization does not actually collect
     prohibits corporations and labor organizations               the funds). 114.2(f)(4)(ii) and 114.3(a) and (c)(1).
     from making contributions, it is important to
     avoid coordination with corporations and labor             •	Web pages and e-mails. A corporation or
     organizations regarding communications outside               labor organization may endorse or solicit
     the restricted class except to the extent permit-            funds for a candidate or party through an
     ted under FEC regulations at 11 CFR 114.4.                   e-mail directed solely to members of its
                                                                  restricted class. Likewise, a corporation or
                                                                  labor organization may set up a web page,
     Coordination Defined                                         accessible only by its restricted class, which
     An expenditure is coordinated if it is made in               may contain express advocacy or solicitations.
     cooperation, consultation or concert with, or at the         Note that in either case the organization
     request or suggestion of, a candidate, a candidate’s         may not actually collect the funds, but may
     authorized committee, or their agents, or a politi-
                                                            9     For the purposes of 11 CFR part 109 only,
                                                                  “agent” is defined at 11 CFR 109.3.



44                                                                                                        CHAPTER 7
                                                              Sources of Support


      provide the address of the campaign to which                        Note that any election-related communica-
      contributions may be sent. 114.2(f)(4)(ii) and                      tions made to those outside the restricted class
      114.3(a). See also AOs 1997-16 and 1996-1.                          may also be made to the restricted class.
     •	Candidate and Party Appearances. A candidate                       Types of Communications
       or party representative may make an appear-
       ance before the restricted class. He or she                        Corporations and labor organizations may engage
       may solicit and accept contributions before,                       in the following types of election-related communi-
       during or after the appearance. 114.3(c)(2).                       cations that go beyond the restricted class provided
                                                                          they follow the guidelines contained in FEC regula-
     •	Get-Out-The-Vote and Voter Registration Drives                     tions. The pertinent regulation is listed below.
       and Phone Banks. The corporation or labor
       organization may run voter drives and phone                          •	Campaign-Related Candidate Appearances Before
       banks urging the restricted class to vote for                          All Employees and Their Families. The candidate,
       a particular candidate or to register with                             but not the sponsoring organization, may ask
       a particular party. 114.3(c)(3) and (4).                               for support and may solicit contributions.
                                                                              Note, however, that the candidate may not
     •	Endorsements. Endorsements may be                                      accept contributions, but he or she may leave
       announced during a candidate appear-                                   envelopes and campaign materials for the
       ance or in a publication to the restricted                             audience. 114.4(b)(1). Coordination between
       class. 114.3(c) and 114.4(c)(6).                                       the candidate and the corporation or labor
Reporting                                                                     organization may include discussions regard-
                                                                              ing the structure, format and timing of the
The campaign of the candidate benefiting from                                 appearance, and the candidate’s position on
the communication to the restricted class                                     issues, but may not include any discussion of
has no reporting obligation. The organiza-                                    the candidate’s plans, projects or needs relat-
tion, however, must file an FEC report of the                                 ing to his or her campaign. 114.4(b)(1)(vii).
communication costs once such costs exceed
$2,000 for any election. 100.134(a) and 104.6.                              •	Noncampaign-Related Candidate Appearances
                                                                              Before the General Public. Incumbent federal
                                                                              officeholders may make appearances in their
Communications to Those                                                       official officeholder capacity. The discussion
Outside the Restricted Class                                                  must be limited to issues of concern to the
                                                                              sponsoring organization and avoid any refer-
Coordination and Express Advocacy                                             ence to campaign activity or solicitation of con-
A corporation or labor organization may also spon-                            tributions. Note that an organization cannot
sor certain election-related communications to                                pay for the candidate or the candidate’s staff
those outside the restricted class (other employees                           to travel to such an officeholder event if the
and the general public). Unlike such communica-                               candidate holds a campaign event in the same
tions to the restricted class, these communications                           area while there. 106.3(b)(3). AO 1996-11.
cannot contain express advocacy by the sponsor.                             •	Candidate Appearances at Schools, Colleges or
Disbursements by corporations and labor                                       Universities. Candidates may make appearances
organizations for the election-related activities                             at educational institutions without the appear-
described in 11 CFR 114.4 [i.e., communica-                                   ance being a prohibited contribution, provided
tions that reach beyond the restricted class]                                 that the school makes a reasonable effort to
will not cause those activities to be contribu-                               ensure that the appearance is in an academic
tions or expenditures, even when coordinated                                  setting (such as a speech or a question/answer
with any candidate or party committee to the                                  setting) rather than a campaign setting (such
extent permitted in those sections.10 114.2(c).                               as a rally or event) and the school does not
                                                                              expressly advocate the election or defeat of,
10     See 114.4(b)(1)(vii), 114.4(c)(2), 114.4(c)(3)(v), 114.4(c)            nor favor, any specific candidate. Alternatively,
       (4), 114.4(c)(5)(i) and (ii), 114.4(c)(6)(ii) and 114.4(d)(1).


 CHAPTER 7                                                                                                                        45
                             Campaign Guide for Congressional Candidates and Committees


         the facilities of the school may be provided         If another political committee or an individual
         to the campaign provided that the usual and          reimburses a corporation or labor organization
         normal rental charge is paid in the ordinary         for the campaign-related use of its facilities, the
         course of business. For more information on          payment is considered an in-kind contribution from
         such appearances, see 114.4(c)(7)(i) and (ii).       that committee or individual to the campaign. (In
       •	Candidate Debates. Candidate debates may             the case of a political committee sponsored by the
         be sponsored by a broadcaster, bona fide             organization providing the facilities, that payment
         newspaper, magazine or other periodical or           must be made to the organization in advance in
         a nonprofit organization (i.e., those organiza-      order to avoid a prohibited contribution from
         tions under 501(c)(3) or (c)(4) of the Internal      the organization. (AO 1984-24.) Note, however,
         Revenue Code), in accordance with section            that employees, stockholders and members of
         110.13 of the FEC regulations. In particular, a      a corporation or labor organization may make
         debate must include at least two candidates          incidental use of an organization’s facilities, subject
         and should not be structured to promote              to the employer’s own rules, for volunteer work
         or advance one candidate over the other.             without having to reimburse the organization
                                                              (except for any increased overhead), as explained
       •	Endorsements. The corporation or labor organi-       in Section 3 of this Chapter. 114.9(a) and (b).
         zation may, without coordinating with the candi-
         date or his or her campaign, publicly announce
         endorsements through a press release and             Meeting Rooms
         press conference conducted through its normal        Usual and Normal Rental Rate
         media contacts. The endorsement may also
         be posted on a web page that is accessible to        Candidates and political parties may, at the discre-
         the general public if the corporation or labor       tion of the organization, rent a corporation or
         organization normally posts its press releases       labor organization’s meeting rooms at the usual
         online and the release is posted along with all      and normal rate, provided reimbursement is made
         other corporate or organization press releases.      within a commercially reasonable time. 114.9(d).
         114.4(c)(6)(i) and (ii); see AO 1997-16.             Provided by Organization’s Political Committee
                                                              As with other facilities, if the organization’s
                                                              political committee pays for the room as an
     9. Use of Corporate/Labor                                in-kind contribution, that payment must be
        Facilities and resources                              made in advance to avoid a prohibited contribu-
                                                              tion from the organization. AO 1984-24.
     When using the facilities and resources of a
     corporation (including an incorporated trade             For Free or at a Discount
     association or membership organization) or labor         A candidate may be able to use the rooms for free
     organization, a campaign must pay the organization       or at a discount under the following conditions:
     according to the rules described below. Otherwise,         •	The corporation or labor organization
     the use may result in a prohibited contribution              customarily makes its meeting rooms avail-
     from the corporation or labor organization.                  able to civic and community groups;
                                                                •	The corporation or labor organiza-
     Facilities                                                   tion makes the rooms available to
     If a campaign uses the facilities of a corporation or        other candidates upon request; and
     labor organization, the campaign must reimburse            •	The corporation or labor organization makes
     the organization within a commercially reasonable            the rooms available to the candidates on
     time and at the usual and normal rental charge.              the same terms given to other groups (i.e.,
     Use of facilities may include, for example, the use of       for free or at a discount if those are the
     telephones, typewriters or office furniture. 114.9(d).       terms offered to other groups). 114.13.


46                                                                                                      CHAPTER 7
                                               Sources of Support



Use of Corporate/Labor                                     only event and the funds collected are treated
                                                           not only as contributions to the candidate, but
Name or Trademark                                          also as contributions both to and from the SSF
A corporation or a labor organization may not              of the corporation/labor organization. 114.2(f)
use the corporation’s names, trademarks or                 (2)(iii) and (4)(iii). In this case, the event may not
service marks to facilitate the making of contri-          raise funds in excess of the SSF’s candidate con-
butions to a federal political committee, and a            tribution limit ($5,000 for a multicandidate PAC).
federal political committee may not knowingly              Alternatively, the campaign may collect the funds.
accept or receive such facilitated contributions.
For example, a campaign may not recognize the              Events Beyond the Restricted Class
corporate (or labor) employers of individual
contributors in connection with a fundraising              General Prohibition
event. These restrictions do not apply to the              A corporation or labor organization may not
use of a name as part of the name of a political           sponsor a fundraising event for a candidate if
committee. 114.2(d) and (f). See AO 2007-10.               individuals who are beyond the restricted class will
                                                           be present, nor may corporate or labor organiza-
                                                           tion staff collect funds for a candidate. 114.2(f).
10. Fundraisers for Candidates
                                                           Exception: Event Sponsored by Corporate/Labor SSF
                                                           Because the organization’s SSF may make com-
General Prohibition                                        munications to the general public using the funds
A corporation (including an incorporated trade             it has raised, it may sponsor fundraising events
association or membership organization) or labor           for candidates and invite outside individuals and
organization is prohibited from collecting funds           political committees. 114.5(i). All related costs
in connection with federal elections (other than           paid for by the SSF, including staff time, mail-
for the organization’s own separate segregated             ing, room rental and catering charges, count as
fund (SSF)). It may, however, conduct certain              an-kind contribution to the candidate. 100.52(d).
activities that are permitted in FEC regulations.          Note that, as with other uses of corporate/labor
                                                           facilities, the SSF must pay in advance for any
                                                           use of corporate/labor staff, rooms, equipment,
Restricted Class Events                                    food service or mailing lists. See AO 1984-24.
Under the exemptions at 114.3(c)(2) permit-
ting candidate appearances before the restricted           Use of Corporate/Labor Staff, Food Services and
class (summarized in Section 8 of this Chapter),           Mailing Lists for Events Beyond the Restricted Class
the corporation or labor organization may allow            A corporation or labor organization may only
a candidate to solicit its restricted class at an          allow its food services and mailing lists to be
event without the related costs for the event              used for candidate fundraisers if it receives pay-
counting as a contribution. The candidate may              ment in advance at the fair market value for the
also collect funds at the appearance. However,             goods or services. 114.2(f)(1) and (2). Likewise, a
corporate or labor organization staff are pro-             corporation or labor organization may direct its
hibited from collecting funds for the campaign,            personnel to work on these fundraisers, so long
with a limited exception discussed in the next             as employees are not coerced into providing on-
paragraph. 114.2(f) and 114.3(c)(2)(ii) and (iii).         the-job fundraising services if they do not wish to
                                                           perform them. In all cases, advance payment by
Collection of Funds                                        a source who may legally make a contribution or
An exception to the general prohibition on cor-            expenditure (such as the campaign or the organiza-
porate or labor organization staff’s collection of         tion’s SSF) is required in order to avoid a prohibited
funds at a candidate’s fundraising event exists in         contribution by the organization. FEC regula-
cases where the fundraiser is a restricted-class           tions specifically require advance payments for:


 CHAPTER 7                                                                                                          47
                              Campaign Guide for Congressional Candidates and Committees


       •	The services of corporate or labor per-
         sonnel directed to carry out candidate              11. independent expenditures
         fundraising activities as part of their job;
                                                             An independent expenditure is an expenditure
       •	The use of catering or other food ser-              for a communication that expressly advocates
         vices arranged for or provided by the               the election or defeat of a clearly identified
         corporation or labor organization;                  candidate and which is not made in coordina-
       •	The use of the organization’s list of clients,      tion with any candidate or his or her campaign
         customers, vendors or other persons outside         or political party. 100.16, 109.21 and 109.37.
         the restricted class for purposes of soliciting     Political committees as well as individuals and
         contributions or distributing invitations; and      groups may make independent expenditures,
       •	Any use of the organization’s facili-               which are not subject to any limits but must be
         ties or resources by the organiza-                  funded by federally permissible sources and are
         tion’s own SSF. AO 1984-24.                         subject to reporting requirements. (The campaign
     114.2(f)(2)(i)(A), (C) and (E).                         of a candidate benefiting from an independent
                                                             expenditure has no reporting obligation.)
     Note, however, that if a corporation is providing
     the services (such as catering or personnel) in         Appendix D provides detailed information on
     its ordinary course of business as a commercial         independent expenditures. The appendix may
     vendor, payment does not have to be made in             be reproduced and distributed by a campaign to
     advance as long as: (1) the payment is at the           anyone who requests FEC guidelines on indepen-
     usual and normal charge; and (2) the payment            dent spending. Campaign staff should pay special
     schedule conforms to normal business practice.          attention to the section “Coordinated Communica-
     Otherwise, a prohibited contribution results.           tions” which explains when the independence of an
     100.52(d)(1) and (2); 114.2(f)(1); 116.3; see also,     expenditure is compromised through contact with
     for example, AOs 1994-33 and 1991-18.                   a campaign and thus results in an in-kind contribu-
                                                             tion, subject to contribution limits, to the campaign.
     Collection of Funds
     As with restricted-class only events, corporate
     or labor organization staff may not collect             12. electioneering
     contributions at the event, unless the funds col-         Communications
     lected are treated not only as contributions to
     the candidate, but also as contributions both           Any broadcast, cable or satellite communica-
     to and from the SSF of the corporation/labor            tion that is publicly distributed within 30 days
     organization. 114.2(f)(2)(iii) and (4)(iii). Alter-     of a primary or 60 days of a general election,
     natively, the campaign may collect the funds.           refers to a clearly identified federal candidate
     Reporting                                               and is targeted to the relevant electorate is an
                                                             electioneering communication. 100.29(a).
     If the campaign makes the advance payment for
     the costs of the event, it must report the cost         If a registered political committee makes a com-
     as a campaign expenditure. If the advance pay-          munication that meets the three requirements
     ment is made by any other source, such as the           discussed above, it is not considered an electioneer-
     corporation or labor organization’s SSF or an           ing communication because it is an expenditure
     individual, the campaign must report it as an           or independent expenditure that is required to be
     in-kind contribution received. 104.3(a) and (b).        reported accordingly under the Act. 100.29(c)(3).
                                                             Communications by unregistered organizations may
                                                             qualify as electioneering communications, and may
                                                             thus be subject to the reporting requirements of
                                                             the Act. Unregistered political organizations must



48                                                                                                    CHAPTER 7
                                                      Sources of Support


report electioneering communications aggregating
over $10,000 in a calendar year on FEC Form 9.
Generally, electioneering communications must be
paid for with funds that are not from corporations,
labor organizations or other prohibited sources.
If, however, the electioneering communication
meets the exemption in FEC regulations known
as the “WRTL exemption,” it may be funded with
corporate or labor funds.11 Detailed information
on electioneering communications and the WRTL
exemption appears in Appendix D, Section 6.

Coordination of Electioneering
Communications
If a communication is considered coordinated
under the Commission’s three-part test, it results
in an in-kind contribution subject to contribution
limitations, source prohibitions and reporting. To
avoid receiving an illegal excessive or prohibited
contribution, campaigns should avoid certain
interactions with those making electioneering
communications. See 109.21(d) and Appendix
D, Communications, Section 2, “Coordinated
Communications,” for more information.




11   On June 25, 2007, the Supreme Court held that the
     electioneering communication financing restrictions
     were unconstitutional “as applied” to ads that Wisconsin
     Right to Life, Inc., a 501(c)(4) nonprofit corporation,
     intended to run before the 2004 elections. 127 S. Ct.
     2652 (June 25, 2007). The Supreme Court concluded
     that these financing restrictions were unconstitutional
     as applied to these ads because the ads are not
     express advocacy or its “functional equivalent.” The
     Commission recently promulgated changes to its
     electioneering communication rules to implement this
     decision. See 72 Fed. Reg. 72899 (December 26, 2007).


 CHAPTER 7                                                                 49
                                                   Chapter 8
               Expenditures and Other Disbursements
While campaigns have wide discretion in                   expenses. For example, if a campaign pays for the
deciding how to spend their funds, the Federal            candidate’s travel and subsistence in connection
Election Campaign Act (the Act) places certain            with his or her campaign activities, those pay-
restrictions on the use of campaign funds, as             ments are also considered operating expenditures.
explained in this section. Note that the use              Generally, as long as such expenses would not
of campaign funds is also addressed in House              exist irrespective of the candidate’s campaign or
and Senate rules, over which the Commis-                  duties as a federal officeholder, they are considered
sion has no jurisdiction (see Appendix G).                permissible. See Section 3, Case-by-Case Deter-
For reporting purposes, it is important to                mination of Personal Use, for more information.
understand the term expenditure, because                  Note, however, that if a candidate pays for
expenditures count toward the threshold that              his or her living expenses with personal
determines whether an individual is a candidate           funds, the payments are not considered
under the Act. 100.3(a). An expenditure is a              expenditures and are not reportable by the
purchase, payment, distribution, loan, advance,           campaign. 100.153 and 113.1(g)(1)(ii)(C).
deposit or gift of money or anything of value
made to influence a federal election. 100.111(a).         Loan Repayments
“Disbursement” is a broader term that covers              The repayment of both the principal and the inter-
both expenditures and other kinds of payments             est of a loan owed by the committee are permis-
(those not made to influence a federal election).         sible expenses. Repayments of the principal are not
All disbursements are reportable by the campaign.         considered to be a “payment” for the purposes of
                                                          the definition of expenditure, and thus are itemized
                                                          separately on the FEC report. 100.111(c). Repay-
                                                          ments of the interest on a loan are considered
1. permissible Uses of                                    operating expenditures for reporting purposes.
   Campaign Funds                                         See Chapter 13, Section 17, “Reporting Loans,”
                                                          for information on reporting loan repayments.

Campaign-Related Expenses                                 Transfers to Other Authorized Committees
By definition, the Act allows campaign                    Funds may be transferred between authorized
funds to be used for purposes in connec-                  committees of the same candidate (for example,
tion with the campaign to influence the                   from a previous campaign committee to a cur-
federal election of the candidate. 113.2.                 rent campaign committee) without limit as long
                                                          as the committee making the transfer has no
Operating Expenditures                                    net debts outstanding. 110.3(c) and 116.2(c)
Payments for day-to-day expenses, such as staff           (2). See, for example, AO 1987-4. See Chap-
salaries, rent, travel, advertising, telephones, office   ter 9, “Transfers,” for more information.
supplies and equipment, fundraising, etc., are per-       Alternatively, a candidate may redesignate a
missible operating expenditures. Interest paid on a       former campaign committee as the principal
loan is also considered an operating expenditure.         campaign committee of his or her current cam-
Certain other expenses are considered to be               paign and use the excess funds of the previous
permissible operating expenditures on a case-by-          campaign in the current campaign. AO 1980–30.
case basis, including meal, travel, vehicle and legal


                                                                                                                  51
                                Campaign Guide for Congressional Candidates and Committees


     See Chapter 13, Section 19, for infor-                    Non-Campaign Related Expenses
     mation on reporting transfers.
                                                                Additionally, campaign funds may be used for
     Refunds of Contributions                                  the following purposes that are not related to
     Campaigns may refund any contribution, but must           the candidate’s campaign for federal office:
     refund (or otherwise disgorge) a contribution                 •	To defray the ordinary and necessary expenses
     that is from a prohibited source or in excess of                of a federal officeholder (House and Senate
     the contribution limits. See Chapter 5, Section 2,              rules may apply; see Appendix G.) such as:
     “Questionable Contributions,” for more informa-                  − Travel expenses for a federal officeholder
     tion. For information on reporting refunds, see                    and his or her accompanying spouse
     Chapter 13, Section 18, “Completing FEC Reports.”                  and children, provided that the travel is
     In-Kind Contributions                                              undertaken to participate in a function
                                                                        that is connected to the officeholder’s
     Any in-kind contribution received by a committee                   official responsibilities. 113.2(a)(1). See, for
     must be reported as an operating expenditure                       example, AOs 2005-9 and 1997-2; and
     (even though money has not been expended by
     the committee) in addition to being reported as                  − Winding down costs of a federal office-
     a contribution received. 104.13(a). This report-                   holder’s office for a period of six months
     ing adjustment allows the committee to balance                     after leaving office. 113.2(a)(2). See, for
     its cash on hand. For more information, and                        example, AOs 1996-44 and 1996-14 (House
     an example of reporting in-kind contributions,                     and Senate rules may apply; see AOs
     see Chapter 13, “Completing FEC Reports”                           2000-37 and 1996-45; and see Appendix G).
                                                                   •	Donations to charities (organizations defined
     Written Agreements to Make Expenditures                         in 26 U.S.C. §170(c) of the Internal Revenue
     A written agreement to make an expenditure,                     Code).1113.2(b). See, for example, AO 2005-6;
     such as a media contract, constitutes an expen-               •	Unlimited transfers to any national,
     diture. 100.112. For information on reporting                   state or local party committee. 113.2(d).
     expenditures and debts incurred, see Chapter                    See, for example, AO 2004-22;
     13, Section 16, “Completing FEC Reports.”
                                                                   •	Donations to state and local candi-
     Ballot Initiative Communications and Donations                  dates, subject to the provisions of state
     Payments for ads in which a candidate endorses                  law.2 See 2 U.S.C. §439a(a)(5); and
     a ballot initiative on an issue with which he                 •	Any other lawful purpose, unless expressly
     or she is closely associated are expenditures                   prohibited by the Act. See 2 U.S.C. §439a(a)(6).
     in connection with the campaign. Advisory                       (Prohibited purposes are summarized below.)
     Opinions (AOs) 2006-4 and 2004-29.
     A campaign may also support or oppose bal-
     lot initiatives and make donations to com-
     mittees established to do so under state
     election laws. Such donations are considered
     expenditures under the Act. See AO 2004-29.
                                                               1     Campaign funds may not be converted to personal
     Special rules apply to a federal candidate                      use. Commission regulations state that donations
     or officeholder’s fundraising for such orga-                    of campaign funds to a charitable organization do
     nizations; see Appendix E, Section 1.                           not constitute the personal use of campaign funds
                                                                     unless the candidate (former or current) receives
                                                                     compensation from the donee organization before the
                                                                     organization has expended, for purposes unrelated
                                                                     to the candidate’s personal benefit, the entire
                                                                     amount donated by the campaign. 113.1(g)(2).
                                                               2      See also FEC regulations at 113.2(e)(5).



52                                                                                                               CHAPTER 8
                                       Expenditures and Other Disbursements


Contributions to Other Federal Candidates                   discussion of what constitutes personal use of
and Nonfederal Candidates                                   campaign funds. If an expense does not consti-
A federal candidate committee may contribute                tute personal use and is otherwise legal, it is
up to $2,000 per election to the committee                  considered a permissible use of campaign funds.
of another federal candidate. 102.12(c)(2) and
102.13(c)(2). Contributions from federal can-
didate committees to state or local candidate               3. personal Use of
committees are subject to state law. 300.62.                   Campaign Funds
For more information on reporting donations
to other candidates, see Chapter 13, Section                As noted in the previous section, using campaign
14, “Contributions to Other Candidates.”                    funds for personal use is prohibited. The regula-
                                                            tions provide a test to differentiate legitimate
                                                            campaign and officeholder expenses from personal
2. prohibited Uses of                                       expenses, and the regulations include a list of
   Campaign Funds                                           specific expenses that are considered personal
                                                            use. (Candidates and officeholders should also
                                                            consult the House or Senate Ethics Rules.)
Certain Air Travel
Title VI, section 601 of the Honest Leadership and          Campaign/Officeholder Expenses
Open Government Act of 2007 (HLOGA) (Pub. L. No.            vs. Personal Expenses
81, 121 Stat.735), signed into law on September             In determining whether expenses are for
14, 2007, significantly restricts the use of campaign       personal use or are legitimate campaign/
funds for air travel by federal candidates and office-      officeholder expenses, the Commission uses
holders.3 Under HLOGA, Presidential and Senate              the “irrespective test” discussed below.
candidates and campaigns may not use campaign
funds for air travel unless the flight is on a com-         The Irrespective Test
mercial air carrier or the pro rata share of the fair       Personal use is any use of funds in a campaign
market value of the flight is reimbursed. House             account of a candidate (or former candidate)
candidates and campaigns may not use campaign               to fulfill a commitment, obligation or expense
funds for air travel unless the flight is on an aircraft    of any person that would exist irrespective of
operated by a commercial carrier, the federal gov-          the candidate’s campaign or responsibilities as a
ernment or a state government. 2 U.S.C. §439a(c)            federal officeholder. 113.1(g). More simply put, if
(available online at http://www.fec.gov/law/feca/           the expense would exist even in the absence of
s1legislation.pdf#page=40). At press time, the Com-         the candidacy or even if the officeholder were
mission is undertaking a rulemaking to implement            not in office, then the personal use ban applies.
the air travel provisions of HLOGA. Visit http://www.
fec.gov/law/law_rulemakings.shtml#travel07 and              Conversely, any expense that results
review Chapter 10, Section 4, for more information.         from campaign or officeholder activ-
                                                            ity falls outside the personal use ban.

Personal Use                                                exaMpLe: A candidate may not pay for his or
                                                            her personal household expenses with campaign
In general, funds contributed or donated to                 funds because those costs would be incurred even
a federal candidate may not be converted by                 if he or she were not running for federal office.
any person to personal use. 2 U.S.C. §439a(b)
(1); 113.2(e). See the next section for detailed

3    The provisions of HLOGA also apply to nonconnected
     committees (known as “leadership PACs”) sponsored
     by candidates for the House of Representatives.


 CHAPTER 8                                                                                                        53
                             Campaign Guide for Congressional Candidates and Committees



     What is Not Personal Use                                   salary if he or she is not a candidate
                                                                for an entire twelve-month period);
     In addition to the “irrespective test,” Commission
     regulations include other uses of funds that do           •	Incumbent federal officeholders may not receive
     not constitute personal use and thus are permis-            a salary payment from campaign funds; and
     sible uses of campaign funds. 113.1(g) and 113.2.         •	The first payment of salary shall be made no
                                                                 sooner than the filing deadline for access to
     Charitable Donations                                        the primary election ballot in the state in
     Gifts to charity are not considered personal use            which the candidate is running for office.
     expenses as long as the candidate does not receive        •	Salary payments may continue until the date
     compensation from the charitable organiza-                  when the candidate is no longer considered
     tion before it has expended the entire amount               a candidate for office or until the date of the
     donated. Note that the amount donated must                  general election or general election runoff.
     have been used for purposes that do not person-             For special elections, payments may continue
     ally benefit the candidate. 113.1(g)(2). See also           from the date that the special election is
     AOs 2005-6, 1997-1, 1996-40 and 1994-20.                    set until the date of the special election.
     Transfer of Campaign Assets                            113.1(g)(1)(i)(I).
     The sale or transfer of a campaign asset (see
     Chapter 14, “Winding Down the Campaign”)—to            Automatic Personal Use
     either the candidate or a third party—does not         The regulations list some expenses that are
     constitute personal use as long as the transaction     automatically considered to be personal
     is made at the fair market value. 113.1(g)(3).         use. Based on these rules, the following
     Gifts                                                  paragraphs discuss what kinds of expenses
                                                            the campaign can and cannot pay for.
     On special occasions, campaign funds may be
     used to purchase gifts or make donations of            Household Food Items and Supplies
     nominal value to persons other than the mem-           The candidate cannot use campaign funds to pay
     bers of the candidate’s family. 113.1(g)(4).           for food purchased for daily consumption inside
     Candidate Salary                                       the home or supplies needed to maintain the
                                                            household. The campaign may, however, pay for
     The candidate may receive a salary from                food and supplies for fundraising activities and
     his or her campaign committee only                     campaign meetings (even when they take place
     under the following conditions:                        in the candidate’s home). 113.1(g)(1)(i)(A).
       •	The salary must be paid by the prin-
         cipal campaign committee;                          Funeral, Cremation and Burial Expenses
       •	The salary must not exceed the lesser of           Campaign funds cannot be used to cover expenses
         the minimum annual salary for the federal          related to deaths within the candidate’s fam-
         office sought or what the candidate received       ily. They may, however, be used to cover funeral,
         as earned income in the previous year;             cremation and burial expenses for a candidate or
                                                            campaign worker whose death arises out of, or in
       •	Individuals who elect to receive a salary          the course of, campaign activity. 113.1(g)(1)(i)(B).
         from their campaign committees must
         provide income tax records and additional          Clothing
         proof of earnings from relevant years              The campaign cannot pay for attire for political
         upon request from the Commission;                  functions (for example, a new tuxedo or dress),
       •	Payments of salary from the committee              but it can pay for clothing of de minimis value that
         must be made on a pro-rata basis (i.e., a          are used in the campaign, such as T-shirts or caps
         candidate may not receive a whole year’s           imprinted with a campaign slogan. 113.1(g)(1)(i)(C).



54                                                                                                    CHAPTER 8
                                      Expenditures and Other Disbursements


Tuition Payments                                           Dues, Fees and Gratuities
The campaign may pay for tuition costs that are            Campaign funds may not be used to pay for dues
for training campaign staff to perform campaign            to country clubs, health clubs, recreational facili-
tasks. Also, in AO 1997-11, the Commission                 ties or other nonpolitical organizations unless the
allowed a federal officeholder to use campaign             payments are made in connection with a specific
funds to cover her costs for a Spanish immer-              fundraising event that takes place on the organiza-
sion class that she took to better communicate             tion’s premises. See, for example, AO 1995-26.
with her constituents. 113.1(g)(1)(i)(D).                  Campaign funds may be used for member-
Mortgage, Rent and Utility Payments                        ship dues in an organization that may have
                                                           political interests. 113.1(g)(1)(i)(G).
The campaign may not pay for mortgage,
rent or utilities for the personal residence               exaMpLe: A candidate or officeholder may
of the candidate or the candidate’s fam-                   use campaign funds to pay for a membership
ily even if part of the residence is being                 in a civic or community group in his or her
used by the campaign. 113.1(g)(1)(i)(E).                   district in order to maintain political contacts
                                                           with constituents or the business community.5
The campaign may pay for long distance calls
made for campaign purposes from the candidate’s            Salary Payments to Candidate’s Family
residence or the residence of his or her family.           Campaign funds may be used to make salary pay-
exaMpLe: A campaign committee may not rent                 ments to members of the candidate’s family only if:
space in the candidate’s home, but it may rent                 •	The family member is providing a bona
part of an office building owned or leased by the                fide service to the campaign; and
candidate for use in his or her campaign, as long
as it pays no more than the fair market value for              •	The payments reflect the fair market
the space. AO 1995-8. See also AO 2000-2.                        value of those services. 113.1(g)(1)(i)
                                                                 (H). See also AOs 2001-10 and 1992-4.
Investment Expenses                                        Any salary payments to family members in excess
The campaign may not pay for investment expenses           of the fair market value constitute personal use.
such as acquiring securities on margin unless all of
the investment and its proceeds are used for the           Case-by-Case Determination
purpose of influencing the candidate’s election for
federal office or for one of the permissible non-          of Personal Use
campaign uses of funds discussed above in Section 1.       For other expenses not mentioned above, the
                                                           Commission will determine, on a case-by-case
Entertainment                                              basis, whether the expense is one that would
The campaign may not pay for admission to                  exist irrespective of the candidate’s campaign
sporting events, concerts, theater and other               or duties as a federal officeholder and would
forms of entertainment. Campaign funds may be              be considered a personal use expense. For
used, however, if the entertainment is part of a           example, the Commission addresses payments
specific officeholder or campaign activity. They           for meals, travel, vehicles, mixed-use and legal
may not be used for a leisure outing at which              expenses on a case-by-case basis. 113.1(g)(1)(ii).
the discussion occasionally focuses on the cam-
paign or official functions.4 113.1(g)(1)(i)(F).




4   From the Explanation and Justification for the         5     From the Explanation and Justification for the
    final rules, 60 Fed. Reg. 7866, February 9,                  final rules, 60 Fed. Reg. 7867, February 9,
    1995 (online at http://www.fec.gov/law/cfr/ej_               1995 (online at http://www.fec.gov/law/cfr/ej_
    compilation/1995/1995-05_Personal_Use.pdf#page=6).           compilation/1995/1995-05_Personal_Use.pdf#page=7).


 CHAPTER 8                                                                                                            55
                              Campaign Guide for Congressional Candidates and Committees


     Meal Expenses                                             purposes). The reimbursement does not constitute
     Campaign funds may be used to pay for meals               a contribution. See, for example, AOs 1992-12 and
     during face-to-face fundraising events. By contrast,      1984-59. The committee must maintain logs of the
     a candidate may not use campaign funds to take            expenses to help the commission determine on a
     his or her family out to dinner. 113.1(g)(1)(ii)(B).      case-by-case basis what portion was for personal
                                                               use rather than for campaign-related activity or
     Travel Expenses                                           officeholder duties. 113.1(g)(8). AO 2001-3.
     Campaign funds may be used to pay the costs of            Legal Expenses
     travel to activity that is related to the campaign
     or to a candidate’s duties as a federal officeholder.     Using the irrespective test summarized above,
     (Note, however, that 2007 changes to the statute          the Commission decides on a case-by-case basis
     mandate specific conveyances and payments. See            whether legal expenses are considered “personal
     Section 2 of this chapter for more information.)          use” and thus are expenses that a candidate may
     Thus, the costs of travel for a candidate (and the        not pay for using campaign funds. 113.1(g)(1)(ii)(A).
     candidate’s spouse and minor children) may be             Relating to Campaign or Officeholder Activity
     used to pay for travel to functions directly related
     to the campaign or those directly connected to            In several advisory opinions the Commission
     the individual’s official responsibilities as a federal   has said that campaign funds may be used to pay
     officeholder. 113.2(a)(1); see AO 2005-9. The regu-       for up to 100 percent of legal expenses related
     lations, however, prohibit the use of campaign funds      to campaign or officeholder activity, where such
     for personal expenses collateral to travel—either         expenses would not have occurred had the
     campaign or officeholder—unless personal funds            individual not been a candidate or officeholder.
     are used to reimburse the committee. 113.1(g)(1)          exaMpLeS:
     (ii)(C). See, for example, AOs 2002-5, 2000-37 and          •	Suits where the candidate/officeholder was
     1996-19. See also “Mixed Use” below for trips that            the plaintiff, provided he derived no financial
     involve both official/campaign and personal travel.           benefit from court awards (AO 1997-27);
     Vehicle Expenses                                            •	Suits where the candidate/officeholder was
     Campaign funds may be used to pay for a vehicle               the defendant and the litigation arose directly
     that is used for campaign-related purposes, assum-            from campaign activity or the candidate’s status
     ing that the costs related to the personal use of             as a candidate (AO 2003-17 and 1995-23);
     the vehicle are de minimis. AO 2001-3. Campaign             •	Investigations pertaining to the candidate/
     funds cannot be used to pay for expenses relat-               officeholder’s role as a candidate or office-
     ing to the personal use of a campaign vehicle                 holder (AOs 2005-11, 1998-1 and 1997-12);
     unless those expenses are de minimis, that is,              •	Investigations by the House or Senate
     unless they are insignificant in relation to the              pertaining to any activity conducted by the
     overall vehicle use. 113.1(g)(1)(ii)(D). See also             candidate/officeholder (AO 1998-1); and
     “Mixed Use” below for vehicle use that involves
     both official/campaign and personal travel.                 •	Responding to press inquiries pertain-
                                                                   ing to any of the above (AOs 2006-35,
     Mixed Use                                                     2005-11, 2001-9, 1998-1 and 1997-12).
     In the event of travel or vehicle expenses that           Relating to Other Activity
     commingle personal and campaign or officeholder
     activity, the beneficiary of the personal use             In specific situations the Commission has con-
     expenses must reimburse the committee within              cluded that campaign funds may be used to pay
     thirty days for the entire amount associated with         for up to 50 percent of legal expenses that do
     the personal activities (the amount over and above        not relate directly to allegations arising from
     what the cost would have been had the trip/vehicle        campaign or officeholder activity (e.g. activity
     use been solely for campaign/officeholder-related         prior to becoming a candidate or officeholder



56                                                                                                       CHAPTER 8
                                     Expenditures and Other Disbursements


or activity of a business owned by the candidate/           •	Represent pay not in excess of that nor-
officeholder) if the candidate or officeholder is             mally received for such services. 113.1(g)(6)
required to provide substantive responses to the              (iii). See also AOs 2006-13 and 2004-17.
press regarding the allegations of wrongdoing. See,
for example, AOs 2005-11, 1998-1 and 1997-12.             Promotion of Candidate’s Books
                                                          Generally, the expense of marketing a book would
Salary, Compensation and Other                            exist irrespective of a candidate’s campaign, and
                                                          thus a campaign cannot ordinarily use its funds to
Payments Paid On Behalf of Candidates                     pay such an expense. In limited situations, however,
General Rule                                              the Commission has permitted the use of campaign
                                                          funds to promote a candidate’s book, as follows:
Generally, when a third party (not the can-
didate or the candidate’s committee) pays                   •	A campaign could incur de minimis costs
for personal use expenses, the third party                    to post on its web site material promot-
makes a contribution, subject to the restric-                 ing the book’s release and linking to
tions and limitations of the Act. 113.1(g)(6).                an online bookseller. AO 2006-7.
                                                            •	A campaign could incur costs for planning
Exceptions                                                    book-related events and handling press and
No contribution will result, however, if the pay-             public inquiries where the candidate donates
ment would have been made irrespective of                     royalties to charitable organizations and thus
the candidacy. For example, a third party may                 does not personally gain from the use of cam-
make the following payments on behalf of a                    paign assets to promote the book. AO 2006-18.
candidate without making a contribution:
  •	Payments to a legal expense trust fund
    established under House and Sen-
    ate rules (see 113.1(g)(6)(i));
  •	Payments for personal living expenses
    made from funds that are the candidate’s
    personal funds, including an account the
    candidate holds jointly with a family mem-
    ber (see 100.153,and 113.1(g)(6)(ii)); and
  •	Payments that began prior to candidacy. For
    example, if the candidate’s parents had been
    making college tuition payments for the candi-
    date’s children, the parents could continue to
    do so during the campaign without making a
    contribution (see 100.153 and 113.1(g)(6)(iii)).

Salary or Compensation Paid to Candidate
Compensation paid to a candidate by a third party
as a continuation of payments made prior to can-
didacy (for example, payments of salary) are not
considered contributions as long as such payments:
  •	Result from bona fide employment
    independent of the candidacy;
  •	Are exclusively in consideration of the services
    provided as part of this employment; and



 CHAPTER 8                                                                                                       57
                                               Chapter 9
                                              Transfers
This chapter describes the different types of        In Different Elections
transfers that authorized committees may receive
and make. Transfers of funds and assets between      Funds and assets may be transferred without limit
federal committees authorized or established         between committees authorized by a candidate
by the same candidate are generally unlimited        for the same office in different elections as long
because the committees are considered affiliated     as the transferring committee does not have
committees. Note, however, that an authorized        net debts outstanding. 110.3(c)(4) and 116.2(c)
committee of a federal candidate may not accept      (2). Note that, for the purposes of the contribu-
any transfers of funds or assets from a com-         tion limits, contributions transferred from the
mittee established by the same candidate for         previous campaign to the current campaign must
a nonfederal election. See Section 3, below.         be aggregated with contributions by the same
                                                     contributors to the current campaign only if the
                                                     transferred contributions were originally made:

1. transfers Between                                   •	After the previous election was held; or

   Candidate’s Committees                              •	After the candidate withdrew or
                                                         otherwise ceased to be a candi-
   for Same Office                                       date in the previous election.
                                                     110.3(c)(4)(iii) and (iv).
In the Same Election                                 See Chapter 4, Section 5, for information on
Funds and assets may be transferred without          how to determine the date when a contri-
limit between a candidate’s principal campaign       bution is made. Other rules also apply to
committee and the candidate’s other authorized       contributions that a committee receives after
committees for the same office during the same       an election; see Chapter 4, Section 4, “Desig-
election. Note, however, that an authorized          nated and Undesignated Contributions.”
committee may not transfer funds to another
authorized committee of the same candidate
if the transferring committee has net debts          2. transfers Between
outstanding. 110.3(a)(1)(i) and 116.2(c)(2).            Committees of Candidate
                                                        Seeking More than One Office
Between Primary and General Election
Campaign in Same Election Cycle
Funds that went unused in the primary election       In the Same Election Cycle
may be transferred without limit to a candidate’s    When an individual seeks election to more than
general election campaign. 110.3(c)(3). Note         one federal office during the same election cycle
that any personal funds donated by the candi-        or overlapping election cycles, he or she must
date before the primary that are retained for        establish separate principal campaign committees
use in the general election will count towards       and must maintain completely separate campaign
the general election personal funds expenditure      organizations. 110.8(d)(1). Contributors also
threshold used in applying the Millionaires’         have separate limits with respect to the separate
Amendment. See Appendix F and AOs 2006-25,           campaigns of the same candidate. Special transfer
2006-21 and AO 2006-6 for more information.          rules apply to transfers between these commit-


                                                                                                          59
                              Campaign Guide for Congressional Candidates and Committees


     tees. The situations to which these rules apply         Guidelines for Transfers When No Longer
     can be illustrated with the following examples:         “Actively Seeking” Multiple Offices
       •	Candidate A runs for both the House                 Once a candidate is no longer “actively seek-
         and the Presidency in the 2008 primary              ing” election to more than one federal office,
         election (as permitted by state law).               transfers between the two campaigns are
       •	Candidate B begins the 2008 election cycle          permissible, within the following guidelines:
         as a House candidate but later begins a                •	The transferor committee’s available funds
         campaign for a Senate seat in 2008.                      should be viewed as those contributions
                                                                  most recently received that add up to the
     Prohibited While “Actively Seeking”                          amount of the transfer from cash on hand.
     More Than One Office
                                                                •	Contributions transferred must be aggregated
     No transfers of funds or assets may be made                  with any contributions made by the same
     between a candidate’s separate campaign com-                 contributor to the committee receiving the
     mittees while the candidate is “actively seek-               transfer. Amounts that would cause a contribu-
     ing” more than one office at the same time.                  tor to exceed his or her per-election contribu-
     110.3(c)(5) and 110.8(d)(2). In the above                    tion limit must be excluded from the transfer.
     examples, Candidate A would be prohibited
     from transferring funds because he was “actively        110.3(c)(5)(ii).
     seeking” two offices at the same time.                  By taking these steps, Candidate B in the above
     Additional rules prohibit any transfers to or from      example could transfer funds between her two
     a campaign account of a Presidential candidate          campaigns once she was no longer “actively
     who has accepted public financing, regard-              seeking” two offices at the same time. Note
     less of the timing or amount of the transfer.           that the recipient committee will need to iden-
     110.3(c)(5)(iii). This restriction would apply          tify the contributors whose contributions are
     to Candidate A if he received public funds for          included in the transfer by using memo entries.
     his Presidential campaign. See AO 1995-3.
                                                             In Different Election Cycles
     Definition of No Longer “Actively Seeking”
                                                             When an individual seeks different offices in differ-
     Under FEC rules, a candidate is no longer               ent election cycles, surplus funds from the earlier
     “actively seeking” nomination or election               campaign that remain after the general election
     to a particular office once he or she:                  may be transferred to the later campaign with-
       •	Becomes ineligible for nomination or elec-          out aggregating the contributions of the original
         tion to that office by operation of law;            contributor to the two committees. 110.3(c)(4).
       •	Publicly announces that he or she is                exaMpLe: Candidate X runs for the House in
         withdrawing from one race and ceases                2008, and for the Senate in 2014. Any surplus
         to campaign for that election;                      funds for the 2008 House campaign that remain
       •	Has filed a termination report (see Chapter 14,     after the 2008 general election may be transferred
         Section 1, “Terminating the Committee”); or         to the 2014 Senate campaign. The 2014 Senate
                                                             Committee would not have to disclose those
       •	Has notified the Commission that his or her         contributors whose contributions to the 2008
         campaign will conduct no further activities with    House Committee were included in the transfer.
         respect to that election, other than fundraising
         to retire outstanding debts. 110.3(c)(5)(i).




60                                                                                                     CHAPTER 9
                                                       Transfers



3. transfers from Candidate’s
   nonfederal Committee
   are prohibited
A candidate’s authorized (federal) committee may
not accept funds or assets transferred from a
committee established by the same candidate for a
nonfederal election campaign. At its option, how-
ever, a nonfederal committee of the same candidate
may refund its leftover funds to its contributors
and may coordinate arrangements with the federal
campaign for a solicitation of those same persons.
The full cost of this solicitation must be paid by the
federal committee. 110.3(d). See also AO 1996-33.



4. transfers of Joint
   Fundraising receipts
Transfers of receipts raised in compliance with
joint fundraising procedures are unlimited. 102.6(a)
(1)(iii) and 110.3(c)(2). A committee receiving
such a transfer must not only report the total
amount transferred but must also itemize, as
necessary, its share of gross proceeds as contribu-
tions from the original contributors. 102.17(c)(8)
(i)(B). For more information, see Appendix C.



5. What is nOt a transfer
Note that, while each of the above sections
discusses transfers between committees, not all
receipts or disbursements to other committees
are transfers. The following are not transfers:
  •	Contributions to or from other can-
    didates (federal or nonfederal);
  •	Contributions to or from PACs; and
  •	Contributions from party committees, although
    an authorized committee may make unlimited
    transfers to party committees. 113.2(c).
Note that these transactions must not
be reported as transfers. For informa-
tion on reporting, see Chapter 13.




 CHAPTER 9                                                         61
                                                   Chapter 10
                             Conducting the Campaign
This chapter outlines the rules that apply to            include a special notice on their solicitations to
three areas of campaign activity: fundrais-              inform solicitees that contributions are not tax
ing, advertising and travel. It also details the         deductible. There are substantial penalties for
rules that apply to disclaimer notices for com-          failure to comply with this provision. Contact
munications by an authorized committee.                  the IRS for more information (see Appendix G,
                                                         “Compliance With Other Laws,” Section 4, “Tax
                                                         Laws,” for the address and phone numbers).
1. Fundraising
                                                         Fundraising on the Internet
                                                         Campaign committees may solicit contributions
Fundraising Notices                                      over the Internet as long as the solicitation:
Certain statements by the campaign must                    •	Includes the proper disclaimers (see “Dis-
be present on solicitations, as follows:                     claimer Notices,” later in this chapter);
Authorization Notice                                       •	Requests confirmation that the contribu-
When a campaign solicits contributions through               tion is not from a prohibited source; and
public communications, or on a campaign web                •	Requests contributor information.
site, it must include a clear and conspicuous            See Chapter 11, Section 3, “Treasurer’s Best
notice on the solicitation stating that it was           Efforts,” 104.7(b)(1), 110.11 and Advisory Opin-
paid for by the campaign: Paid for by the Sam            ions (AOs) 1999-36, 1999-22 and 1999-9.
Jones for Congress Committee. 110.11(a)
(1) and (b)(2). See “Disclaimer Notices,”
later in this chapter for more information.              Joint Fundraising
                                                         Campaigns may engage in joint fundraising with
“Best Efforts” Rules                                     other committees. 102.17. For the rules that
When making solicitations, committees and their          govern this special activity, see Appendix C.
treasurers must make “best efforts” to obtain,
maintain and report the name, address, occupa-           Transmitting Contributions
tion and employer of each contributor who gives
more than $200 in an election cycle. In order            Forwarding Contributions
to show that the committee has made “best                Every person who receives contributions for a cam-
efforts,” solicitations must specifically request        paign must forward them to the treasurer of the
that information and inform contributors that            candidate’s authorized committee within 10 days of
the committee is required by law to use its best         receipt. The date of receipt is the date the person
efforts to collect and report it. This request must      obtains possession of a contribution. 102.8(a). See
be clear and conspicuous. 104.7(a). For details, see     also Appendix A, “Earmarked Contributions.”
Chapter 11, Section 3, “Treasurer’s Best Efforts.”
                                                         Forwarding Records
IRS Notice Requirements
                                                         A person receiving contributions for a campaign
Section 6113 of the Internal Revenue Code                must also forward the following recordkeep-
requires political committees whose gross                ing information along with the contributions:
annual receipts normally exceed $100,000 to



                                                                                                               63
                             Campaign Guide for Congressional Candidates and Committees


       •	For contributions exceeding $50, the               When itemizing such a contribution in its report,
         amount, date of receipt and the con-               a campaign should note that the contribution
         tributor’s name and address.                       contains only federally permissible funds. Contri-
       •	For contributions exceeding $200, the              butions from such unregistered organizations are
         complete identification of the contributor         subject to the $2,300 per election limit1. 110.1(b).
         (full name and mailing address, occupa-            These organizations should be aware, however,
         tion and employer) as well as the amount           that making contributions to federal campaigns
         and date of receipt of the contribution.           and political committees may trigger their own
                                                            registration as a federal political committee. State
     102.8(a).                                              political action committees sponsored by corpora-
     No Commingling                                         tions, labor organizations or trade associations,
                                                            in particular, must register as federal separate
     Campaign receipts must not be commingled               segregated funds within 10 days of the decision to
     with personal funds, such as by depositing             make a contribution to a federal candidate. Addi-
     contributions in a personal account. 102.15.           tional requirements regarding their solicitations
                                                            also apply. See 100.5(b) and 102.2(c); see also AOs
     Accepting Contributions                                2003-29, 1985-18 and 1982-40.2 Contributions
                                                            by other types of unregistered organizations (for
     General Rule                                           example, local party organizations or committees
     A campaign is prohibited from knowingly accepting      not sponsored by an incorporated entity or labor
     any contributions from prohibited sources. The         organization) count against a $1,000 per year aggre-
     treasurer of a political committee is responsible      gate registration threshold. See 100.5(a) and (c).
     for examining all contributions to make sure they
     are not illegal (i.e., prohibited or excessive). See   Depositing Funds
     “Questionable Contributions,” Chapter 5. 103.3(b).
                                                            Within 10 days of receiving a contribution (or any
     Contributions from Unregistered Organizations          receipt of money), the treasurer must deposit it in
     When campaigns accept contributions from groups        the campaign depository. 103.3(a). See Chapter 5,
     that are not political committees registered with      “Questionable Contributions,” for information on
     the Federal Election Commission (such as state         depositing or returning questionable contributions.
     PACs, unregistered local party committees or
     nonfederal campaigns), they must make sure that        Accounting for Primary and
     the funds are permissible under the Act. This is an    General Election Contributions
     important consideration because campaign laws
     in some states permit nonfederal political groups      If, before the primary election, a campaign
     to accept funds that would violate the limits and      receives contributions designated for the general
     prohibitions of the Act. To avoid a possible viola-    election, it must use an acceptable account-
     tion of the Act, a campaign must be certain that       ing method to distinguish between primary
     an unregistered group making a contribution:           contributions and general election contribu-
                                                            tions. Commission regulations suggest two
       •	Can demonstrate through a reasonable               accounting methods that are acceptable:
         accounting method that it has sufficient
         federally acceptable funds to cover the
         amount of the contribution or expen-               1    As noted in Chapter 4, Section 1, this limit is indexed
         diture at the time it is made; or                       for inflation and adjusted in odd-numbered years.
       •	Has established a separate account containing      2    Authorized committees may want to refer State
         only funds permissible under the Act. 102.5(b).         political action committees of corporations, labor
                                                                 organizations and trade associations to these citations.
     See also AO 1982-38.                                        Such committees are best advised to register a federal
                                                                 separate segregated fund with the FEC before soliciting
                                                                 or making any contributions on the federal level.



64                                                                                                         CHAPTER 10
                                               Conducting the Campaign


  •	Maintaining separate accounts                            tion was paid for by the authorized commit-
    for each election; or                                    tee. Additional requirements (see below)
  •	Maintaining separate books and                           apply for print, television and radio ads.
    records for each election.                               exaMpLe: “Paid for by the Sam Jones for
102.9(e).                                                    Congress Committee.” 110.11(b)(1).

                                                             Authorized but Not Financed by Campaign
                                                             If a covered communication, including any
2. Disclaimers                                               solicitation, is authorized by the campaign but
                                                             paid for by another person, the communica-
Any public communication made by a politi-                   tion must identify the person who paid for
cal committee, even those that do not con-                   it and state that it was authorized by the
tain a solicitation or express advocacy,                     campaign. Additional requirements apply for
must include a disclaimer. 110.11(a).                        print, television and radio ads (see below).
                                                             exaMpLe: “Paid for by the XYZ Commit-
Public Communications                                        tee and authorized by the Sam Jones for
Public communications include electioneering                 Congress Committee.” 110.11(b)(2).
communications and any other form of general
public political advertisement, including com-               Not Authorized or Financed by Campaign
munications made using the following media:                  Although this type of notice is not used by a
  •	Broadcast, cable or satellite;                           candidate’s campaign, campaign staff should be
                                                             aware that if a committee (including a party com-
  •	Newspaper or magazine;                                   mittee that makes an independent expenditure)
  •	Outdoor advertising facility;                            pays for a communication (including any solicita-
  •	Mass mailing (more than 500 substan-                     tion) that refers to their candidate but is not
    tially similar mailings within 30 days);                 authorized by the campaign, the notice must state
                                                             that it was not authorized by any candidate or
  •	Phone bank (more than 500 substan-                       candidate’s committee, identify the entity that
    tially similar calls within 30 days)                     paid for the communication and provide at least
  •	Communications placed for a fee                          one of the following: the payor’s permanent street
    on another person’s web site.                            address, telephone number, or web site address.3
100.26, 100.27 and 100.28.                                   Additional requirements apply for print, televi-
                                                             sion and radio ads (see Appendix D, section 7).
The following communications are not
considered to be public communica-                           exaMpLe: “Paid for by the XYZ PAC (www.
tions, but still require a disclaimer:                       xyzpac.org) and not authorized by any candi-
                                                             date or candidate’s committee.” This type of
  •	Electronic mail: More than 500 sub-                      notice must be used on independent expen-
    stantially similar communications sent                   ditures and electioneering communications
    by a political committee; and                            that are not authorized by a candidate or a
  •	Web sites of political committees.                       candidate’s campaign. 110.11(b)(3) and (d)(3).
110.11(a).

Wording of Disclaimer Notice
Authorized and Financed by Campaign                          3   When persons outside the campaign use public
                                                                 communications to solicit contributions, the solicitation
If the campaign authorizes and finances a cov-
                                                                 must carry a notice stating who paid for the solicitation
ered communication (including any solicitation),                 and whether or not it was authorized by the
the notice must state that the communica-                        candidate or the committee. 110.11(a)(3) and (b).


 CHAPTER 10                                                                                                                  65
                               Campaign Guide for Congressional Candidates and Committees



     Party Committee Coordinated                                Multiple-Paged Document
     Communications on Behalf of Candidate                      A disclaimer need not appear on the
     A party committee that pays for a communica-               front page or cover of a multiple-
     tion that is a coordinated party expenditure               paged document. 110.11(c)(2)(iv).
     must identify the party committee as the payor
     in the disclaimer. Prior to the date the party’s           Package of Materials
     candidate is nominated, it is sufficient for the           Each communication that would require a
     party committee to state who has paid for the              disclaimer if distributed separately must still
     communication. Subsequent to the nomina-                   display the disclaimer when included in a pack-
     tion, the disclaimer must state that it was paid           age of materials. 110.11(c)(2)(v). For example,
     for by the party committee and authorized                  if a campaign poster is mailed with a solicitation
     by the candidate. 110.11(d)(1) and (2).                    for contributions, a separate disclaimer must
                                                                appear on the solicitation and the poster.
     Preemption of State Law
     An authorization notice does not have to comply            Special Rules for Television
     with state or local law if the communication
     is made only with respect to federal elections.            and Radio Ads
     108.7(b). See also, for example, AO 1986–11.               Authorized by Candidate’s Committee –
     However, state or local laws governing the                 the “Stand by Your Ad” Provision
     placement or location of signs on roads are not
     superseded by federal law. See AO 1981-27.                 In addition to the requirements noted under
                                                                “Wording of Disclaimer Notice” above, radio and
                                                                television communications that are authorized or
     Clear and Conspicuous Placement                            paid for by a campaign require additional language.
     of Disclaimer Notice                                       For such radio and television ads, the candidate
     A disclaimer notice must be clearly and conspicu-          must deliver an audio statement identifying
     ously displayed. A notice is not clearly and conspic-      himself or herself and stating that he or she has
     uously displayed if the print is difficult to read or if   approved of the communication. 4 For example:
     the placement is easily overlooked. 110.11(c)(1).          “I am [candidate’s name], a candidate for [federal
                                                                office sought], and I approved this advertisement.”

     Special Rules for Printed                                  In a television ad, the disclaimer
                                                                must be conveyed by:
     Communications
                                                                    •	A full-screen view of the candi-
     In printed communications, the disclaimer must be                date making the statement; or
     contained within a printed box set apart from the
     contents of the communication. The print of the                •	A voiceover with an image of the can-
     disclaimer must be of sufficient size to be “clearly             didate occupying no less than 80%
     readable” by the recipient of the communication,                 of the vertical screen height.
     and the print must have a reasonable degree of             110.11(c)(3).
     color contrast between the background and the              Additionally, television communications must
     printed statement. 110.11(c)(2)(ii) and (iii). Black       contain a clearly readable written statement
     text in 12-point font on a white background is one         of approval, similar to what is spoken, that
     way to satisfy this requirement for printed material       appears at the end of the communication for a
     measuring no more than 24 inches by 36 inches.             period of at least four seconds with a reason-
                                                                4     Under the Communications Act, administered
                                                                      by the Federal Communications Commission,
                                                                      candidates must also identify the office they are
                                                                      seeking in order to be entitled to the lowest unit
                                                                      charge. See 47 USC §315(b) and AO 2004-43.



66                                                                                                             CHAPTER 10
                                              Conducting the Campaign


able degree of color contrast between the
background and the disclaimer statement (e.g.,              4. Campaign travel
black text on white background). The written
statement must occupy at least four percent of              This section explores rules for travel payments.
the vertical picture height. 110.11(c)(3)(iii).             Generally, campaigns may pay for campaign-related
                                                            travel as operating expenditures. As explained
Not Authorized by Candidate’s Committee                     in Chapter 7, Sources of Support, an in-kind
A radio or television communication that is not             contribution generally results from the source
authorized by the candidate’s committee must also           of payment for the travel unless an exemption
include (in addition to the statements identifying          for individual travel applies or the campaign
who paid for the communication and that it is               pays for its own campaign travel. 100.93. See
not authorized by any candidate or candidate’s              Chapter 4, Section 4, “Travel Cost Exemptions,”
committee) an audio statement that “(the name               for details on when payments for campaign
of the person or committee responsible for the              travel by individuals are considered exempt.
communication) is responsible for the content
of this advertising” and, if applicable, the name           Commercial Transportation
of the committee’s connected organization. For              If a campaign uses an aircraft that is operated for
details on the specific requirements for such               commercial air service, such as a commercial airline
notices, see Appendix D, section 7. 110.11(c)(4).           or charter service, or another means of commercial
                                                            transportation, the campaign must pay the usual and
When Disclaimer Not Required                                normal charge for that service. 100.52(a) and (d).
A disclaimer is not required when:
  •	It cannot be conveniently printed (e.g.,                Non-Commercial Transportation
    pens, bumper stickers, campaign pins, cam-              Non-Commercial Air Travel
    paign buttons and similar small items);
                                                            If a campaign uses an aircraft that is not operated
  •	Its display is not practicable (e.g., wearing           for commercial service, such as a corporate aircraft
    apparel, water towers and skywriting); or               that is operated exclusively for the private travel
  •	The item is of minimal value, does not contain          of the corporation’s executives and their guests,
    a political message and is used for adminis-            it must comply with Title VI, section 601 of the
    trative purposes (e.g., checks and receipts).           Honest Leadership and Open Government Act of 2007
    110.11(f); See also AOs 2004-10 and 2002-9.             (HLOGA) (Pub. L. No. 110-81, 121 Stat. 735)), signed
                                                            into law on September 14, 2007. This new law,
                                                            which took effect immediately after it was signed
3. rates for political                                      into law, significantly restricts air travel by federal
                                                            candidates and officeholders.5 Under HLOGA,
   advertisements                                           Presidential and Senate candidates and campaigns
                                                            may not use campaign funds for air travel unless the
Rates charged by newspapers and magazines for               flight is on a commercial air carrier and subject to
campaign advertising must be comparable to                  air carrier safety rules, or the pro rata share of the
those charged for noncampaign advertisements.               fair market value of the flight is reimbursed. House
110.11(g). Rates charged for radio and televi-              candidates and campaigns may not use campaign
sion advertisements are regulated by the Federal            funds for air travel unless the flight is on an aircraft
Communications Commission. See Appendix G.                  operated by a commercial carrier and subject
                                                            to air carrier safety rules. There are exceptions

                                                            5    The provisions of HLOGA also apply to nonconnected
                                                                 committees sponsored by candidates for the
                                                                 House of Representatives (leadership PACs).


 CHAPTER 10                                                                                                            67
                               Campaign Guide for Congressional Candidates and Committees


     for aircraft operated by the federal government           reimbursed. See Chapter 13, Section 12, under
     or a state government, and aircraft owned by a            the subheading “Travel Expenses Reimbursed
     candidate or a member of his or her immediate             Within 30 or 60 Days” for more information.
     family. 2 U.S.C. § 439a(c) (available online at http://
     www.fec.gov/law/feca/s1legislation.pdf#page=40).          Mixed Travel
     At press time, the Commission is undertaking a
     rulemaking to implement the air travel provisions         When a candidate makes a trip involving both
     of HLOGA.Visit http://www.fec.gov/law/law_rule-           campaign and noncampaign stops, only the travel
     makings.shtml#travel07 for more information.              costs related to the campaign are expenditures. If,
                                                               however, a candidate conducts any campaign activity
     Pending the issuance of new regulations, the              at a given stop, that stop is considered campaign
     Commission’s pre-HLOGA rules remain in effect             related, unless the campaign activity is merely inci-
     only to the extent that they do not conflict with         dental. In no case, however, may campaign funds be
     HLOGA. Until regulations are issued, the Com-             used for non-travel expenses that are not related to
     mission will not pursue a political committee if          official or campaign-related activity. See AO 2002-5.
     it operates under a reasonable interpretation of
     the statute, even if the Commission’s subsequent          exaMpLe: If a candidate makes a noncampaign
     regulations reach a different interpretation.             speech at a civic association luncheon and, on
                                                               the way out, chats with a few attendees about
     Other Non-Commercial Transportation                       his campaign in response to their questions, the
     HLOGA affects travel on aircraft only. Pending            conversation does not convert the appearance into
     the issuance of new Commission regulations, if a          a campaign-related event. On the other hand, if a
     campaign uses other non-commercial means of               candidate flew into a city for a trip that involved
     transportation, the campaign must continue to             both personal vacation days and days spent cam-
     pay the service provider the usual and normal             paigning, an incremental approach to paying for
     fare or rental charge for a comparable commer-            the trip would be required, to avoid the campaign
     cial conveyance capable of accommodating the              paying the lodging, subsistence and sightseeing
     same number of campaign travelers, including any          expenses on the vacation days—an expense that
     members of the news media, and security person-           would be considered an impermissible personal use
     nel. Payment for the travel must be made 30 days          of campaign funds. Because of the non-incidental
     from the receipt of the invoice, but no more than         nature of the campaign days, the airfare would
     60 days following the date the travel commenced.          be considered a campaign-related expense.
     100.93(d). The campaign must keep in its records          Expenditures for campaign-related stops are
     an itinerary showing the departure and arrival            calculated on an actual cost-per-mile basis,
     cities and the dates of departure and arrival, a list     starting at the point of origin of the trip, includ-
     of all passengers on such trip, along with a list of      ing each campaign-related stop, and ending
     which passengers are and are not campaign travel-         at the point of origin. 106.3(b)(2) and (3).
     ers or security personnel, and the commercial             As explained in Chapter 8, campaign funds may be
     fare or rental charge available for a comparable          used for mixed use travel; however, the committee
     conveyance of sufficient size. 100.93(i)(3).              must be reimbursed within thirty days for the entire
                                                               amount associated with the personal activities
     Reporting Travel Costs                                    (the amount over and above what the cost would
     Payments for campaign-related travel are generally        have been had the trip/vehicle use been solely for
     reported as operating expenditures when they              campaign/officeholder-related purposes). 113.1(g)
     are paid with campaign funds or by an individual          (1)(ii)(C). Individuals other than candidates must
     from personal funds. 106.3(a) and (b)(1). Spe-            allocate their mixed campaign and noncampaign
     cial rules apply, however, when the candidate             travel expenses on a reasonable basis. 106.3(c)(1).
     or another individual uses his or her personal            exaMpLe: A candidate travels by plane from
     funds to pay for travel expenses and is later             Philadelphia to Las Vegas for a campaign speech.



68                                                                                                      CHAPTER 10
                                                   Conducting the Campaign


While in Nevada, the candidate travels by plane
from Las Vegas to Reno for a personal trip. The
candidate then flies back to Philadelphia from
Reno. To determine the candidate’s campaign-
related travel expenses, the committee must
create a fictional itinerary from Philadelphia to
Las Vegas and back. Thus the campaign would
derive the cost-per-mile of campaign travel from
the commercial rate for a round-trip flight from
Philadelphia to Las Vegas, and the candidate must
reimburse the committee for the difference in
costs between the fictional trip and the actual
trip. See the explanation and justification for 11
CFR 113.1 at 60 FR 7869 (February 9, 1995).
On February 6, 2002, the Commission adopted
an interpretive rule to clarify that the travel
allocation and reporting requirements of 11
CFR 106.3(b) do not apply to the extent that a
candidate6 pays for certain travel expenses using
funds authorized and appropriated by the federal
government. (67 FR 5445, February 6, 2002).
Candidates should consult with the House Com-
mittee on Standards of Official Conduct or the
Senate Select Committee on Ethics regarding the
use of appropriated funds for travel expenses.

Travel to and from Washington, DC
Costs for travel between Washington, DC, and
the state or Congressional District in which
an individual is a candidate are not reportable
unless paid for by the campaign (or another
political committee) in connection with campaign-
related travel. 106.3(d). House and Senate rules
should also be consulted; see Appendix E.




6   This interpretive rule does not apply to Presidential or
    Vice-Presidential campaigns that are covered by the
    Presidential Campaign Fund Act. 26 U.S.C. §9001 et seq.


 CHAPTER 10                                                                  69
                                              Chapter 11
                                      Keeping Records
In order to fully comply with the reporting              •	In the case of small contributions collected
requirements of the Act, a committee must                  at a fundraiser (such as gate receipts, cash
keep detailed records. The recordkeep-                     contributions), keep records of the name
ing requirements for a committee’s receipts                of the event, the date and the total amount
and disbursements are explained below.                     of contributions received on each day of
                                                           the event. AOs 1981-48 and 1980-99.

                                                       Contributions Exceeding $50
1. record retention
                                                       Records must identify each contribu-
Treasurers of authorized committees (and               tion of more than $50 by:
other political committees) are responsible for          •	Amount;
keeping copies of each statement and report,             •	Date of receipt; and
together with original back-up records, for
three years after the report or statement                •	Contributor’s name and address.
is filed. 102.9(c); 104.14(b)(2) and (3).              102.9(a)(1).
                                                       Furthermore, political committees must maintain
                                                       either a full-size photocopy or digital image of each
2. recording receipts                                  check or written instrument by which a contribu-
                                                       tion of more than $50 is made. 102.9(a)(4).
With respect to receipts, the Act requires report-
ing of all receipts, but requires recordkeeping only   Contributions Aggregating Over $200
for contributions. Nevertheless, a political commit-   For each contribution that exceeds $200, either
tee must keep records for all types of receipts in     by itself or when added to the contributor’s previ-
order to comply with the reporting requirements        ous contributions made during the same calendar
of the Act and FEC regulations. See 104.14(b).         year, records must identify each contribution by:
                                                         •	Amount;
Total Contributions                                      •	Date of receipt; and
Records must show figures for total                      •	Contributor’s full name and address,
contributions received. 102.9(a).                          occupation and employer.
                                                       If a person has already contributed an aggregate
Identifying Contributors                               amount of over $200 during a calendar year, each
Contributions of $50 or Less                           subsequent contribution, regardless of amount,
                                                       must be identified in the same way. 102.9(a)(2).
In Advisory Opinions (AOs), the Commission
has recommended two possible accounting                Please note that contributions to authorized com-
methods that satisfy recordkeeping require-            mittees are aggregated on a calendar-year basis
ments for contributions of $50 or less:                for recordkeeping purposes, but are aggregated
                                                       on a per-election basis for purposes of monitoring
  •	Keep the same information required for             contribution limits, and on an election-cycle basis
    identifying contributions that exceed              for reporting purposes. See 102.9(a)(2), 104.3(a)(4),
    $50 (amount, date of receipt and con-              110.1(b) and 110.2(b) and Chapter 4 of this Guide.
    tributor’s name and address); or


                                                                                                               71
                               Campaign Guide for Congressional Candidates and Committees


     Possibly Illegal Contributions                           primary election and contributions received
     As noted in earlier chapters, when a committee           for the general election. Acceptable accounting
     has reason to question the legality of a contribu-       methods include designating separate accounts
     tion, it has specific time frames in which to clarify    for each election, or establishing separate books
     whether the contribution is permissible. While           and records for each election. 102.9(e)(1).
     investigating a contribution, the committee must         The committee’s records must demonstrate
     keep a written record noting the basis of con-           that, prior to the primary election, recorded
     cern for each deposited contribution which:              cash on hand was at all times greater than or
       •	Requires a written redesignation and/or reat-        equal to the sum of general election contri-
         tribution from the contributor (see Chapter          butions received minus the sum of general
         4). (For presumptive redesignations and              election disbursements made. 102.9(e)(2).
         reattributions, see “Designated, Redesignated
         and Reattributed Contributions” below.); or
       •	Requires confirmation that it is not from            3. treasurer’s Best efforts
         a prohibited source (see Chapter 5).
                                                              Committees and their treasurers must make best
     103.3(b)(1) and (5).                                     efforts to obtain and maintain (and ultimately
     See Chapter 5, Section 2, “Questionable                  report) the information required by law with
     Contributions,” for more information on the              respect to itemized receipts (and disbursements).
     committee’s responsibility to determine the              When reporting information is incomplete, the
     legality of possibly illegal contributions.              committee and the treasurer will be in compliance
                                                              with the law if they can demonstrate that they
     Designated, Redesignated and                             used “best efforts” in trying to obtain, maintain
     Reattributed Contributions                               and report the needed information. 102.9(d) and
     A committee must retain the written cop-                 104.7(a). The criteria for making “best efforts”
     ies of contributors’ designations, redesigna-            vary, depending on the type of transaction.
     tions and reattributions. 102.9(f). Also, for any
     contributions redesignated or reattributed by            Contributor Information
     presumption, the committee must retain any
     writings from contributors that accompany                If an individual who has contributed more than
     the contribution and any notices sent from the           $200 during the election cycle fails to provide the
     committee to the contributor. 110.1(I)(4)(ii).           required recordkeeping information (i.e., name,
                                                              mailing address, occupation and employer), the
     Contributions from Political Committees                  committee must be able to show that it made
     Records must identify each contribution from a           “best efforts” to obtain, maintain and report that
     political committee, regardless of amount, by:           information. To demonstrate “best efforts,” the
                                                              committee must be able to show that it requested
       •	Amount;                                              the information—first, in the solicitation materi-
       •	Date of receipt; and                                 als that prompted the contribution and, second,
       •	Name and address of the politi-                      if the information is not obtained, in a follow-up
         cal committee. 102.9(a)(3).                          request. 104.7(b)(1) and (2). Furthermore, if
                                                              requested information is not received until
     Acceptable Accounting Method                             after the contribution has been reported, the
     If a committee receives contributions desig-             committee must report the information using
     nated for use in the general election, prior to          one of the procedures described under “File
     the primary election, then the committee must            Amendments If Necessary,” below. 104.7(b)(4).
     use an acceptable accounting method to distin-
     guish between contributions received for the



72                                                                                                  CHAPTER 11
                                                             Keeping Records


Solicitation Materials 1                                               The request must be made within 30 days of
To satisfy the “best efforts” standard, the solicitation               receipt of the contribution; it may not include an
must include a statement explaining that the cam-                      additional solicitation or material on any other sub-
paign is required to use its best efforts to obtain                    ject, but it may thank the contributor. The follow-
and report certain information from the con-                           up request may be made orally or in writing, but
tributor. This statement is referred to as the “best                   a written request must be accompanied by a pre-
efforts” notification; two examples are listed below:                  addressed postcard or envelope for the response.
                                                                       Oral requests must be documented in a memoran-
    •	Federal law requires us to use our best                          dum. 104.7(b)(2). A political committee may also
      efforts to collect and report the name,                          use e-mail to request missing contributor informa-
      mailing address, occupation and name of                          tion. AOs 1999-17 and 1995-9. Committees must
      employer of individuals whose contribu-                          retain records of follow-up requests. 102.9(d).
      tions exceed $200 in an election cycle; or
    •	To comply with federal law, we must use our                      Use of Information from Prior Records
      best efforts to obtain, maintain and submit                      If the contributor does not respond to the
      the name, mailing address, occupation and                        follow-up request, but the committee possesses
      name of employer of individuals whose con-                       the information in its contributor records,
      tributions exceed $200 per election cycle.                       fundraising records or prior reports filed dur-
The request for the information and the best                           ing the same two-year election cycle, then the
efforts notification must be clear and conspicuous.                    committee must use that information when
If the committee’ solicitations include response                       disclosing the contribution. 104.7(b)(3).
materials, the best efforts notice and the request                     File Amendments If Necessary
for the contributor information must be placed
on these materials. The notice will not be                             If requested information about a contribution
considered to be “clear and conspicuous” if:                           is received after the contribution has been dis-
                                                                       closed on a report, the committee must either:
    •	The notification is printed in smaller type
      than the solicitation and response materials;                      •	File a Schedule A with its next regularly
                                                                           scheduled report, containing memo entries
    •	The printing is difficult to read; or                                listing all contributions for which new con-
    •	The notification is placed where it can                              tributor information has been received; or
      be easily overlooked. 104.7(b)(1).                                 •	File amendments to the original reports.
Follow-Up Request Within 30 Days                                       In either case, the entries must cross-reference to
If the contributor does not provide sufficient                         the prior reports to which they relate. However,
reporting information when making a contribution,                      the committee is only required to submit the
the committee must make at least one request                           information for contributions received during
for the information after the contribution is                          the current two-year election cycle. 104.7(b)
received. This follow-up request must be made                          (4). See Chapter 13, Section 25, “Filing Amend-
for any solicited or unsolicited contribution that                     ments,” for instructions on filing amendments.
exceeds the $200 threshold and lacks the neces-
sary information (see “Contributions Aggregat-
ing over $200” in Section 2 of this chapter).


1     Any contribution which is reported by a committee
      with all required contributor information will meet
      the reporting requirements, whether or not the
      committee asked for the information or used the
      language specified under “Solicitation Materials.” See
      the Explanation and Justification published with the final
      rule, 58 Fed. Reg. 57725, 57727 (October 27, 1993).


 CHAPTER 11                                                                                                                    73
                                  Campaign Guide for Congressional Candidates and Committees



     4. recording Disbursements                                      Best Efforts to Document
                                                                     Disbursements
                                                                     If a treasurer fails to receive a receipt, invoice
     Disbursements Made From                                         or canceled check (required for disbursements
     Campaign Depository                                             exceeding $200), he or she can demonstrate
     All disbursements (except those from a petty                    his or her best efforts to obtain the informa-
     cash fund) must be drawn by check or similar                    tion by making at least one written effort
     draft, including wire transfers, or by electronic               per transaction to obtain a duplicate copy
     transfer, on the campaign depository. 102.10                    of the needed documentation. 102.9(d).
     and 103.3(a); see AOs 1993-4 and 1982-25.
                                                                     Advances for Travel and Subsistence
     Petty Cash Disbursements                                        When a committee advances $500 or less to
     The committee may maintain a petty cash fund                    the candidate, staff members or volunteers for
     for small disbursements. A written record of                    travel expenses—including transportation, food
     petty cash disbursements must be kept if a                      and lodging—the committee must retain:
     petty cash fund is maintained. Payments from                      •	The expense voucher or other expense
     petty cash to one person for any one purchase                       account documentation; and
     or transaction may not exceed $100. 102.11.                       •	The canceled check made out to the
                                                                         individual receiving the payment.
     Recording Disbursements                                         102.9(b)(2)(i)(B).
     All Disbursements                                               When a committee advances more than
     The committee must keep a record                                $500 for travel and subsistence expenses,
     of each disbursement, including:                                the committee must obtain and retain:

         •	Amount;                                                     •	A receipt (or invoice) from the per-
                                                                         son providing goods or services in
         •	Date;                                                         excess of $200 per transaction to the
         •	Name and address of payee;2 and                               person requesting the advance;
         •	Purpose (a brief but specific description                   •	A cancelled check from the person request-
           of why the disbursement was made).3                           ing the advance showing payment to the
     102.9(b)(1).                                                        person providing goods or service; or
                                                                       •	A monthly credit card billing statement or
     Disbursements Exceeding $200                                        customer receipt from the person request-
     In addition, for each single disbursement that                      ing the advance, and that person’s cancelled
     exceeds $200, the committee must keep a                             check showing payment of such bill.
     receipt, invoice or canceled check. 102.9(b)(2).                AO 1984-8.


     2     Except in the case of travel advances, the
                                                                     Credit Card Transactions
           payee is the person providing the goods or                For credit card transactions, the
           services to the committee. In the case of travel          committee must retain:
           advances, the payee is the person receiving the
           advance. 102.9(b)(2)(i)(A) and AO 1984-8.                   •	A monthly billing statement; or
     3     A list of acceptable/unacceptable descriptions of           •	The customer receipt for each transaction; and
           “purpose” was published in a Policy Statement at 75
           FR 887 (January 9, 2007). This notice and an updated
           list of unacceptable “purpose” statements are available
           online at http://www.fec.gov/law/policy.shtml#purpose.



74                                                                                                           CHAPTER 11
                                                Keeping Records


  •	The canceled check used to pay
    the credit card account.
102.9(b)(2)(ii).

Credit Union Checks or Share Drafts
Carbon copies of share drafts or checks drawn
on credit union accounts may be used as records,
provided the monthly account statement (show-
ing that the draft or check was paid by the
credit union) is also retained. 102.9(b)(2)(iii).



5. recording Debts and Loans
Although the Act does not contain specific
recordkeeping requirements for debts and
loans owed by (or to) the campaign, commit-
tees are required to keep detailed records of
transactions required to be disclosed on the
committee’s FEC reports. See 104.14(b).




 CHAPTER 11                                                       75
                                                Chapter 12
                                           Filing Reports
                                                             section of the FEC web site at http://www.
1. Who reports                                               fec.gov/support/faq_filing.shtml#EFQ18).
                                                         For more information on electronic fil-
Principal Campaign Committee                             ing, see section 5 in this chapter.

The principal campaign committee must file
periodic reports on financial activity until the         Other Authorized Committees
committee has retired its debts, filed a Termina-        Only principal campaign committees file reports
tion Report and received notification from the           and statements with the appropriate federal
FEC that the committee has been terminated (see          offices. Other authorized committees of the
Chapter 14, Section 1). 102.3(b) and 104.1(a).           candidate file with the principal campaign com-
                                                         mittee, as explained in Section 2, below.
Treasurer’s Duties
A committee treasurer is responsible for signing         Candidate Does Not Report
and filing timely, complete and accurate reports and
statements. 104.14(d). See Chapter 2, Section 3          Campaign Activity
for a complete summary of the treasurer’s duties.        Apart from filing a Statement of Candidacy (FEC
Treasurers are considered in compliance with the         Form 2), a candidate has no personal reporting
Federal Election Campaign Act (the Act) when they        obligation under the Act. If a candidate receives
have made their “best efforts” to obtain, maintain       contributions, obtains loans for campaign activity or
and report required information. (See section 3,         makes disbursements, he or she is acting as a cam-
“When to Report,” later in this chapter and section      paign agent. The transactions are reported by the
3, “Treasurer’s Best Efforts,” in Chapter 11.) If a      principal campaign committee. 101.2 and 102.7(d).
treasurer is unable to obtain information after mak-
ing his or her best efforts, that fact should be noted   Candidate Must File Personal
on the report where the information is incomplete.
                                                         Financial Reports
When filing electronically, a committee treasurer
must verify that all electronically filed documents      Under the Ethics in Government Act, candidates
have been examined by the treasurer and (to the          for federal office must file personal financial
best of that person’s knowledge) are accurate            reports. House candidates file such reports
and complete. In order to verify electronically          with the Clerk of the House and Senate candi-
filed documents, the treasurer must either:              dates file those reports with the Secretary of
                                                         the Senate. Candidates for President and Vice
  •	Obtain a personal password (which serves             President (except the incumbent President and
    as your electronic signature) from the               Vice President) file their personal financial dis-
    FEC (available through the electronic fil-           closure forms with the FEC, and the Commission
    ing office at 202 694-1307); or                      is the agency responsible for public disclosure
  •	File on a CD or 3.5” diskette and include, as        of those forms. However, detailed review and
    a separate file, a digitized copy of a signed        approval of those forms is the responsibility of the
    certification, or a signed certification on paper    Office of Government Ethics. See Appendix G.
    along with the CD or diskette (For specific
    instructions on how to file electronically using
    a CD or diskette, see the Electronic Filing


                                                                                                                 77
                                 Campaign Guide for Congressional Candidates and Committees



     2. Where to File reports                                    3. When to report
                                                                 Committee treasurers must file reports on time
     Filing with the Federal Government                          (the Commission cannot grant extensions). Gen-
         •	Principal campaign committees of House                eral rules on when to file reports are outlined
           and Presidential candidates file reports with         below. The FEC sends more detailed information
           the Federal Election Commission, 999 E                to treasurers by e-mail shortly before reports are
           Street, NW, Washington, DC 20463. 105.1.              due. (For this reason, it is especially important
           (Note that committees in Guam and Puerto              to list a current e-mail address on the commit-
           Rico also have state filing requirements.1).          tee’s FEC Form 1 (Statement of Organization).)
                                                                 Additionally, the Record, the FEC’s monthly newslet-
         •	Principal campaign committees of Sen-                 ter, publishes reporting announcements, as does
           ate candidates file reports and statements            the FEC’s web site, http://www.fec.gov/info/filing.
           with the Secretary of the Senate.105.2.               shtml. This section summarizes filing requirements
     When filing a document with the Secretary of the            applicable to all authorized committees of House
     Senate, it is not necessary to send a copy to the           and Senate campaigns. Presidential committees file
     FEC. The Secretary automatically makes copies of            reports according to a different schedule than the
     all filings and forwards them to the FEC for review.        one presented in this section. See 104.5(b). Cam-
                                                                 paigns should also review Appendix F, Millionaires’
     Filing with the Principal                                   Amendment, for additional filing requirements that
                                                                 apply if those provisions of the law are triggered.
     Campaign Committee
     Authorized committees of a campaign other                   Quarterly Reports
     than the principal campaign committee submit                Once an individual has become a candidate, his
     their reports and statements to the principal               or her principal campaign committee (and other
     campaign committee. The principal campaign                  authorized committees) must file quarterly reports.
     committee, in turn, files these reports and state-          104.5(a). Quarterly reports cover activity through
     ments, along with its own, with the appropriate             the end of the calendar quarter and are due on
     federal and state offices. When filing reports              April 15, July 15 and October 15. The fourth
     of receipts and disbursements (FEC Form 3),                 quarter report—called the year-end report—is
     the principal campaign committee must also file             due on January 31 of the following year (additional
     a consolidated report (FEC Form 3Z), which                  reports are required during the candidate’s election
     summarizes information included in its own                  year; see below). All authorized committees must
     report and those filed by other authorized com-             file quarterly reports, even if the candidate decides
     mittees. 102.1(b) and 104.3(f). Note that only              to retire, withdraws from the race prior to the
     authorized committees of the current campaign               primary election, loses the primary or drops out
     need to be included in the consolidated report.             of the race prior to the general election. Com-
                                                                 mittees must continue to file quarterly reports
                                                                 until the Commission notifies them in writing
                                                                 that their termination report has been accepted.
                                                                 The Commission may waive a quarterly report
                                                                 if a pre-election report (see below) is due
                                                                 during the period beginning on the 5th day
     1     Copies of reports for House and Senate candidates     and ending on the 15th day after the close
           running for federal office in Guam or Puerto Rico     of the calendar quarter. 104.5(a)(1)(iii).
           must be filed with the appropriate office in those
           territories. Presidential committees must file a
           copy of each report in Guam or Puerto Rico if the
           campaign makes an expenditure in those territories
           during the reporting period. 105.3 and 108.2.



78                                                                                                         CHAPTER 12
                                                  Filing Reports


reporting Deadlines

Report Type                                Covering                                 Due

Quarterly                          January 1 — March 31                        April 15
                                   April 1 — June 30                           July 15
                                   July 1 — September 30                       October 15
                                   October 1 — December 31                     January 31

Pre-Election
(Both Pre-Primary and             First day of the current report-
Pre-General as well as Pre-       ing period through the 20th                 12 days before the election
Runoff, if appropriate)           day before the election


Post-General                      First day of the current report-             30 days after the
                                  ing period through the 20th                  general election
                                  day after the general election

48 Hour Notices                   Contributions received less                 Within 48 hours of
(Reporting contributions          than 20 days but more than                  receipt of contribution
of $1,000 or more)                48 hours before the election


FEC Form 3Z-1/Consolidated Report of Gross Receipts             •	A pre-primary report must be filed
Note that all principal campaign committees of                    before the election in which the
candidates for the U.S. House and U.S. Senate must                candidate seeks nomination.2
include FEC Form 3Z-1 (Consolidated Report of                   •	A pre-general election report must be filed if
Gross Receipts) with the report due July 15 of                    the candidate runs in the general election.
the year before the general election, and also with             •	A pre-runoff report must be filed when a candi-
the year-end report due January 31 of the year of                 date is involved in a runoff election (Note: this
their election. 104.19. For more information, see                 may be either a primary or a general election).
Appendix F, Section 5, “Reporting and Notification.”
                                                            A pre-election report is due 12 days before the
                                                            election and covers activity through the 20th day
Election Year Reporting                                     before the election.3 If sent by registered or certi-
Election years are years in which regu-                     fied mail, priority mail with a delivery confirmation,
larly scheduled federal elections are                       express mail with a delivery confirmation, or
held (even-numbered years).                                 overnight delivery service with an online tracking

Pre-Election Reports
                                                            2      Note that in those states in which the party
In addition to quarterly reports, a com-                           caucus or convention has authority to select
mittee must file pre-election reports:                             a nominee (Virginia) or has authority to select
                                                                   a nominee and is held in addition to a primary
                                                                   (Connecticut and Utah), pre-election reports
                                                                   must be filed for the caucus or convention. See
                                                                   Party Caucus or Convention in Chapter 4.
                                                            3      In AO 2000-29, the Commission determined that the last
                                                                    day to qualify for a position on the general election ballot
                                                                    in Louisiana must be considered the primary election
                                                                    date for Louisiana candidates. See 11 CFR 100.2(c)(4)(i).


 CHAPTER 12                                                                                                                        79
                             Campaign Guide for Congressional Candidates and Committees


     system, the report must be postmarked no later             •	The amount and date of receipt
     than the 15th day before the election. 104.5(a)(2)(i).       of the contribution.
     Authorized committees must file appropri-                Committees filing paper forms may fax the
     ate pre- and post-election reports even if the           notice to the appropriate office using the fol-
     candidate is unopposed or if the election is             lowing numbers: FEC, 202/219-0174; Secretary
     not held. Advisory Opinion (AO) 1986-21.                 of the Senate, 202/224-1851. The committee
                                                              should keep fax receipts of all transmissions.
     Post-General Election Reports
                                                              In most cases, the FEC or the Secretary of the
     There is no requirement for post-primary reports,        Senate must receive the notice within 48 hours
     but a committee must file a post-general elec-           of the committee’s receipt of the contribution.
     tion report if the candidate runs in the general         However, in those limited cases where a candidate
     election. A post-general election report covers          has personally made a large, last-minute contri-
     activity through the 20th day after the election         bution or loan, the candidate may be required
     and is due 30 days after the election. 104.5(a)(2)       to file FEC Form 10 within 24 hours in order
     (ii). Committees filing the post-general report          to disclose his or her personal spending under
     must include the Post-Election Detailed Sum-             the Millionaires’ Amendment at the same time
     mary Page. See Chapter 13, Section 24, for more          that the committee triggers the 48-hour notice
     information. (Committees of campaigns not                requirement for receiving last-minute contribu-
     running in the general election include this form        tions. In this case, the candidate must use FEC
     with the year-end report following the election).        Form 10 to meet both filing requirements. The
     Last-Minute Contributions (48-Hour Notice)               appropriate recipients must receive the Form
                                                              10 within 24 hours of the candidate making the
     Campaign committees must file special notices            expenditure triggering the filing. See Appendix F,
     regarding contributions of $1,000 or more                Section 5 for more information on filing Form 10.
     received less than 20 days but more than 48
     hours before 12:01 a.m. of the day of any elec-          The committee must itemize all last-
     tion in which the candidate is running. (These           minute contributions in the commit-
     are often called “48-Hour Notices.”) This rule           tee’s next scheduled report. 104.5(f).
     applies to all types of contributions to any autho-
     rized committee of the candidate, including:             Special Elections
       •	Contributions from the candidate;                    Filing dates for special elections are published on
       •	Loans from the candidate and                         the FEC’s web site, in the FEC Record and in the
         other non-bank sources; and                          Federal Register. The Commission also notifies
                                                              the principal campaign committees of candidates
       •	Endorsements or guarantees of loans                  who are on the ballot in a special election.
         from banks. (See Chapter 3, Section 2.)
                                                              If a regularly scheduled report is due within 10
     Committees filing electronically must file               days of the date a special election report is due, the
     their 48-hour notices electronically. See                Commission may waive the regular report. 104.5(h).
     Section 5, “electronic Filing” below.
     Paper-filing committees may file their 48-hour
     notices using FEC Form 6. Alternatively, a
     paper-filing committee may file online using
     the FEC’s web-based forms (http://www.fec.
     gov/elecfil/online.shtml), or may use its own
     paper or stationery for the notice, provided
     that it contains the following information:
       •	The candidate’s name and the office sought;
       •	The identification of the contributor; and


80                                                                                                       CHAPTER 12
                                                         Filing Reports



Meeting the Filing Deadline                                        the Electronic Filing section of the FEC web site at
                                                                   http://www.fec.gov/support/faq_filing.shtml#EFQ18.
By Registered Mail, Certified Mail, Priority Mail
with Delivery Confirmation, Express Mail with                      Mandatory Electronic Filing
Delivery Confirmation or Overnight Delivery                        Some committees must file electronically (See Sec-
If a statement or report is sent by registered                     tion 5, “Electronic Filing”). If a committee required
mail, certified mail or overnight mail with an                     to file electronically files a paper report instead of
online tracking system,4 it is considered filed                    an electronic report, the report will be considered
on the date of the U.S. postmark. (Note the                        not filed. The committee may be subject to the
special rule for pre-election reports, above.)                     Commission’s enforcement process for nonfilers
100.19. The committee should retain evidence                       and may have its name published as a nonfiler.
that it delivered the report to the U.S. Postal
Service or the overnight delivery service, in the
event of a delivery failure. See 111.35(b)(1).                     4. administrative Fines for
By First Class Mail                                                   Late Filers and nonfilers
If a statement or report is sent by first class                    The Commission has implemented an Administra-
mail, it is considered filed on the date it is                     tive Fines Program, based on amendments to
received by the Secretary of the Senate or                         the Federal Election Campaign Act,5 for assessing
the Federal Election Commission. 104.5(e).                         civil money penalties for violations involving:
The risk of timely delivery is on the filer.
                                                                       •	Failure to file reports on time;
By Electronic Filing                                                   •	Failure to file reports at all; and
An electronic report is considered “filed” when                        •	Failure to file 48-hour notices.
it is received and validated by the Commission’s
computer system on or before 11:59 p.m. (in                        If the Commission finds “reason to believe” (RTB)
Washington, DC) on the filing date. Incomplete                     that a committee violated the law, the Commis-
or inaccurate reports that do not pass the FEC’s                   sion will notify the committee in writing of its
validation program will not be considered filed.                   finding and the amount of the civil money penalty.
The Commission will notify the filer that the                      111.32. The committee will have 40 days to either
report has not been accepted. 104.18(e)(2).                        pay the civil money penalty or submit a written
                                                                   challenge to the Commission action. If the com-
By Diskette or CD                                                  mittee challenges the finding, it will be reviewed
While most electronic filers find it more conve-                   by an independent reviewing officer who was not
nient to file through the Internet, the Commis-                    involved in the RTB finding. After the Commission
sion also accepts properly-formatted electronic                    considers the reviewing officer’s recommendation
reports on compact discs (CDs) or 3.5” 1.44 MB                     and the committee’s response, if any, the Com-
diskettes (either hand delivered or sent by other                  mission will determine whether the committee
delivery means, such as the U.S. Postal Service). It               violated 2 U.S.C. §434(a) and, if so, will assess a civil
is important to note that all mail sent to the FEC                 money penalty based on the schedules of penal-
through the U.S. Postal Service undergoes special
processing which might damage the information on
a CD or diskette. For specific instructions on how
to file electronically using a CD or diskette, see
                                                                   5      Public Law 106-58, 106th Cong., Section 640, 113
                                                                          Stat. 430, 476-77 (1999); Commission authority
                                                                          extended in Public Law No. 106-67, 107th Cong.,
4    Overnight mail is often used to refer to priority                    Section 642, 115 Stat 514, 555 (2001), again in Public
     mail having a delivery confirmation, express mail                    Law No. 108-199, 108th Cong., Section 639, 118
     having a delivery confirmation, or an overnight                      Stat 3 (2004) and again in Public Law No. 109-115,
     delivery service with an on-line tracking system.                    Section 721, 119 Stat 2396, 2493-2494 (2006).


 CHAPTER 12                                                                                                                        81
                                   Campaign Guide for Congressional Candidates and Committees


     ties. The committee will then have 30 days to pay                  104.18(a)(2). See the previous section, “Admin-
     the penalty or seek court review of the case.6                     istrative Fines for Late Filers and Nonfilers.”
     Respondents must demonstrate one of the                            Because electronic filing is more efficient and
     following situations in their challenge:                           cost effective than paper filing, even House and
         •	The RTB filing is based on factual errors;                   Presidential committees that do not meet the
                                                                        $50,000 threshold requirement are encouraged
         •	The RTB civil money penalty is                               to voluntarily file their reports electronically.
           improperly calculated; or                                    Please note, however, that voluntary electronic
         •	They could not file due to reasonably                        filers must continue to file electronically for
           unforeseen circumstances beyond their                        the remainder of the calendar year unless the
           control, and they filed the late report within               Commission determines that extraordinary
           24 hours after those circumstances ended                     and unforeseeable circumstances make contin-
           (also called the “best efforts” defense).                    ued electronic filing impractical. 104.18(b).
     Excuses involving negligence, illness, inexperience,
     unavailability of committee staff or treasurer, failure            Methods of Electronic Filing
     to know filing dates, failure to use Commission                    Most committees filing electronically find it con-
     software properly, delays caused by vendors or                     venient to do so via an Internet connection with a
     failure of the committee’s computers, software                     password (see Chapter 2, “Treasurer’s Responsibili-
     or Internet service provider do not qualify for                    ties.”). Committees may, however, submit their
     the “best efforts” defense. 111.35(c) and (d).7                    electronic reports on compact discs (CDs) or
                                                                        3.5” 1.44 MB diskettes (either hand delivered or
                                                                        sent by other means such as U.S. Postal Service).
     5. electronic Filing                                               Electronic filers must file all their reports, notices,
                                                                        designations and statements electronically, and
     Campaign committees of House and Presidential                      the reports must adhere to the FEC’s Electronic
     candidates must file all reports and statements elec-              Filing Specifications Requirements.9 104.18(d).
     tronically if their total contributions or total expen-
     ditures exceed, or are expected to exceed, $50,000                 Calculating the Threshold
     in a calendar year. The requirement to file elec-
     tronically does not apply to Senate candidate com-                 Committees should use the following formulas to
     mittees (or other committees that support only                     determine whether their total expenditures or total
     Senate candidates), who are required to file their                 contributions are over $50,000 per calendar year:
     reports on paper with the Secretary of the Senate.8                        Total Contributions Received10
     Any committees that are required to file elec-                             -          Refunds of Contributions
     tronically, but that file on paper or fail to file, may                    =          Total Contributions
     be subject to enforcement action as nonfilers.
                                                                                or
                                                                                Total Operating Expenditures
     6     For more information on the Administrative                           +          Contributions Made
           Fine Program, see 11 CFR 111.30 to 111.45,
           Subpart B, and the Commission’s web site                             =          Total Expenditures
           at http://www.fec.gov/af/af.shtml.
     7     These rules are effective as of April 30, 2007.
           See 72 Fed. Reg. 14662 (March 29, 2007).
     8     Senate candidates are encouraged to voluntarily file         9    Available online at http://www.fec.gov/elecfil/
           electronically an unofficial copy of their reports with           vendors.shtml or on paper from the FEC.
           the FEC (in addition to their official paper copy with the
                                                                        10   Including the outstanding balance of any
           Secretary of the Senate) to ensure faster disclosure.
                                                                              loans made, guaranteed or endorsed by
                                                                              the candidate or other person.


82                                                                                                                             CHAPTER 12
                                                    Filing Reports



Have Reason to Expect to Exceed the Threshold                 Verification Requirements
Once committees actually exceed the $50,000                   The political committee’s treasurer must verify the
yearly threshold, they have “reason to expect to              electronically filed reports by submitting either:
exceed” the threshold in the following two calendar              •	A signed, written certification along
years. 104.18(a)(3)(i). Consequently, committees                   with the diskette or CD; or
must continue to file electronically for the next
two calendar years (January through December).                   •	A digitized copy of the signed certification
                                                                   as a separate file in an electronic (i.e., not
Exception                                                          transmitted by diskette or CD) submission.
A campaign committee that met or exceeded                     The signed verification must certify that the
the $50,000 threshold and began filing elec-                  treasurer or assistant treasurer has exam-
tronically is not required to file electronically             ined the submitted report, and that, to the
for the following two calendar years if it meets              best of his or her knowledge, the report is
all three of the following requirements:                      true, correct and complete. 104.18(g).
  •	Has $50,000 or less in net debts outstanding
    on January 1 of the year following an election;           Obtaining a Password
  •	Anticipates terminating prior to                          Requesting a Password
    the next election year; and
                                                              A committee’s treasurer or assistant treasurer
  •	Supports a candidate who has not qualified                can obtain a password by faxing a request let-
    for the next election and does not intend to              ter to the password office at 202/219-0674.
    become a candidate in the next election.                  Requests may also be mailed to the Federal
104.18(a)(3)(i).                                              Election Commission, 999 E Street N.W., Wash-
Note that such committees must finish fil-                    ington, DC 20463. A password request must:
ing electronically for the calendar year in                      •	Include the committes’s name and nine-
which they exceeded the threshold.                                 digit FEC identification number;

Committees With No History                                       •	Be signed by the treasurer and also by the
                                                                   assistant treasurer if the assistant treasurer
New committees with no history of cam-                             is the individual requesting the password;
paign finance activity on which to base their
expectations have reason to expect to                            •	Include the treasurer’s phone number
exceed the $50,000 yearly threshold if:                            and, if applicable, the phone number
                                                                   of the assistant treasurer; and
  •	The committee receives contributions
    or makes expenditures that exceed one-                       •	Be printed on the committee’s letterhead
    quarter of the threshold amount in the first                   (if the committee has official letterhead).
    calendar quarter of the calendar year (i.e.,              A sample request can be viewed on the FEC’s web
    exceeds $12,500 by the end of March); or                  site at http://www.fec.gov/elecfil/passwords.shtml.
  •	The committee receives contributions                      Requests sent by fax can usually be processed
    or makes expenditures that exceed                         within a few hours. However, committees are
    one-half of the threshold amount in                       encouraged to request a password as early as
    the first half of the calendar year (i.e.,                possible. Requests received near a filing deadline
    exceeds $ 25,000 by the end of June).                     may not be processed in time for a committee
104.18(a)(3)(ii).                                             to use the password to file a timely report.
                                                              Note: For the initial Form 1 the treasurer can get
                                                              a password by faxing or mailing a signed statement
                                                              which contains the sentence “I represent that I am



 CHAPTER 12                                                                                                         83
                              Campaign Guide for Congressional Candidates and Committees


     the duly appointed treasurer and have authority as         •	Form 8 (Debt Settlement Plan).
     such to sign FEC reports for the above committee.”       These two forms, in addition to being included
     Assigning the Password                                   in the electronic report, must be submitted on
                                                              paper or in a digitized format (submitted as a
     Once the password office receives the letter             separate file in the electronic report). 104.18(h).
     requesting a password, it will verify that the
     requester is listed as the treasurer (and assistant
     treasurer, if applicable) of that committee on that
     committee’s Statement of Organization (FEC               6. public inspection of reports
     Form 1). Only the committee’s treasurer and
     assistant treasurer can receive a password.              All reports filed by political committees are
                                                              available for public inspection and copying (for a
     If the requester is listed on the Statement of           minimal fee) in the FEC’s Public Records Office.
     Organization, then a representative from the pass-       They are also available on the Commission’s
     word office will call the requester and ask him or       web site (http://www.fec.gov/disclosure.shtml).
     her to choose a password. This password will be
     assigned immediately. Passwords are case sensitive       Copies of reports may also be purchased by
     and must be entered exactly as initially assigned.       mail. For more information, call 800/424-9530
                                                              (press 2 when prompted) or 202/694-1120.
     Lost or Forgotten Password
     The Commission cannot provide a trea-                    Sale or Use Restriction
     surer’s password to a treasurer or committee             The Act prohibits anyone from selling or using the
     if a treasurer forgets or loses the password             names and addresses of individual contributors,
     because the passwords are encrypted. Instead,            copied from FEC reports, for commercial purposes
     the treasurer must ask for a new password,               or for the purpose of soliciting funds. This sale
     repeating the process described above.                   or use restriction, however, does not apply to the
     New Treasurers and New E-filers                          names and addresses of political committees that
                                                              are listed in FEC reports. 104.15; AO 2003-24.
     In some cases, a committee may have a new
     treasurer who has been neither assigned a pass-          Salting Reports to Detect Misuse
     word nor has a signature on file and, due to the         When preparing a report to be filed, a com-
     requirement that all filing information be submit-       mittee may salt the report with up to 10
     ted electronically, cannot amend the statement of        fictitious names in order to detect impermis-
     organization to indicate the change of position.         sible uses of individual contributor informa-
     Under these circumstances, the new treasurer             tion by other organizations. 104.3(e).
     must submit a password request letter which
     contains the sentence “I represent that I am the         Salting can be done by taking a portion of the
     duly appointed treasurer and have authority as such      subtotal for unitemized contributions and allocat-
     to sign FEC reports for the above committee.”            ing it, as itemized contributions, among several
     Once a password is received, an amended Form             fictitious contributors. The committee item-
     1 must be filed to indicate the change of position.      izes each fictitious contribution on a Schedule
     Treasurers of committees e-filing for the first          A, providing a real address (such as the address
     time must also submit a password request letter.         of a campaign staff member) for each fictitious
                                                              contributor. The committee must adjust its sub-
                                                              totals for itemized and unitemized contributions
     Special Requirements                                     accordingly on the Detailed Summary Page. If a
     The following documents have special sig-                solicitation or commercial mailing is sent to one
     nature and submission requirements:                      of the fictitious names, the committee will know
       •	Schedule C1 (Loans and Line of Credit),              that someone has illegally used the names of
         including copies of loan agreements; and


84                                                                                                        CHAPTER 12
                                                  Filing Reports


contributors disclosed on its reports. The com-
mittee may then file a complaint with the FEC.
When a committee files a report containing ficti-
tious names, a list of the fictitious names should
be sent under separate cover directly to the FEC’s
Reports Analysis Division not the Secretary of
the Senate (where Senate candidates’s reports
are filed). The list will be kept confidential.

Sale or Use of Committee’s Contributor List
The sale or use restriction does not prevent a com-
mittee from compiling its own list of contributors
and distributing it to others. Under certain condi-
tions, a committee may donate, sell, trade or rent
its own contributor list to other committees and
organizations. AOs 2002-14, 1982-41 and 1981-53.




 CHAPTER 12                                                        85
                                                         Chapter 13
                                      Completing FEC Reports
                                                                taken from the current reports of the principal
1. reporting Forms                                              campaign committee and other authorized com-
   and Formats                                                  mittees. The principal campaign committee files
                                                                Form 3Z along with its own report and those
FEC reports are filed either electronically or on               of the other authorized committees. 104.3(f).
paper, as explained in the previous chapter. This
section explains each format’s requirements.                    Form 3Z-1 Report of Gross Receipts
                                                                Each principal campaign committee must file a
Form 3                                                          report disclosing the aggregate gross receipts for
FEC Form 3 (or an electronic version) must                      the primary and general elections, and the candi-
be used by principal campaign committees and                    date’s aggregate contributions from personal funds
other authorized committees of candidates for                   for the primary and general elections on Form
the U.S. House of Representatives and U.S. Sen-                 3Z-1. Form 3Z-1 is required to be filed only with
ate to disclose receipts and disbursements.1                    the July 15th and year-end reports for the year pre-
                                                                ceding the general election in which the candidate
Form 3 Booklet                                                  intends to participate. 104.19. See Appendix F.
The Form 3 booklet contains Form 3 (Sum-
mary Page and Detailed Summary Page), the                       Requirements for Electronic Filers
schedules listed below and Forms 3Z and 3Z-1.
                                                                Committees that receive contributions or make
Schedules                                                       expenditures of more than $50,000 in any calendar
Committees may be required to file the fol-                     year, or have reason to expect to do so, must file
lowing schedules as attachments to Form 3:                      all reports and statements electronically. Com-
                                                                mittees that are required to file electronically, but
    •	Schedule A—Itemized Receipts                              that file on paper or fail to file, may be subject to
    •	Schedule B—Itemized Disbursements                         enforcement action as nonfilers. 104.18(a)(2). See
    •	Schedule C—Loans                                          Chapter 12, Section 5, “Administrative Fines for
                                                                Late Filers and Nonfilers.” FECFile software, avail-
    •	Schedule C-1—Loans and Lines of                           able free from the FEC, generates Form 1, Form 3
      Credit from Lending Institutions                          and Form 6. Filers can download the software from
    •	Schedule D—Debts and Obligations                          the FEC’s web site at www.fec.gov/elecfil/electron.
                                                                shtml. Filers can also use other software as long
Form 3Z                                                         as it meets FEC format specifications. For more
                                                                information about the electronic filing require-
If a candidate has more than one authorized                     ment, see Section 5 of the preceding chapter.
committee for the same campaign, the principal
campaign committee must also file Form 3Z. The
one-page form, which consolidates information                   Requirements for Paper Filers
on the entire campaign, contains information                    FEC forms filed on paper should be typed (either
                                                                on a typewriter or on a computer—see below for
1     Presidential campaign committees use FEC Form             more information on computerized forms); printing
      3P and its supporting schedules (or an electronic         in ink is also acceptable (but not recommended) as
      version). Form 3P and instructions are available online
      at http://www.fec.gov/info/forms.shtml#candidates.        long as the forms are legible. Because filings will


                                                                                                                        87
                             Campaign Guide for Congressional Candidates and Committees


     be imaged and photocopied several times before           How to Obtain Paper Forms
     being placed on the public record, it is required that
     committees submit the original report—not a copy         Fax on Demand
     —with an original signature. Committees submit-          The reporting forms (and instructions) are avail-
     ting illegible documents will be required to re-file.    able on the FEC Faxline 202/501-3413. Below
                                                              are the document numbers of the reporting
     Reporting Instructions                                   forms for candidates and their committees:
     Instructions for filling out each form and schedule        •	Form 1—Statement of Organization—#801
     are available online at http://www.fec.gov/info/           •	Form 2—Statement of Candidacy—#802
     forms.shtml. Although written specifically for
     paper filers, the instructions contain informa-            •	Form 3—Financial Reporting for Authorized
     tion that is useful for electronic filers as well.           (i.e., Candidate) Committees—#803
                                                                •	Form 6—48-Hour Notice of Contri-
     Online Web Forms                                             butions/Loans Received—#806

     Online filing via the FEC’s web forms is                   •	Form 8 – Debt Settlement Plan -- #808
     available for the following FEC Forms:                     •	Form 10 – 24-Hour Notice of Expenditure
       •	FEC Form 6 (48-hour notices of                           from Candidate’s Personal Funds -- #810
         last minute contributions);                            •	Form 11 – 24-Hour Notice of Opposi-
       •	FEC Form 8 (Debt settlement plan); and                   tion Personal Funds Amount -- #811

       •	FEC Form 10 (24-hour notice of per-                    •	Form 12 – 24-Hour Notice of Suspen-
         sonal funds expended by candidate).                      sion of Increased Limits -- #812

       •	For more information, and to access                    •	Schedule A*—Itemized Receipts—#825
         the online forms, visit http://www.                    •	Schedule B*—Itemized Disbursements—#826
         fec.gov/elecfil/online.shtml.                          •	Schedule C* and C-1—Loans—#827
                                                                •	Schedule D*—Debts and Obligations—#828
     Computerized Forms
                                                              *The faxline numbers for Schedules A, B, C and D
     A committee that files on paper may develop its          produce both Form 3 and Form 3X versions of the
     own computer-produced forms, reduced to the              schedules; House and Senate candidate commit-
     size of FEC forms, but it must submit them for           tees should be sure to use the Form 3 version.
     approval by the FEC prior to using them. The
     submission must include sample formats of each           FEC Web Site
     applicable schedule (with sample data). The pro-         All FEC reporting forms and instructions,
     posed format (and accompanying cover letter)             including Form 1, Form 2 and Form 3, are
     should be mailed or hand delivered to the attention      available on the Commission’s web site at
     of the Reports Analysis Division. 104.2(d); FEC          http://www.fec.gov/info/forms.shtml.
     Directive 37. Please note that this is not an option
     for committees required to file electronically.

                                                              2. Special rules for First report
                                                              In the first report filed after registering as a
                                                              political committee, the principal campaign com-
                                                              mittee (and other authorized committees of
                                                              the campaign) must disclose all financial activity
                                                              that occurred before registration and before
                                                              the individual became a candidate (including any



88                                                                                                        CHAPTER 13
                                                                              Completing FEC Reports


testing-the-waters activity), beginning with the first                                                          first before transferring totals to
date of activity through the end of the current                                                                 the Detailed Summary Page.
reporting period. 101.2(b), 101.3, 104.3(a) and (b).


                                                                                                                4. how to itemize receipts
3. Categorizing receipts
                                                                                                                For each receipt, the committee must report the:
Committees must report receipts under the
different categories listed on the Detailed Sum-                                                                  •	Name of source of receipt (i.e., the name of the
mary Page of Form 3. These categories are:                                                                          person who gave something of value or paid
                                                                                                                    money to the candidate or the committee);
    •	Lines 11(a)(i) and (ii), Contribu-
      tions from Individuals/Persons Other                                                                        •	Mailing address of source;
      Than Political Committees                                                                                   •	Employer of source (if source is
    •	Line 11(b), Contributions from                                                                                an individual contributor);
      Political Party Committees;                                                                                 •	Occupation of source (if source
    •	Line 11(c), Contributions from Other                                                                          is an individual contributor);
      Political Committees (e.g., PACs);                                                                          •	Election to which a contribution or loan
    •	Line 11(d), Contributions from the Candidate;                                                                 was designated (indicated by checking “pri-
                                                                                                                    mary,” “general” or “other” in the election
    •	Line 12, Transfers from Other                                                                                 designation box) (For more information
      Authorized Committees;                                                                                        on designating contributions for a specific
    •	Lines 13(a) and (b), Loans;                                                                                   election, see Chapter 4, Section 4, “Desig-
    •	Line 14, Offsets to Operating Expenditures; and                                                               nated and Undesignated Contributions”);

    •	Line 15, Other Receipts.                                                                                    •	Date of receipt;

For each category, a committee must disclose                                               •	Amount of receipt; and
the total for the current reporting period and                                             •	Aggregate election-cycle-to-date total
the cumulative election-cycle total. In addition                                                of all receipts (within the same cat-
to reporting these totals, a committee often has                                                egory) from the same source.
to itemize receipts by providing supplemental                                         104.3(a)(4) and 104.8(a).
information on supporting Schedules A. 104.3(a)
(3) and (4). A committee must
use a separate Schedule A for
                                     CONTRIBUTIONS FROM OTHER POLITICAL COMMITTEES
each category of receipts that
must be itemized, i.e., the com-
                                     AND ORGANIZATIONS
mittee may not mix different           SCHEDULE A (FEC Form 3)                                               Us e s eparate s chedule(s )
                                                                                                                                          FOR LINE NUMB E R :
                                                                                                                                          (check only one)
                                                                                                                                                                      PAG E        OF


categories of receipts on the
                                                                                                             for each category of the
                                      ITEMIZED RECEIPTS                                                      Detailed S ummary P age
                                                                                                                                               11a         11b    x 11c        11d
                                                                                                                                               12          13a       13b       14         15

same schedule. Electronic filers        Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                        or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

must input all data for each               NAME OF C OMMITTE E (In Full)

contributor or payer separately               Doe for Congress Committee
                                           Full Name (Las t, Firs t, Middle Initial)
so that the software can               A.      Ellie James for U.S. Senate                                                                   Date of R eceipt
                                           Mailing Addres s
properly generate the required                  543 Stormybrook Street                                                                           02�
                                                                                                                                                       M   M
                                                                                                                                                             21
                                                                                                                                                               /   D     D   /
                                                                                                                                                                             2008
                                                                                                                                                                                 Y   Y   Y   Y



                                           C ity                                                S tate         Zip C ode
information, including the                      Great Falls�                    �            VA            �00000
aggregated election-cycle-to-              FE C ID number of contributing
                                           federal political committee.                       C                 00000001                     Amount of E ach R eceipt this P eriod

date total. It is recommended              Name of E mployer                                Occupation                                                    ▲,          ▲, 2000.00   .
                                                                                                                                                                                   ▲
that committees complete                   R eceipt For:                                     E lection C ycle-to-Date                              Limits Increas ed Due to Opponent’ s
the supporting Schedules
                                                                                                                        ▼
                                             x P rimary              G eneral                                                                      S pending (2 U.S .C . §441a(i)/441a– 1)
                                                 Other (s pecify)                           ▼                                ,
                                                                                                                           2000.00
                                                                                                                             ▲         ,
                                                                                                                                       ▲     .
                                                                                                                                             ▲
                                                                    Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                      Date of R eceipt
                                                               B.
                                                                    Mailing Addres s                                                                   M   M   /   D     D   /   Y   Y   Y   Y




 CHAPTER 13                                                         C ity                                           S tate       Zip C ode
                                                                                                                                                                                                 89
                                                                    FE C ID number of contributing
                               Campaign Guide for Congressional Candidates and Committees


     Note that the date of receipt for both record-                •	Exceed $200; or
     keeping and reporting purposes is the date                    •	Aggregate over $200 when added to other
     that the campaign, or a person who receives                     receipts (within the same category) received
     a contribution on behalf of the campaign, first                 from the same source during an election cycle.
     receives a contribution, rather than the date on
     the check or the date of deposit. 102.8(a). (See          The categories of receipts that are subject
     Chapter 4, Section 5, “Date Contribution is Made          to this $200 threshold for itemization are:
     v. Date of Receipt” for more information.)                    •	Contributions from individuals/persons
     If a contributor is self-employed, that should                  other than political committees;
     be stated in the “Employer” space on Schedule                 •	Contributions from the candidate;
     A. If he or she is not employed, the space may                •	Offsets to operating expenditures; and
     be left blank, but the “Occupation” space should
     still be completed (e.g., “unemployed,” “retired,”            •	Other receipts. See 104.3(a)(4)(i), (v) and (vi).
     “homemaker.”) See Chapter 11, Section 3, “Trea-           Aggregation: Election Cycle vs. Per Election
     surer’s Best Efforts” regarding steps that must be
     taken to obtain information about contributors.           Note that authorized committees must aggregate
                                                               contributions on a per-election basis when moni-
                                                               toring contribution limits. See Chapter 4. For pur-
                                                               poses of reporting, however, committees aggregate
     5. When to itemize receipts                               contributions and other receipts on an election-
                                                               cycle basis, as explained in the next paragraphs.
     Some receipts must be itemized regardless of
     their amount, while others need not be item-              Election Cycle
     ized until their aggregate election-cycle-to-date         An election cycle begins the day after the general
     total exceeds a threshold dollar value. These             election for a seat or office and ends on the day
     concepts are further explained below.                     of the next general election for that seat or office.
                                                               100.3(b). The length of the election cycle, thus,
     Regardless of Amount                                      depends on the office sought. The election cycle
     Within the following four categories of receipts          is two years for House candidates, four years for
     listed on the Detailed Summary Page, every                Presidential candidates and six years for Senate
     receipt must be itemized regardless of amount:            candidates. For example, the election cycle for
                                                               a 2010 Senate candidate began on November 3,
       •	Contributions from party committees and orga-         2004 (the day after the previous general election),
         nizations (including those that do not qualify as     and will end on November 2, 2010 (the day of the
         political committees under the Act) (Line 11(b));     general election). On the other hand, the elec-
       •	Contributions from other political commit-            tion cycle for 2010 House candidates will begin
         tees and organizations (including committees          on November 5, 2008 (the day after the 2008
         that are not registered with the FEC) (Line           general election), and will end on November 2,
         11(c). See example on previous page);                 2010 (the day of the 2010 general election).2
       •	Transfers from affiliated com-                        Example of Aggregation
         mittees (Line 12); and
                                                               Suppose an individual makes two con-
       •	Loans (Lines 13(a) and 13(b)).                        tributions to a principal campaign com-
     See 104.3(a)(4)(ii), (iii)(A) and (iv).                   mittee during an election cycle.

     Itemization Threshold Exceeded                            2     The election cycle for 2008 candidates will end on
                                                                     November 4, 2008. For 2008 House candidates, it
     Within the other categories, receipts from                      began on November 8, 2006, and for 2008 Senate
     each source must be itemized if they:                           candidates, it began on November 6, 2002.




90                                                                                                                CHAPTER 13
                                                                                                              Completing FEC Reports


                                                                                                                                                                                                       tee checks “General” in the
  AGGREGATION OF CONTRIBUTIONS                                                                                                                                                                         election designation box and
     SCHEDULE A (FEC Form 3)                                                              Us e s eparate s chedule(s )
                                                                                                                                   FOR LINE NUMB E R :
                                                                                                                                   (check only one)
                                                                                                                                                                       PAG E             OF
                                                                                                                                                                                                       reports the donor’s aggregate
     ITEMIZED RECEIPTS                                                                    for each category of the
                                                                                          Detailed S ummary P age
                                                                                                                                     x 11a            11b          11c              11d                election-cycle total as $260,
                                                                                                                                        12            13a          13b              14            15
      Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
      or for commerc ial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
                                                                                                                                                                                                       even though $75 applies to
          NAME OF C OMMITTE E (In Full)                                                                                                                                                                the primary and $185 to the
          Doe for Congress Committee                                                                                                                                                                   general. (See example at left.)
          Full Name (Las t, Firs t, Middle Initial)

     A.     Kane, Sally                                                                                                               Date of R eceipt
          Mailing Addres s                                                                                                              M     M   /       D    D   /        Y   Y    Y        Y

            211 Spruce Street                                                                                                            03                01                   2008

                                                                                                                                                                                                       6. reporting
          C ity                                                           S tate           Zip C ode
            Clifton                                                        VA             00000

                                                                                                                                                                                                       Contributions,
          FE C ID number of contributing
          federal political committee.                                   C                                                            Amount of E ach R eceipt this P eriod


                                                                                                                                                      ,                ,        185.00
                                                                                                                                                                                   .
                                                                                                                                                                                                       Loans and
          Name of E mployer                                            Occupation
             First National Bank                                         Banker
          R eceipt For:

                                                                                                                                                                                                       advances from
                                                                       E lection C ycle-to-Date                                              Limits Increas ed Due to Opponent’s
                  P rimary       x G eneral                                                                                                  S pending (2 U.S .C . §441a(i)/441a– 1)
                  Other (s pecify)
                                                                                      ,              ,          .
                                                                                                             260.00
          Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                      Date of R eceipt
                                                                                                                                                                                                       Candidate
     B.
          Mailing Addres s                                                                                                              M     M   /       D    D   /        Y   Y    Y        Y



  CONTRIBUTIONS FROM CANDIDATE’S PERSONAL FUNDS
          C ity                                                           S tate           Zip C ode                                                                                                   Contributions (including
     SCHEDULE A contributing
       FE C ID number of (FEC Form 3)
                                                                                                                                   FOR LINE NUMB E R :       PAG E          OF                         loans and advances) from the
                                                                         C                Us e s eparate s chedule(s )                Amount one)
                                                                                                                                   (check only of E ach R eceipt this P eriod
       federal political committee.
     ITEMIZED RECEIPTS                                                                    for each category of the
                                                                                          Detailed S ummary P age
                                                                                                                                        11a           11b          11c          x   11d                candidate must be reported
          Name of E mployer                                            Occupation                                                       12            ,13a         13b  ,           14    .       15
                                                                                                                                                                                                       by the campaign as follows:
      Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
      or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
         R eceipt For:                                     E lection C ycle-to-Date
                                                                                                                  Limits Increas ed Due to Opponent’s
         NAMEPOF C OMMITTE E G(In Full)
                 rimary
               Other (s pecify)
                                   eneral

                  Doe for Congress Committee                                          ,              ,
                                                                                                                  S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                                                                    .                                                                                  Contributions from Candidate
          Full Name (Las t, Firs t, Middle Initial)
          Full Name (Las t, Firs t, Middle Initial)
                  Doe, Jane                                                                                                           Date of R eceipt
                                                                                                                                                                                                       Personal funds contributed
     A.
     C.                                                                                                                               Date of R eceipt
          Mailing Addres s
          Mailing Addres s
                  626 Pritham Ave.
                                                                                                                                        M
                                                                                                                                        M
                                                                                                                                            02
                                                                                                                                              M
                                                                                                                                              M
                                                                                                                                                  /
                                                                                                                                                  /
                                                                                                                                                          D
                                                                                                                                                          D
                                                                                                                                                          10
                                                                                                                                                               D
                                                                                                                                                               D
                                                                                                                                                                   /
                                                                                                                                                                   /
                                                                                                                                                                            Y
                                                                                                                                                                            Y
                                                                                                                                                                                Y
                                                                                                                                                                                Y
                                                                                                                                                                                     Y
                                                                                                                                                                                     Y
                                                                                                                                                                                    2008
                                                                                                                                                                                              Y
                                                                                                                                                                                              Y        to the campaign are reported
          C ity
          C ity
                  Springfield
                                                                          S tate
                                                                          S tate
                                                                         VA
                                                                                           Zip C ode
                                                                                           Zip C ode
                                                                                              00000
                                                                                                                                                                                                       on Line 11(d) as contribu-
          FE C ID number of contributing
                                                                                                                                                                                                       tions from the candidate.
                                                                         C
                                                                         C
                                                                                                                                      Amount of E ach R eceipt this P eriod
                                                                                                                                      Amount of E ach R eceipt this P eriod
          federal political committee.
                                                                                                                                                                                1000.00                (See example at left.)
          Name of E mployer
          Name of E mployer                                            Occupation
                                                                       Occupation                                                                     ,,
                                                                                                                                                      ▲                ,,
                                                                                                                                                                       ▲           .
                                                                                                                                                                                   ▲      .
                  U.S. House                                                  U.S. Representative
          R eceipt For:
          R eceipt For:                                                E lection C ycle-to-Date
                                                                       E lection C ycle-to-Date ▼                                            Limits Increas ed Due to Opponent’ s                      Expenditures by Candidate
            x P rimary
                P rimary           G eneral
                                   G eneral                                                                                                  Limits Increas ed Due to Opponent’s
                                                                                                                                             S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                                                            2200.00                          S pending (2 U.S .C . §441a(i)/441a– 1)
                Other (s pecify)
                Other (s pecify) ▼                                                   ,
                                                                                     ,
                                                                                     ▲              ,
                                                                                                    ,
                                                                                                    ▲               .
                                                                                                                    .
                                                                                                                    ▲                                                             Campaign expenditures
          Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                      Date of R eceipt
                                                                                                                                                                                  made by the candidate from
     B.                                                                                                                                          ,           ,            .
            election age (optional) ............................................................................
primaryAddres eceipts This PContribution
   SUBTOTAL of R
    Mailing      s                                                                                                                      M     M   /       D    D   /        Y   Y personal funds that are not to
                                                                                                                                                                                     Y        Y


                                                                                                                                                 ,           ,            .
       TOTAL This P eriod (las t page this line number only) ...............................................................
        C ity
The donor contributes $75 just before the
                                                           S tate                 Zip C ode                                                        be reimbursed are reported as in-kind contribu-
candidate’s primary election. CBecause it is undes-
     FE 4AN016
      FE C ID number of contributing                                                                                                               tions from the candidate and reported like other
                                                                                                                                              FE C Schedule A (Form 3) (R evis ed 02/2003)
                                                                                                                                      Amount of E ach R eceipt this P eriod
      federal political committee.

ignated,ofthe contribution automatically applies                                                                                                   in-kind contributions. See “In-Kind Contributions”
      Name       E mployer                      Occupation                                                                                       ,
                                                                                                                                                 ▲           ,
                                                                                                                                                             ▲            .
                                                                                                                                                                          ▲
to the primary limit. The contribution does                                                                                                        later in this chapter for more information on
                                                                                                                                                   reporting these expenditures by candidates. If, on
      R eceipt For:                             E lection C ycle-to-Date
                                                                          ▼                                                               Limits Increas ed Due to Opponent’ s
                       $200 and
not exceedpecify) ▼ G eneral is his first contribution to
            P rimary                                                                                                                      S pending (2 U.S .C . §441a(i)/441a– 1)
            Other (s
                                                            ▲,           ,
                                                                         ▲  .
                                                                            ▲                                                                      the other hand, a personal expenditure by the
the candidate, so the committee includes the
      Full Name (Las t, Firs t, Middle Initial)
amount in its total of unitemized contributions                                                                                                    candidate is intended to be reimbursed, it is treated
                                                                                                                                      Date of R eceipt
   C.
      Mailing Addres s
(Line 11(a)(ii) on the Detailed Summary Page).
                                                                                                                                        M     M   /as an advance from the candidate for reporting
                                                                                                                                                          D    D   /        Y   Y    Y        Y


          C ity                                                           S tate           Zip C ode
                                                                                                                                                   purposes. See Section 11 on reporting advances.
           election Contribution
General number of contributing
   FE C ID
          federal political committee.
During the following reporting period, but after the
                                                                         C                                                                                 Loans from Candidate’s Personal Funds
                                                                                                                                      Amount of E ach R eceipt this P eriod

     Name of E mployer                                   Occupation                                                                                   ,
                                                                                                                                                      ▲                ,                  .
primary election, the same donor makes a $185                                                                                                         The ▲                  ▲
                                                                                                                                                                candidate may loan personal funds to the com-
     R eceipt For:
contribution. This contribution must be ▼itemized
           P rimary           G eneral
                                                         E lection C ycle-to-Date
                                                                                                                                                      mittee and may charge interest at a commercially
                                                                                                                                             Limits Increas ed Due to Opponent’ s
                                                                                                                                             S pending (2 U.S .C . §441a(i)/441a– 1)
since the aggregate total of the donor’s ▲
           Other (s pecify) ▼
                                                                           ▲,                  ,contribu-         ▲.                                  reasonable rate, provided the committee reports
tions for the election cycle ($260) now exceeds                                                                                                       the loan and the interest rate from the outset on
    SUBTOTAL of R eceipts This P age (optional) ............................................................................                       ▲,          ▲,            .
                                                                                                                                                                             ▲
                                                                                                                               ▼




the $200 threshold for itemization. When itemizing                                                                                                    Schedule C. The committee continues to report
    TOTAL This P eriod (las t page this line number only) ...............................................................                          ▲,          ▲,            .
                                                                                                                                                                             ▲
                                                                                                                               ▼




the $185 contribution on Schedule A, the commit-                                                                                                      the loan until it is repaid. Advisory Opinions (AOs)
     FE 4AN016                                                                                                                                FE C Schedule A (Form 3) (R evis ed 02/2003)



  CHAPTER 13                                                                                                                                                                                                                             91
                                               Campaign Guide for Congressional Candidates and Committees


     1997-21, 1991–9, 1986–45
     and 1977–58. See Section                                         JOINT CONTRIBUTIONS
     16 of this chapter, “Loans.”                                     SCHEDULE A (FEC Form 3)                                             Us e s eparate s chedule(s )
                                                                                                                                                                             FOR LINE NUMB E R :
                                                                                                                                                                             (check only one)
                                                                                                                                                                                                              PAG E            OF

                                                                                                                                          for each category of the
                                                                      ITEMIZED RECEIPTS                                                                                       x
     Bank Loans Obtained by
                                                                                                                                                                                  11a           11b       11c             11d
                                                                                                                                          Detailed S ummary P age
                                                                                                                                                                                  12            13a       13b             14        15

     Candidate for Campaign                                            Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                       or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

     Related Purposes                                                      NAME OF C OMMITTE E (In Full)

                                                                                   Doe for Congress Committee
     If a candidate obtains a bank                                         Full Name (Las t, Firs t, Middle Initial)

                                                                      A.           Bigshot, William
     loan for campaign-related                                             Mailing Addres s
                                                                                                                                                                                Date of R eceipt
                                                                                                                                                                                  M     M   /    D    D   /       Y   Y    Y    Y

                                                                                   555 8th Street                                                                                 03                 20                   2008
     purposes, the committee                                               C ity                                            S tate         Zip C ode
                                                                                   Herndon,� �                     �          VA           00000
     must report the loan from                                             FE C ID number of contributing
                                                                                                                            C                                                  Amount of E ach R eceipt this P eriod
     the candidate as a receipt and                                        federal political committee.
                                                                                                                                                                                                                      500.00
                                                                                                                                                                                                ,
                                                                                                                                                                                                ▲             ,
                                                                                                                                                                                                              ▲          .
                                                                                                                                                                                                                         ▲
     repayment of the loan to the                                          Name of E mployer
                                                                                   Bigshot and Co.
                                                                                                                           Occupation
                                                                                                                                Executive
     candidate as a disbursement                                           R eceipt For:
                                                                                   P rimary        x G eneral
                                                                                                                           E lection C ycle-to-Date
                                                                                                                                                      ▼                                Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                       S pending (2 U.S .C . §441a(i)/441a– 1)
     104.3(a)(3)(vii)(B) and (b)(2)                                                Other (s pecify) ▼
                                                                                                                                      ,
                                                                                                                                      ▲               ,
                                                                                                                                                      ▲
                                                                                                                                                           500.00
                                                                                                                                                                .
                                                                                                                                                                ▲
     (iii)(A) and 100.82(c). See                                           Full Name (Las t, Firs t, Middle Initial)

                                                                      B.           Bigshot, Lucy                                                                                Date of R eceipt
     also Sections 17 and 18.                                              Mailing Addres s                                                                                       M     M   /    D    D   /     Y     Y    Y    Y

                                                                                   555 8th Street                                                                                     03             20                   2008
                                                                           C ity                                            S tate         Zip C ode
     Contributions Intended                                                         Herndon,�                                VA             00000

     to be Loans                                                           FE C ID number of contributing
                                                                           federal political committee.                     C                                                   Amount of E ach R eceipt this P eriod



     Receipts that are intended              Name of E mployer                                                             Occupation                                                           ,
                                                                                                                                                                                                ▲             ,
                                                                                                                                                                                                              ▲          .
                                                                                                                                                                                                                      500.00
                                                                                                                                                                                                                        ▲
                                                   Wigs and More                                                             Store Owner
     as contributions (rather than           R eceipt For:
                                                   P rimary        x G eneral
                                                                                                                           E lection C ycle-to-Date
                                                                                                                                                      ▼                                Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                       S pending (2 U.S .C . §441a(i)/441a– 1)
     loans) from the candidate may                 Other (s pecify) ▼
                                                                                                                                      ,
                                                                                                                                      ▲               ,
                                                                                                                                                      ▲
                                                                                                                                                          500.00
                                                                                                                                                                .
                                                                                                                                                                ▲
     not later be converted into             Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                                Date of R eceipt
                                          C.
     loans. For that reason, the
                                                                                                                       7. reporting Joint
                                             Mailing Addres s                                                                                                                     M     M   /    D    D   /       Y   Y    Y    Y



     campaign should initially report such transactions
                                             C ity                                                                          S tate         Zip C ode

     as loans to be repaid. AOs 2006-37 andC 1997-21.
                                             FE ID number of contributing
                                                                                                                          Contributions3
                                                                           federal political committee.                     C                                                   Amount of E ach R eceipt this P eriod


     Last-Minute Contributions or Loans from Candidate                                  For purposes of reporting, a committee treats
                                                                           Name of E mployer      Occupation
                                                                                                                                                                            ▲,           ,
                                                                                                                                                                                         ▲            .
                                                                                                                                                                                                      ▲

                                               theFor:
                                                     candi- G eneral
     Note that contributions or loans fromR eceiptrimary
                                                  P
                                                                                        a joint contribution as thoughLimits Increas ed Due to Opponent’ s
                                                                                                  E lection C ycle-to-Date
                                                                                                                                         ▼                              the individuals
                                                                                                                                                                      S pending (2 U.S .C . §441a(i)/441a– 1)
     date of $1,000 or more, received less than 20 days
                                                  Other (s pecify) ▼
                                                                                        participating in, the contribution had made their
                                                                                                                    ▲,                 ▲                   ▲.
     but more than 48 hours before any election in                                      contributions separately, and itemizes them sepa-
                                                                                                                                                                            ,            ,            .
     which the candidate is running, must be reported                                   rately on Schedule A as required.▲(See ▲
                                             SUBTOTAL of R eceipts This P age (optional) ............................................................................
                                                                                                                                                                                        example       ▲
                                                                                                                                                                         ▼




                                                                                                                                                                            ,            ,            .
                                              12, “When                                 above.) 110.1(k)(1). For
     on a “48-Hour Notice.” (See ChapterTOTAL This P eriod (las t page this line number only) ............................................................... example, if a committee
                                                                                                                                                                            ▲           ▲             ▲
                                                                                                                                                                         ▼




     to Report,” “Last-Minute Contributions.”)                        FE 4AN016         receives a $300 check with two signatures but with                                              FE C Schedule A (Form 3) (R evis ed 02/2003)


                                                                                        no written attribution, the committee attributes the
     Contributions or Loans Exceeding $10,000                                           contribution equally between the donors—$150 to
     from a Candidate Who Has Triggered                                                 each contributor. (Note that the committee must
     Millionaires’ Amendment Provisions                                                 record each contribution according to the rules set
     If a candidate has made expenditures or loans                                      out in Chapter 11.) 110.1(k)(2). If neither contribu-
     that have triggered the Millionaires’ Amendment                                    tor has previously contributed to the committee
     threshold, any contribution or loan from the                                       during the year, the committee does not have to
     candidate in excess of $10,000 must be reported                                    itemize either contribution; nor does it have to
     within 24 hours using FEC Form 10 (or e-mail                                       itemize the $300 total joint contribution. If, on the
     with equivalent information). 400.22. See Chapter                                  other hand, the $300 check is accompanied by a
     12, “When to Report,” “Last-Minute Contribu-                                       signed statement attributing $250 to one individual
     tions,” and Appendix F, “Millionaires’ Amendment”                                  and $50 to the other, the $250 contribution must
     “Reporting and Notification” for more information.
                                                                                                                       3        See also Chapter 4 for more information
                                                                                                                                on joint contributions.



92                                                                                                                                                                                                                    CHAPTER 13
                                                                         Completing FEC Reports


be itemized. The $50 contribu-
tion is included in the total                          REDESIGNATIONS
of unitemized contributions                              SCHEDULE A (FEC Form 3)
                                                                                                                                                               FOR LINE NUMB E R :               PAG E            OF
                                                                                                                            Us e s eparate s chedule(s )       (check only one)
reported on Line 11(a)(ii) of                            ITEMIZED RECEIPTS                                                  for each category of the
                                                                                                                            Detailed S ummary P age
                                                                                                                                                                x   11a            11b       11c             11d

the Detailed Summary Page.4
                                                                                                                                                                    12             13a       13b             14           15
                                                         Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                         or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

                                                              NAME OF C OMMITTE E (In Full)

                                                                      Doe for Congress Committee

8. reporting                                             A.
                                                              Full Name (Las t, Firs t, Middle Initial)
                                                                      Bancroft, Carrie
                                                              Mailing Addres s
                                                                                                                                                                  Date of R eceipt


   redesignations
                                                                                                                                                                    M     M    /    D    D   /       Y   Y    Y       Y

                                                                      426 9th Street                                                                                12                 02                 2007
                                                              C ity                                           S tate         Zip C ode


   and                                                                Annandale
                                                              FE C ID number of contributing
                                                                                                             C
                                                                                                               VA                00000
                                                                                                                                                                              MEMO
                                                                                                                                                                 Amount of E ach R eceipt this P eriod

   reattributions5
                                                              federal political committee.

                                                                                                                                                                                   ,             ,       4600.00
                                                                                                                                                                                                             .
                                                              Name of E mployer                             Occupation                                                             ▲             ▲                ▲
                                                                      James & Smith                              Attorney                                                 See year-end report
                                                              R eceipt For:                                  E lection C ycle-to-Date
                                                                                                                                        ▼                                Limits Increas ed Due to Opponent’ s
                                                                 x    P rimary           G eneral                                                                        S pending (2 U.S .C . §441a(i)/441a– 1)


Receipt of Original
                                                                      Other (s pecify) ▼
                                                                                                                        ,
                                                                                                                        ▲               ,
                                                                                                                                        ▲   4600.00
                                                                                                                                               .
                                                                                                                                               ▲                              Redesignation below
                                                              Full Name (Las t, Firs t, Middle Initial)

Contribution                                             B.           Bancroft, Carrie
                                                              Mailing Addres s
                                                                                                                                                                  Date of R eceipt
                                                                                                                                                                    M     M    /    D    D   /     Y     Y    Y    Y

                                                                      426 9th Street                                                                                    01              15                   2008
When itemizing a contribution                                 C ity                                           S tate         Zip C ode
                                                                      Annandale                               VA                 00000
that must first be redesignated                               FE C ID number of contributing                                                                                       MEMO
                                                              federal political committee.                   C                                                    Amount of E ach R eceipt this P eriod
or reattributed before it is                                                                                                                                                                         -2300.00
                                                              Name of E mployer                             Occupation                                                             ,
                                                                                                                                                                                   ▲             ,
                                                                                                                                                                                                 ▲       .        ▲
legally acceptable, a commit-                                         James & Smith                              Attorney                                                Redesignated below
                                                              R eceipt For:
tee must include a statement                                     x P rimary            G eneral
                                                                                                             E lection C ycle-to-Date
                                                                                                                                        ▼                                Limits Increas ed Due to Opponent’ s
                                                                                                                                                                         S pending (2 U.S .C . §441a(i)/441a– 1)

on Schedule A noting that the                                       Other (s pecify) ▼
                                                                                                                        ,
                                                                                                                        ▲               ,
                                                                                                                                        ▲       .
                                                                                                                                            4600.00
                                                                                                                                               ▲

legality of the contribution                                  Full Name (Las t, Firs t, Middle Initial)

                                                                      Bancroft, Carrie                                                                            Date of R eceipt
                                                         C.
is in question.6 103.3(b)(5).                                 Mailing Addres s                                                                                      M

                                                                                                                                                                    01
                                                                                                                                                                          M    /    D

                                                                                                                                                                                       15
                                                                                                                                                                                         D   /       Y   Y

                                                                                                                                                                                                          2008
                                                                                                                                                                                                              Y       Y

                                                                      426 9th Street
                                                              C ity                                           S tate         Zip C ode
                                                                      Annandale                                VA                 00000
Receipt of                                                    FE C ID number of contributing
                                                              federal political committee.                   C
                                                                                                                                                                                   MEMO
                                                                                                                                                                  Amount of E ach R eceipt this P eriod


Redesignation or                                              Name of E mployer
                                                                      James & Smith
                                                                                                            Occupation

                                                                                                                 Attorney
                                                                                                                                                                                   ,
                                                                                                                                                                                   ▲             ,
                                                                                                                                                                                                 ▲
                                                                                                                                                                                                         2300.00
                                                                                                                                                                                                             .
                                                                                                                                                                                                             ▲

Reattribution                                                 R eceipt For:                                  E lection C ycle-to-Date
                                                                                                                                                                                   Redesignated
                                                                                                                                        ▼                                Limits Increas ed Due to Opponent’ s
                                                                    P rimary       x G eneral                                                                            S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                    Other (s pecify) ▼
                                                                                                                        ,
                                                                                                                        ▲               ,     .
                                                                                                                                        ▲ 4600.00
                                                                                                                                              ▲
A committee must also com-
ply with special procedures          SUBTOTAL of R eceipts This P age (optional) ............................................................................ ,
                                                                                                                                                              ▲ ▲ -------------
                                                                                                                                                                ,        .
                                                                                                                                                                         ▲
                                                                                                                                                           ▼




                                                  and                           the committee must disclose, as a memo -------------
when reporting the receipt of reattributions eriod (las t page this line number only) ...............................................................              entry,
                                     TOTAL This P                                                                                                             ,
                                                                                                                                                              ▲ ,
                                                                                                                                                                ▲        .
                                                                                                                                                                         ▲
                                                                                                                                                           ▼




redesignations of contributions that were originally                            information on both the original contribution and
itemized on previous reports. ( There is no need
                                                        FE 4AN016
                                                                                the redesignation or reattribution. The memo                                              FE C Schedule A (Form 3) (R evis ed 02/2003)



to report a reattribution or redesignation if the                               entry appears on a Schedule A for the category of
original contribution was not itemized.7) On the                                contribution involved. (For example, a reattribution
report covering the period during which the com-                                would appear with other itemized contributions on
mittee received the redesignation or reattribution,                             a Schedule A used for “Contributions from Individu-
                                                                                als/Persons Other Than Political Committees.”)
4      As explained in the Explanation and Justification to
       revised rules on contribution limits, prescribed                                                   The first part of the memo entry discloses all the
       April 8, 1987 (52 Fed. Reg. 760, January 9, 1987).                                                 information on the contribution as it was origi-
5      Redesignations and reattributions                                                                  nally reported on Schedule A. The second part
       are explained in Chapter 4.                                                                        of the memo entry discloses as a negative entry
6      This procedure applies to any contribution that                                                    the amount of the redesignation. The third part
       appears to be illegal or that is questionable.                                                     discloses information on the contribution as it was
7      As explained in the Explanation and Justification to                                               redesignated or reattributed, including the date
       revised rules on contribution limits, prescribed                                                   the redesignation or reattribution was received
       April 8, 1987 (52 Fed. Reg. 760, January 9, 1987).                                                 and, in the case of a redesignation, the election


 CHAPTER 13                                                                                                                                                                                                                    93
                             Campaign Guide for Congressional Candidates and Committees


     for which the contribution
     was redesignated. 104.8(d)          REATTRIBUTIONS
     (2) and (3). (See examples at       SCHEDULE A (FEC Form 3)
                                                                                                                                                                          FOR LINE NUMB E R :              PAG E            OF
                                                                                                                               Us e s eparate s chedule(s )               (check only one)
     right and on previous page.)        ITEMIZED RECEIPTS                                                                     for each category of the
                                                                                                                               Detailed S ummary P age
                                                                                                                                                                           x   11a           11b       11c             11d
                                                                                                                                                                               12            13a       13b             14           15
                                          Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions


     Refund of Excessive
                                          or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

                                              NAME OF C OMMITTE E (In Full)


     Portion                                          Doe for Congress Committee
                                              Full Name (Las t, Firs t, Middle Initial)

                                         A.           Richmond, Howard                                                                                                       Date of R eceipt
     If a committee requests a                Mailing Addres s                                                                                                                 M     M   /    D    D   /       Y   Y    Y       Y

                                                      40 Shepherd Circle                                                                                                       12                09                2007
     redesignation or reattribution           C ity                                                            S tate            Zip C ode
                                                      Centreville                                             VA                     00000
     but does not receive it within           FE C ID number of contributing
                                                                                                                                                                                         MEMO
                                                                                                              C                                                              Amount of E ach R eceipt this P eriod
     60 days of the contribution’s            federal political committee.
                                                                                                                                                                                                                   4600.00
                                              Name of E mployer                                              Occupation                                                                      ,
                                                                                                                                                                                             ▲             ,
                                                                                                                                                                                                           ▲           .    ▲
     receipt, the committee must                      Space Tech                                                  Engineer                                                          See Year End 2007
     refund the excessive portion             R eceipt For:
                                                      P rimary      x G eneral
                                                                                                             E lection C ycle-to-Date
                                                                                                                                             ▼                                      Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                    S pending (2 U.S .C . §441a(i)/441a– 1)

     of the contribution within 60                                                                                         ,               ▲ 4600.00
                                                                                                                                           ,     .
                                                      Other (s pecify) ▼
                                                                                                                           ▲                    ▲                                   Reattribution below
     days of the treasurer’s receipt          Full Name (Las t, Firs t, Middle Initial)
                                                      Richmond, Howard                                                                                                       Date of R eceipt
                                         B.
     of the contribution and disclose         Mailing Addres s
                                                      40 Shepherd Circle
                                                                                                                                                                               M     M   /    D    D   /     Y     Y    Y    Y

                                                                                                                                                                               02                01                2008
     the refund on its next report            C ity                                                            S tate            Zip C ode
                                                      Centreville                                               VA                   00000
     (see section 19 of this chapter).        FE C ID number of contributing
                                                                                                                                                                                     MEMO
                                              federal political committee.                                    C                                                              Amount of E ach R eceipt this P eriod
     103.3(b)(3) and 104.8(d)(4).                                                                                                                                                                              -2300.00
                                              Name of E mployer                                              Occupation                                                                      ,
                                                                                                                                                                                             ▲             ,
                                                                                                                                                                                                           ▲       .        ▲
                                                      Space Tech                                                  Engineer                                                          Reattributed below
                                              R eceipt For:                                                  E lection C ycle-to-Date
                                                                                                                                             ▼                                      Limits Increas ed Due to Opponent’ s
                                                    P rimary      x G eneral                                                                                                        S pending (2 U.S .C . §441a(i)/441a– 1)

     9. reporting
                                                    Other (s pecify) ▼
                                                                                                                           ,               ,      2300.00
                                                                                                                                                      .
                                                                                                                           ▲               ▲              ▲
                                              Full Name (Las t, Firs t, Middle Initial)

        Free Legal and                   C.           Richmond, Jessie
                                              Mailing Addres s
                                                                                                                                                                             Date of R eceipt

                                                                                                                                                                               M     M   /    D    D   /       Y   Y    Y       Y



        accounting                                    40 Shepherd Circle                                                                                                           02             01                   2008
                                              C ity                                                            S tate            Zip C ode
                                                      Centreville                                               VA                     00000
        Services                              FE C ID number of contributing
                                              federal political committee.                                    C
                                                                                                                                                                                    MEMO
                                                                                                                                                                             Amount of E ach R eceipt this P eriod

                                              Name of E mployer                                              Occupation                                                                      ,
                                                                                                                                                                                             ▲             ,
                                                                                                                                                                                                           ▲
                                                                                                                                                                                                                   2300.00
                                                                                                                                                                                                                       .
                                                                                                                                                                                                                       ▲
     An authorized committee                          None
                                              R eceipt For:
                                                                                                               Homemaker
                                                                                                             E lection C ycle-to-Date
                                                                                                                                                                                   Reattributed
                                                                                                                                             ▼
     may receive free legal and
                                                                                                                                                                                    Limits Increas ed Due to Opponent’ s
                                                    P rimary      x G eneral                                                                                                        S pending (2 U.S .C . §441a(i)/441a– 1)
                                                    Other (s pecify) ▼
                                                                                                                           ,               ,     2300.00
                                                                                                                                                     .
                                                                                                                           ▲               ▲              ▲
     accounting services provided
     solely to help the committee          SUBTOTAL of R eceipts This P age (optional) ............................................................................                          ,
                                                                                                                                                                                             ▲             ▲ -------------
                                                                                                                                                                                                           , -----------
                                                                                                                                                                                                                    .
                                                                                                                                                                                                                    ▲
                                                                                                                                                                      ▼




     comply with the Federal Elec-       FREE LEGAL AND ACCOUNTING SERVICES
                                           TOTAL This P eriod (las t page this line number only) ...............................................................                             ,
                                                                                                                                                                                             ▲             , -----------
                                                                                                                                                                                                           ▲ -------------
                                                                                                                                                                                                                   ▲.
                                                                                                                                                                      ▼




     tion Campaign Act, as explained
                                                                                                                                                                                                 PAG           OF
                                                                                                                                                                          FOR LINE NUMB E R : A (FormE3) (R evis ed 02/2003)
     in Chapter 7. If the value of       SCHEDULE A (FEC Form 3)                                                                                                                  FE C Schedule
                                         FE 4AN016
                                                                                                                               Us e s eparate s chedule(s )               (check only one)
                                                                                                                               for each category of the
                                         ITEMIZED RECEIPTS                                                                                                                     11a           11b       11c             11d
     services paid for by one person                                                                                           Detailed S ummary P age
                                                                                                                                                                               12            13a       13b             14           15

     (the employer) exceeds $200          Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                          or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

     or aggregates over $200 during           NAME OF C OMMITTE E (In Full)

                                                      Doe for Congress Committee
     an election cycle, the commit-           Full Name (Las t, Firs t, Middle Initial)

     tee must itemize the following      A.           Thomason, Steve
                                              Mailing Addres s
                                                                                                                                                                             Date of R eceipt
                                                                                                                                                                               M     M   /    D    D   /       Y   Y    Y       Y

     information as a memo entry              C ity
                                                      145 Netherton Road
                                                                                                               S tate            Zip C ode
                                                                                                                                                                               02                19                2008

     on a separate Schedule A:                        Tysons Corner                                             VA                   00000
                                                                                                                                                                                    MEMO
                                              FE C ID number of contributing
                                                                                                              C                                                              Amount of E ach R eceipt this P eriod
       •	The name of each                     federal political committee.
                                                                                                                                                                                                                   3000.00
                                                                                                                                                                                             ,
                                                                                                                                                                                             ▲             ,
                                                                                                                                                                                                           ▲          ▲.
         employee perform-                    Name of E mployer
                                                      Peirce, James & Dewey
                                                                                                             Occupation
                                                                                                                  Accountant                                                         Exempt accounting
                                                                                                                                                                                     services
         ing the services;                    R eceipt For:
                                                x P rimary             G eneral
                                                                                                             E lection C ycle-to-Date
                                                                                                                                             ▼                                      Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                    S pending (2 U.S .C . §441a(i)/441a– 1)
                                                    Other (s pecify) ▼
                                                                                                                           ,               ,      3000.00
                                                                                                                                                      .
       •	The name and address of                                                                                           ▲               ▲              ▲
                                              Full Name (Las t, Firs t, Middle Initial)
         the employer of the person      B.
                                                                                                                                                                             Date of R eceipt

         providing the services;              Mailing Addres s                                                                                                                 M     M   /    D    D   /     Y     Y    Y    Y



                                              C ity                                                            S tate            Zip C ode


                                              FE C ID number of contributing
                                              federal political committee.                                    C                                                              Amount of E ach R eceipt this P eriod


94                                            Name of E mployer                                              Occupation                                                                      ,
                                                                                                                                                                                             ▲             ,
                                                                                                                                                                                                           ▲
                                                                                                                                                                                                                    CHAPTER 13
                                                                                                                                                                                                                     ▲.
                                                                                    Completing FEC Reports


    •	The amounts paid
      for the services by                                        IN-KIND CONTRIBUTIONS (SCHEDULE A)
      the employer; and                                            SCHEDULE A (FEC Form 3)                                                             Us e s eparate s chedule(s )
                                                                                                                                                                                                 FOR LINE NUMB E R :
                                                                                                                                                                                                 (check only one)
                                                                                                                                                                                                                                              PAG E                OF

                                                                                                                                                       for each category of the
                                                                   ITEMIZED RECEIPTS                                                                                                              �               �                  X
    •	The dates the services
                                                                                                                                                                                                      11a                   11b           11c                11d
                                                                                                                                                       Detailed S ummary P age
                                                                                                                                                                                                      12                    13a           13b                14             15

      were performed. 100.86                                        Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                    or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

      and 104.3(h). The Sched-                                          NAME OF C OMMITTE E (In Full)


      ule A should be clearly                                                   Doe for Congress Committee
                                                                        Full Name (Las t, Firs t, Middle Initial)

      labeled as exempt legal or                                   A.           Gold Nugget Corporation PAC
                                                                        Mailing Addres s
                                                                                                                                                                                                    Date of R eceipt
                                                                                                                                                                                                      M       M     /        D      D     /        Y    Y     Y     Y

      accounting services. (See                                         C ity
                                                                                100 Commerce Ave.
                                                                                                                                       S tate            Zip C ode
                                                                                                                                                                                                      02                        20                      2008
      example on previous page.)                                                  Springfield                                         VA                       00000
                                                                        FE C ID number of contributing
                                                                        federal political committee.                                  C 00000000                                                   Amount of E ach R eceipt this P eriod


                                                                        Name of E mployer                                            Occupation                                                                             ,
                                                                                                                                                                                                                            ▲                  ,
                                                                                                                                                                                                                                               ▲
                                                                                                                                                                                                                                                            260.00
                                                                                                                                                                                                                                                              .
                                                                                                                                                                                                                                                              ▲

10. reporting                                                           R eceipt For:
                                                                          x     P rimary           G eneral
                                                                                                                                     E lection C ycle-to-Date
                                                                                                                                                                    ▼
                                                                                                                                                                                                                        In-kind
                                                                                                                                                                                                           Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                                           S pending (2 U.S .C . §441a(i)/441a– 1)

  in-Kind                                                                       Other (s pecify) ▼
                                                                                                                                                   ,
                                                                                                                                                   ▲              ,
                                                                                                                                                                  ▲
                                                                                                                                                                      1260.00
                                                                                                                                                                           .     ▲


  Contributions
                                                                        Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                                                    Date of R eceipt
                                                                   B.
                                                                        Mailing Addres s

                                                                 IN-KIND CONTRIBUTIONS (SCHEDULE B)
                                                                                                                                                                                                      M       M     /        D      D     /       Y     Y     Y     Y



                                                                        C ity                                                          S tate            Zip C ode



Schedules A and B
                                                                                                                                                                                                                         PAG E         OF
                                                                     FE C ID number of (FEC Form 3)
                                                                   SCHEDULE B contributing                                                            Us e s eparate s chedule(s )
                                                                                                                                                                                             FOR LINE NUMB E R :
                                                                                                                                                                                             (check only one)
                                                                   ITEMIZED DISBURSEMENTS
                                                                     federal political committee.                                     C               for each category of the
                                                                                                                                                                                                  Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                          x   17                     18                  19a                19b
                                                                                                                                                      Detailed S ummary P age

When determining whether                  Name of E mployer                                 Occupation                                                                     ▲,           ▲,            .
                                                                                                                                                                                                      ▲
                                                                                                                                                                                                              20a                    20b                 20c                21
                                       Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                       or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
to itemize an in-kind contribu-           R eceipt For:
                                           NAME OF C OMMITTE E (In Full)
                                                  P rimary            G eneral
                                                                                            E lection C ycle-to-Date
                                                                                                                                   ▼                                Limits Increas ed Due to Opponent’ s
                                                                                                                                                                    S pending (2 U.S .C . §441a(i)/441a– 1)
tion, a committee should treat                    Other (s pecify) ▼
                                            Doe for Congress Committee                                        ▲,                 ▲,                  ▲.
it the same as a monetary             A.
                                           Full Name (Las t, Firs t, Middle Initial)
                                          Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                Date of Dis burs ement
                                                                                                                                                                Date of R eceipt
                                      C. Gold Nugget Corporation PAC
contribution. The only differ-            Mailing Addres s
                                           Mailing Addres s                                                                                                       02            20            2008
                                                                                                                                                                                                      M
                                                                                                                                                                                                      M
                                                                                                                                                                                                              M
                                                                                                                                                                                                              M     /
                                                                                                                                                                                                                        /
                                                                                                                                                                                                                             D
                                                                                                                                                                                                                              D
                                                                                                                                                                                                                                    D
                                                                                                                                                                                                                                     D
                                                                                                                                                                                                                                          /
                                                                                                                                                                                                                                              /
                                                                                                                                                                                                                                                   Y
                                                                                                                                                                                                                                                    Y
                                                                                                                                                                                                                                                        Y
                                                                                                                                                                                                                                                         Y
                                                                                                                                                                                                                                                              Y
                                                                                                                                                                                                                                                               Y
                                                                                                                                                                                                                                                                    Y
                                                                                                                                                                                                                                                                     Y




ence is that the amount of an               100 Commerce Ave.
                                          C ity
                                           C ity
                                                                                               S tate
                                                                                                S tate
                                                                                                                     Zip C ode
                                                                                                                      Zip C ode                                 Amount of E ach Dis burs ement this P eriod
in-kind contribution must also                Springfield                                 VA                            00000
                                          FE C ID e of Dis burscontributing
                                           P urpos number of ement
                                                                                              C                                                                 Amount of ▲  ,          ▲ , 260.00    ▲.
be included in the committee’s            federal political committee.                                                                                                      E ach R eceipt this P eriod
                                               In-kind: Postage
                                           C andidate Name
total operating expenditures              Name of E mployer                                 Occupation                                             C ategory/
                                                                                                                                                        Type              R▲
                                                                                                                                                                            ,           ▲,            .
                                                                                                                                                                                                      ▲
                                                                                                                                                                            efund or Dis pos al of E xces s
                                           Office S ought:              Hous e        Dis burs ement For:                                                                  C ontributions R equired Under
in order to avoid inflating               R eceipt For:
                                                  P rimary
                                                                       S enate
                                                                      G eneral
                                                                                            E
                                                                                            xlection C ycle-to-Dateeneral
                                                                                                 P rimary                     G ▼                                         11 C .F.R . 400.53
                                                                                                                                                                    Limits Increas ed Due to Opponent’ s
                                                                                                 Other (s pecify) ▼                                                 S pending (2 U.S .C . §441a(i)/441a– 1)
cash on hand. An in-kind
                                                                       P res ident
                                           S tate:
                                                  Other (s pecify) ▼
                                                                Dis trict:                                    ▲,                 ▲,                  ▲.
contribution must be itemized
                                           Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                Date of Dis burs ement
                                      B.
                                                                                                                                                                            ,            ,            .
                                                                                      Reporting Appreciated ▲ ▲ ▲
                                                                                                                                                                           ▲            ▲            ▲
as an operating expenditure            SUBTOTAL of R eceipts This P age (optional) ............................................................................
                                                                                                                                                                                             ▼




                                                                                                                                                                                                      M       M         /       D   D         /    Y    Y      Y        Y
                                           Mailing Addres s

on Schedule B only if it has to be itemized as a
                                       TOTAL This P eriod (las t page this line number only) ...............................................................                ,            ,            .
                                                                                                                                                                                             ▼




                                           C ity

contribution on Schedule A. (For information burs ement            FE 4AN016
                                                                                      Goods as Contributions of E ach Disbursement this P eriod
                                                                                                S tate                Zip C ode
                                                                                                                                                                Amount
                                                                                                                                                                                                              FE C Schedule A (Form 3) (R evis ed 02/2003)
                                           P urpos e of Dis
                                                                                                                                                                           ▲ ,          ▲ ,           ▲.
on how to value an in-kind contribution, see
                                           C andidate Name
                                                                                      When a committee receives an in-kind contribu-
                                                                                                                                                   C ategory/
Chapter 3, Section 2.) (See examples above.)                                          tion whose value may appreciate efund or Distime,Esuch            Type
                                                                                                                                                                          R over pos al of xces s
                                           Office S ought:              Hous e        Dis burs ement For:
                                                                       S enate        as stock   P rimary or artwork, special reporting rules apply:
                                                                                                                              G eneral
                                                                                                                                                                          C ontributions R equired Under
                                                                                                                                                                          11 C .F.R . 400.53


Advances of Personal Funds
                                                                                                       P res ident                       Other (s pecify) ▼
                                                                        S tate:                 Dis trict:
                                                                        Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                     •	Itemize the initial gift, if necessary, as a memo
Although an advance of personal funds by                           C.                                                                    entry on Schedule A (see “When to Itemize
                                                                                                                                                                               Date of Dis burs ement


                                                                                                                                         Receipts,” above). Under “Amount,” report
                                                                                                                                                                                                      M       M     /           D   D      /       Y    Y      Y        Y


an individual to purchase goods and services
                                         Mailing Addres s


                                                                                                                                                  fair                          the contribution
                                                                                                                                  S tate theZip C ode market value ofAmount of E ach Dis burs ement this P eriod
(with the exception of some travel costs) is
                                         C ity


considered an in-kind contribution, special
                                         P urpos e of Dis burs ement                                                                     on the date the item was received.▲ not         ▲ ,           ,Do ▲     .
reporting rules apply if it is to be reimbursed.
                                         C andidate Name                                                                                 include that amount in the total for Line
                                                                                                                                                                    C ategory/

                                                                                                                                         11(a)(i) on the Detailed SummaryDis pos al of EUnders        Page. xces No
                                                                                                                                                                       Type
                                                                                                                                                                                        R efund or
For more information, see the next sections
                                         Office S ought:             Hous e                                                   Dis burs ement For:                                        C ontributions R equired


on reporting advances and travel expenses.
                                                                    S enate
                                                                    P res ident
                                                                                                                                         itemization on Schedule B is necessary.
                                                                                                                                         P rimary
                                                                                                                                         Other (s pecify)
                                                                                                                                                          ▼
                                                                                                                                                           G eneral                     11 C .F.R . 400.53

                                         S tate:             Dis trict:
                                                                                                                       •	Once the item is sold, report the sale price as
                                                                                                                           a contribution on Line 11(a)(i) if the purchaser
                                                                      SUBTOTAL of Dis burs ements This P age (optional) ..................................................................  ,
                                                                                                                                                                                            ▲ ,
                                                                                                                                                                                              ▲    .
                                                                                                                                                                                                   ▲
                                                                                                                                                                                             ▼




                                                                                                                           is known or as an “other receipt” on
                                                                      TOTAL This P eriod (las t page this line number only) ............................................................... ,
                                                                                                                                                                                            ▲ ,    .
                                                                                                                                                                                              ▲ Line 15 if
                                                                                                                                                                                                   ▲
                                                                                                                                                                                             ▼




                                                                   FE 4AN016                                                                                                                                  FE C Schedule B (Form 3) (R evis ed 02/2003)




 CHAPTER 13                                                                                                                                                                                                                                                                       95
                                             Campaign Guide for Congressional Candidates and Committees


         the purchaser is unknown.
         Itemize the transaction on                               APPRECIATED GOODS AS CONTRIBUTIONS
         Schedule A if necessary.                                   SCHEDULE A (FEC Form 3)                                                                    Us e s eparate s chedule(s )
                                                                                                                                                                                                     FOR LINE NUMB E R :
                                                                                                                                                                                                     (check only one)
                                                                                                                                                                                                                                                   PAG E              OF


         (See examples at right.)
                                                                                                                                                               for each category of the
                                                                    ITEMIZED RECEIPTS                                                                          Detailed S ummary P age
                                                                                                                                                                                                       x 11a                  11b          11c                  11d
                                                                                                                                                                                                           12                 13a          13b                  14            15

         Also, if the purchaser is                                   Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                     or for commerc ial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
         known, then the amount                                          NAME OF C OMMITTE E (In Full)

         of the purchase, when                                           Doe for Congress Committee
                                                                         Full Name (Las t, Firs t, Middle Initial)
         aggregated with other                                      A.     Kane, Sally                                                                                                                    Date of R eceipt
                                                                         Mailing Addres s
         contributions by the                                               211 Spruce Street
                                                                                                                                                                                                           M
                                                                                                                                                                                                               03
                                                                                                                                                                                                                 M       /        D    D
                                                                                                                                                                                                                                      01
                                                                                                                                                                                                                                               /        Y   Y    Y
                                                                                                                                                                                                                                                                2008
                                                                                                                                                                                                                                                                          Y



                                                                         C ity                                                               S tate              Zip C ode
         purchaser, must fall within                                        Clifton                                                           VA                00000
         the contribution limits.                                        FE C ID number of contributing
                                                                         federal political committee.                                       C                                                           Amount of E ach R eceipt this P eriod


                                                                                                                                                                                                                             ,                     ,        185.00
                                                                                                                                                                                                                                                               .
     104.13(b). See also AO 1989–6.                                      Name of E mployer                                                Occupation
                                                                            First National Bank                                             Banker
                                                                         R eceipt For:                                                     E lection C ycle-to-Date                                              Limits Increas ed Due to Opponent’s
                                                                                  P rimary       x G eneral                                                                                                      S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                                  Other (s pecify)
                                                                                                                                                          ,               ,          .
                                                                                                                                                                                  260.00

     11. reporting                                                  B.
                                                                         Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                                                          Date of R eceipt


       reimbursed                                                        Mailing Addres s                                                                                                                  M     M    /           D    D   /            Y   Y    Y        Y



                                                                  SALE OF APPRECIATED GOODS AS CONTRIBUTIONS
       advances of
                                                                         C ity                                                               S tate              Zip C ode


                                                                                                                                                                                                     FOR LINE NUMB E R :      PAG E         OF
                                                                       FE C ID number of (FEC Form 3)
                                                                    SCHEDULE A contributing
       personal Funds                                                  federal political committee.
                                                                    ITEMIZED RECEIPTS
                                                                                                                                            C                  Us e s eparate s chedule(s )
                                                                                                                                                               for each category of the
                                                                                                                                                               Detailed S ummary P age
                                                                                                                                                                                                     (check only one)ach R eceipt this P eriod
                                                                                                                                                                                                      �
                                                                                                                                                                                                         Amount of E
                                                                                                                                                                                                           11a       �       11b
                                                                                                                                                                                                                             ,
                                                                                                                                                                                                                                       �   11c
                                                                                                                                                                                                                                                    ,
                                                                                                                                                                                                                                                                11d
                                                                                                                                                                                                                                                                      .
       (non-travel)
                                                                         Name of E mployer                                                Occupation                                                  �    12        �       13a       �   13b              �   14         X�15    �   �
                                                                     Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                     or for commerc ial purpos es , other than us ing the name andCaddres s of any political committee to s olicit contributions from s uch committee.
                                                                         R eceipt For:                                     E lection ycle-to-Date
                                                                                                                                                                                  Limits Increas ed Due to Opponent’s
                                                                                 rimary
                                                                        NAME POF C OMMITTE E G eneral
                                                                                                 (In Full)                                                                        S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                               Other (s pecify)
                                                                                                                                                          ,               ,               .
     As explained in Chapter 7 and                                               Doe for Congress Committee
                                                                         Full Name (Las t, Firs t, Middle Initial)
                                                                         Full Name (Las t, Firs t, Middle Initial)
     in the previous section, when                                  A.
                                                                    C.
                                                                                 Bull Market Brokerage                                                                                                  Date of R eceipt
                                                                                                                                                                                                        Date of R eceipt
                                                                         Mailing Addres ss
                                                                         Mailing Addres
     any individual, including a volun-
                                                                                                                                                                                                           M
                                                                                                                                                                                                           M     M
                                                                                                                                                                                                                 M   //           D
                                                                                                                                                                                                                                  D    D
                                                                                                                                                                                                                                       D   //           Y
                                                                                                                                                                                                                                                        Y   Y
                                                                                                                                                                                                                                                            Y    Y
                                                                                                                                                                                                                                                                 Y        Y
                                                                                                                                                                                                                                                                          Y
                                                                                 1212           King Street                                                                                                03                     31                            2008
                                                                         C ity
                                                                         C ity                                                              S tate
                                                                                                                                            S tate              Zip C ode
                                                                                                                                                                Zip C ode
     teer, a committee staff member                                              Alexandria                                                VA                      00000
     or the candidate, uses his or                                        FE C ID number of contributing
                                                                         FE C ID number of contributing
                                                                          federal political committee.
                                                                         federal political committee.                                      C
                                                                                                                                           C                                                            Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                        Amount of E ach R eceipt this P eriod

     her personal funds or personal                                      Name of E mployer
                                                                         Name of E mployer                                                Occupation
                                                                                                                                          Occupation                                                                         ,,                    ,,           750.00
                                                                                                                                                                                                                                                                  .   .
                                                                                                                                                                                                       XYZ Corp stock sold through
     credit to pay a vendor for a                                        R eceipt For:
                                                                         R eceipt For:                                                    E lection C ycle-to-Date
                                                                                                                                          E lection C ycle-to-Date
                                                                                                                                                                                                       broker.Purchaser unknown.
                                                                                                                                                                                                                Limits Increas ed Due to Opponent’s
     campaign expense and is later                                             P rimary
                                                                                P rimary                G eneral
                                                                                                        G eneral
                                                                                                                                                                               750.00
                                                                                                                                                                                                                 Limits Increas ed Due to Opponent’s
                                                                                                                                                                                                                S pending (2 U.S .C . . §441a(i)/441a– 1)
                                                                                                                                                                                                                 S pending (2 U.S .C §441a(i)/441a– 1)
                                                                               Other (s pecify)
                                                                                Other (s pecify)                                                          ,,             ,,        ..
     reimbursed by the committee,                                        Full Name (Las t, Firs t, Middle Initial)
     special reporting rules apply.                                 B.SUBTOTAL     of R eceipts This P age (optional) ............................................................................
                                                                                                                                                                                                        Date of R eceipt
                                                                                                                                                                                                                             ,                     ,                  .
                                                                         Mailing Addres s
                                                                                                                           In that case, report the advance as a memo                                     M      M   /            D    D   /            Y   Y    Y        Y


                                                                       TOTAL This P eriod (las t page this line number only) ............................................................... , , .
                                                                                                                           entry contribution on Schedule A; and
     Non-Travel Advances Made
                                                                        C ity                                              S tate                 Zip C ode



                                                                                                                                                                          Amount as an operating
                                                                                                                                         •	Report the reimbursement of E ach R eceipt this P eriod               FE C Schedule A (Form 3) (R evis ed 02/2003)
                                                                    FE 4AN016
                                                                         FE C ID number of contributing

     and Reimbursed Within                                               federal political committee.

                                                                         Name of E mployer
                                                                                                                                           C
                                                                                                                                             expenditure and, if reimbursements to that per-
                                                                                                                                         Occupation                                  ,           ,            .
     Same Reporting Period                                               R eceipt For:
                                                                                                                                                    exceed
                                                                                                                                             sonC ycle-to-Date $200 in the election cycle, itemize
                                                                                                                                          E lection
                                                                                                                                                                              Limits Increas ed Due to Opponent’s

     Non-travel advances that are made and reimbursed
                                                                               P rimary                 G eneral
                                                                                                                                             it on Schedule B (with a cross-reference to1)the
                                                                                                                                                                              S pending (2 U.S .C . §441a(i)/441a–
                                                                               Other (s pecify)
                                                                                                                                                    ,         ,   .
     within the same reporting period are consideredt, Middle Initial)
                                          Full Name (Las t, Firs
                                                                                                                                             memo entry on Schedule A for the advance—
     contributions and must be reported as Addres s
                                        C. follows:
                                          Mailing
                                                                                                                                             if the advance was itemized). AO 1992-1.
                                                                                                                                                                          Date of R eceipt

                                                                                                                                                                                                           M     M   /            D    D   /            Y   Y    Y        Y




       •	Do not report the original advance unless, at                   C ity                                                              S tate              Zip C ode


         the end of the reporting period, theC amountcontributing
                                            FE ID number of
                                                                                      Non-Travel Advances Made
                                                                                      and Reimbursed in Different , .
                                                                                                  C
                                            federal political committee.                                                                                            Amount of E ach R eceipt this P eriod
         of previous contributions in the election
                                            Name of E mployer                                   Occupation                                                                    ,
         cycle from the person making the advance
                                            R eceipt For:                             Reporting Periods
                                                  P the
         plus the amount of the advance minusrimary
                                                                                                E lection C ycle-to-Date
                                                                    G eneral                                                                                           Limits Increas ed Due to Opponent’s


         amount of the reimbursement is greater
                                                  Other (s pecify)                    Non-travel advances. that are to be(2reimbursed1)in a
                                                                                                                   ,                  ,
                                                                                                                                                                       S pending    U.S .C . §441a(i)/441a–



         than $200 (i.e., previous contributions +                                    later reporting period must be reported as follows:
                                           SUBTOTAL of R eceipts This P age (optional) ............................................................................           ,           ,             .
         the advance - the reimbursement > $200).
                                                                      TOTAL This P eriod (las t page this line number only) ...............................................................                                  ,                     ,                  .
                                                                    FE 4AN016                                                                                                                                    FE C Schedule A (Form 3) (R evis ed 02/2003)




96                                                                                                                                                                                                                                                          CHAPTER 13
                                                     Completing FEC Reports


  •	Do not report the original
    advance unless, at the end     NONTRAVEL REIMBURSEMENTS
    of the reporting period         SCHEDULE B (FEC Form 3)                                                             Us e s eparate s chedule(s )
                                                                                                                                                                  FOR LINE NUMB E R :
                                                                                                                                                                  (check only one)
                                                                                                                                                                                                             PAG E              OF

    in which the advance            ITEMIZED DISBURSEMENTS                                                              for each category of the
                                                                                                                        Detailed S ummary P age
                                                                                                                                                                             x 17                  18                 19a               19b
                                                                                                                                                                                 20a               20b                20c               21
    was made, the amount of          Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                     or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
    previous contributions in            NAME OF C OMMITTE E (In Full)

    the election cycle from                      Doe for Congress Committee
    the person making the                Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                        Date of Dis burs ement
                                    A.
                                                 Lotze, Herman
    advance plus the amount              Mailing Addres s
                                                                                                                                                                         M
                                                                                                                                                                          01
                                                                                                                                                                                 M     /       D
                                                                                                                                                                                               20
                                                                                                                                                                                                   D     /        Y   Y
                                                                                                                                                                                                                      2008
                                                                                                                                                                                                                            Y       Y




    of the advance minus the             C ity
                                                 912 Geist Street
                                                                                                          S tate            Zip C ode                                   Amount of E ach Dis burs ement this P eriod
    amount of the reimburse-                     Springfield�                         �                     VA                 00000�
                                                                                                                                                                                                                          750.00
                                         P urpos e of Dis burs ement                                                                                                                       ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲              .
                                                                                                                                                                                                                            ▲
    ment is greater than $200                    Reimbursement for office supplies
                                         C andidate Name
    (i.e. previous contributions                                                                                                                   C ategory/
                                                                                                                                                      Type                             R efund or Dis pos al of E xces s
                                                                                              Dis burs ement For:                                                                      C ontributions R equired Under
    + the advance - the reim-
                                         Office S ought:                Hous e
                                                                                                                                                                                       11 C .F.R . 400.53
                                                                       S enate                        x     P rimary          G eneral

    bursement > $200). In that           S tate:            Dis trict:
                                                                       P res ident                          Other (s pecify) ▼


    case, report the advance             Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                        Date of Dis burs ement
                                    B.
    as a memo entry contri-
                                   NONTRAVEL STAFF ADVANCES MADE AND REIMBURSED IN
                                                                                                                                                                         M       M     /       D   D     /        Y   Y     Y       Y
                                         Mailing Addres s

    bution on Schedule A;
                                   DIFFERENT REPORTING PERIODS
                                         C ity                                                            S tate            Zip C ode
                                                                                                                                                                        Amount of E ach Dis burs ement this P eriod

  •	Report the amount of the             P urpos e of Dis burs ement
                                                                                                                                                                                           ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲
    advance outstanding at          SCHEDULE A (FEC Form 3)
                                      C andidate Name                                                                     Us e s eparate s chedule(s )
                                                                                                                                              C ategory/
                                                                                                                                                                     FOR LINE NUMB E R :
                                                                                                                                                                     (check only one)
                                                                                                                                                                                                             PAG E              OF


    the end of the reporting        ITEMIZED RECEIPTS
                                         Office S ought:    Dis burs ement For:
                                                                  Hous e
                                                                                                                          for each category of the
                                                                                                                                         x 11a R efund or Dis pos al of11d s
                                                                                                                          Detailed S ummary P age
                                                                                                                                             12
                                                                                                                                                 Type
                                                                                                                                                         11b       11c          E xces
                                                                                                                                                      C ontributions R equired Under 15
                                                                                                                                                         13a       13b         14
    period as a debt on Sched-                                    S enate
                                     Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e
                                                                  P other than us ing the name and(saddres s ▼ any political committee to s olicit contributions from s uch committee.
                                     or for commercial purpos es ,res ident
                                                                                             P rimary
                                                                                             Other pecify) of
                                                                                                              G eneral                                          . s oliciting contributions
                                                                                                                                                      11 C .F.Rof 400.53


    ule D if it exceeds $500            S tate:            Dis trict:
                                        NAME OF C OMMITTE E (In Full)
                                        Full Name (Las t, Firs t, Middle Initial)
    or has been outstanding         C.       Doe for Congress Committee                                                                    Date of Dis burs ement
                                         Full Name (Las t, Firs t, Middle Initial)
    for more than 60 days           A.
                                         Mailing Addres s Lisa
                                              Allen,
                                                                                                                                                                         M    M        /

                                                                                                                                                                        Date of R eceipt
                                                                                                                                                                                               D   D     /        Y   Y     Y       Y




    (see example at left); and
                                         Mailing Addres s                                                                                                                M       M     /       D   D     /        Y   Y     Y       Y
                                         C ity 828 Pine              Street                        S tate          Zip C ode                                             01          02             2008
                                                                                                                                                                        Amount of E ach Dis burs ement this P eriod
                                         C ity                                                            S tate            Zip C ode

  •	Report the reimburse-                P urpos e of Dis burs ement
                                               McLean                                                       VA                      00000
                                                                                                                                                                             MEMO ▲
                                                                                                                                                                                           ,                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲

    ment, once made, as an               FE C ID number
                                         C andidate Nameof contributing
                                         federal political committee.                                     C                                        C ategory/
                                                                                                                                                      Type
                                                                                                                                                                        Amount of E ach R eceipt this P eriod

                                                                                                                                                                                       R efund or Dis pos al of E xces s
                                                                                                                                                                                                             750.00
    operating expenditure and,           Office of E mployer
                                         Name S ought:                 Hous e
                                                                       S enate
                                                                                                      ement For:
                                                                                              Dis bursOccupation
                                                                                                            P rimary          G eneral
                                                                                                                                                                             ,         C▲  ,
                                                                                                                                                                             In-kind, printing, to be
                                                                                                                                                                                                      R      ,
                                                                                                                                                                                         ontributions▲ equired Under
                                                                                                                                                                                                                  ▲             .
                                                                                                                                                                                 11 C .F.R . 400.53
    if reimbursements to that            R eceipt For:                 P res ident                          Other (s pecify)
                                                                                                        E lection C ycle-to-Date
                                                                                                                             ▼ ▼
                                                                                                                                                                             reimbursed.
                                                                                                                                                                              Limits Increas ed Due to Opponent’ s
                                         S tate: P rimary
                                            x                    Dis trict:
    person exceed $200 in
                                                                        G eneral                                                                                              S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                                                                      ,              ▲1000.00
                                                                                                                                     ,     .
                                                  Other (s pecify) ▼
                                                                                                                      ▲                    ▲                                 See Schedule D
    the election cycle, itemize       SUBTOTAL of Dis burs ements This P age (optional) ..................................................................                                 ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲
                                                                                                                                                                 ▼




                                       Full Name (Las t, Firs t, Middle Initial)

    it on Schedule B (with a        SCHEDULE D (las(FEC this line number only) ...............................................................
                                     TOTAL This P eriod
                                    B.                  t page Form 3)                                                                                          (Us e s eparate R eceipt
                                                                                                                                                                         Date of
                                                                                                                                                                                   ▲       , PAG E
                                                                                                                                                                                               ▲           ▲ ,
                                                                                                                                                                                                            OF
                                                                                                                                                                                                                                .
                                                                                                                                                                 ▼




                                         Mailing Addres s                                                                                                         s chedule(s ) M / FOR LINE / NUMB E R : Y Y
                                    DEBTS AND OBLIGATIONS                                                                                                                 M           D   D      Y   Y

    cross-reference to the          Excluding Loans
                                    FE 4AN016
                                      C ity                                                               S tate            Zip C ode
                                                                                                                                                                    for each
                                                                                                                                                                                FE
                                                                                                                                                                                    (check only one)
                                                                                                                                                                                                             x 10
                                                                                                                                                                                                                  9
                                                                                                                                                                numbered line) C Schedule B (Form 3) (R evis ed 02/2003)

    memo entry on Schedule           NAME OF C OMMITTE E (In Full)

                                            C ID for Congress Committee
                                         FEDoe number of contributing
    A for the advance—if the             federal political committee.                                     C
                                          A. Full Name (Las t, Firs t, Middle Initial) of Debtor or C reditor
                                                                                                                                                                       Amount of E ach R eceipt this P eriod
                                                                                                                                                                     Nature of Debt (P urpos e):

    advance was itemized).               Name of E mployer                                             Occupation                                                              ▲
                                                                                                                                                                          Print Job -▲     ,
                                                                                                                                                                                           ▲                  ,                 .
                                            Allen, Lisa
                                                                                                                                                                          to be reimbursed.
(See examples at right.)                  eceipt Addres s
                                         RMailing For:
                                           828 Pine Street
                                                P rimary           G eneral
                                                                                                        E lection C ycle-to-Date
                                                                                                                                       ▼                                      Limits Increas ed Due to Opponent’ s
                                                                                                                                                                              S pending (2 U.S .C . §441a(i)/441a– 1)
See AO 1992-1.                                            State
                                          C ity Other (s pecify)                                                 Zip C ode
                                           McLean
                                                                 ▼
                                                                    VA                                              ▲,
                                                                                                                   00000             ,
                                                                                                                                     ▲               .
                                                                                                                                                     ▲
                                              Name (Las alance B eginning This P eriod
                                         FullOuts tandingt,BFirs t, Middle Initial)
                                                                                                                                                                        Date of R eceipt
                                    C.
                                         Mailing Addres s
                                                      ▲     ,             ,
                                                                          ▲             .
                                                                                      0.00
                                                                                       ▲                                                                                 M       M     /       D   D     /        Y   Y     Y       Y

                                                       Amount Incurred This P eriod                                      P ayment This P eriod                         Outs tanding B alance at C los e of This P eriod
                                         C ity                                                            S tate           Zip C ode
                                                            ,             ,        750.00
                                                                                      .                                 ,               ,           0.00
                                                                                                                                                      .                                    ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲
                                                                                                                                                                                                                      750.00
                                                                                                                                                                                                                        ▲.
                                                            ▲             ▲           ▲                                 ▲               ▲              ▲
                                         FE C ID number of contributing
                                          B . Full Name committee.                                        C
                                         federal political(Las t, Firs t, Middle Initial) of Debtor or C reditor                                                       Amount of E (P urpos e):
                                                                                                                                                                     Nature of Debt ach R eceipt this P eriod


                                         Name of E mployer                                             Occupation                                                                          ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲
                                          Mailing Addres s
                                         R eceipt For:                                                  E lection C ycle-to-Date
                                          C ity P rimary State                                                  Zip C ode        ▼                                            Limits Increas ed Due to Opponent’ s
                                                                       G eneral
                                                                                                                                                                              S pending (2 U.S .C . §441a(i)/441a– 1)
                                                  Other (s pecify) ▼
                                                                                                                      ,
                                                                                                                      ▲              ,
                                                                                                                                     ▲               .
                                                                                                                                                     ▲
                                             Outs tanding B alance B eginning This P eriod


                                      SUBTOTAL of R▲
                                                            , ▲           ▲,              .                                                                                                ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲
                                                                                                                                                                 ▼




                                                   eceipts This P age (optional) ............................................................................
                                               Amount Incurred This P eriod                                     P ayment This P eriod                                  Outs tanding B alance at C los e of This P eriod
                                      TOTAL This P eriod (las t page this line number only) ...............................................................                                ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲
                                                                                                                                                                 ▼




                                                            ,
                                                            ▲             ,
                                                                          ▲               .
                                                                                          ▲                             ,
                                                                                                                        ▲               ,
                                                                                                                                        ▲              .
                                                                                                                                                       ▲                                   ,
                                                                                                                                                                                           ▲                 ,
                                                                                                                                                                                                             ▲                  .
                                                                                                                                                                                                                                ▲

 CHAPTER 13                               C.
                                    FE 4AN016    Full Name (Las t, Firs t, Middle Initial) of Debtor or C reditor                                                    Nature of Debt (P urpos e):
                                                                                                                                                                            FE C Schedule A (Form 3) (R evis ed 02/2003)
                                                                                                                                                                                                                                              97
                             Campaign Guide for Congressional Candidates and Committees



     12. reporting travel expenses                           Travel Advances Not Reimbursed
                                                             Within 30 or 60 Days
     As explained in Chapter 10, when a commit-
     tee pays for its own travel expenses, it reports        Not Reimbursed Within Time Limit but
     the payment as an operating expenditure. In             Within Same Reporting Period
     certain situations, the payment may be made by          Travel advances that are not reimbursed
     a campaign traveler. In that case, no contribu-         within the appropriate 30 or 60 day time limit
     tion results if the individual is reimbursed by         (116.5(b)) but that are reimbursed within the
     the committee within certain time periods.              reporting period in which the advance is made
                                                             are considered in-kind contributions 100.93(i).
     Travel Expenses Reimbursed                              Such advances must be reported as follows:

     Within 30 or 60 Days                                      •	Report the original advance as a memo entry
                                                                 contribution on Schedule A if the total of
     As explained in Chapter 7, no contribution results          the advance plus any other contributions
     when the committee reimburses an individual for             made by the same person within the elec-
     travel expenses within the following time periods:          tion cycle, minus any reimbursements made
       •	If the individual paid with cash or a per-              in the reporting period, exceeds $200; and
         sonal check, within 30 days from the                  •	Report the reimbursement as an operating
         date the expense was incurred.                          expenditure and, if reimbursements to that
       •	If the individual paid with a credit card, within       person exceed $200 in the election cycle, item-
         60 days of the closing date on the credit card          ize it on Schedule B (with a cross-reference
         billing statement. 116.5(b). (See “Reimbursed           to the memo entry on Schedule A for the
         Travel Expenses” for more information.)                 advance—if the advance was itemized).

     Reimbursed Within Time Limit and                        Not Reimbursed Within Time Limit and
     in Same Reporting Period                                Not Within Same Reporting Period
     When the committee makes a reimbursement                Travel advances that are not reimbursed
     within these time limits, the committee reports         within the appropriate 30 or 60 day time limit
     the advance and reimbursement as follows:               (116.5(b)) and that are not reimbursed within
       •	The original advance is not reported; and           the reporting period in which the advance
                                                             was made must be reported as follows:
       •	The reimbursement is reported as an operat-
         ing expenditure on Line 17. AO 1992–1.                •	Report the original advance as a memo entry
                                                                 contribution on Schedule A if the total of
     Reimbursed Within Time Limit but                            the advance plus any other contributions
     in Later Reporting Period                                   made by the same person within the elec-
     Note that, if the reimbursement is made within              tion cycle, minus any reimbursements made
     the appropriate time limit but not within the               in the reporting period, exceeds $200;
     reporting period in which the advance was made,           •	Report the amount of the advance outstand-
     the committee must report the advance on                    ing at the end of the reporting period as a
     Schedule D as a debt if it exceeds $500. Once the           debt on Schedule D if it exceeds $500 or has
     reimbursement is actually made, the committee               been outstanding for more than 60 days; and
     reports it as an operating expenditure and item-          •	Report the reimbursement as an operating
     izes it on Schedule B if reimbursements to any              expenditure and, if reimbursements to that
     one person exceed $200 for the election cycle.              person exceed $200 in the election cycle, item-
                                                                 ize it on Schedule B (with a cross-reference
                                                                 to the memo entry on Schedule A for the
                                                                 advance—if the advance was itemized).


98                                                                                                     CHAPTER 13
                                             Completing FEC Reports



Special Rule for Reporting                                 For each category, a committee must disclose
                                                           the total for the current reporting period and
Reimbursements (for Travel                                 the election-cycle-to-date total. In addition to
and Subsistence Advances)                                  reporting these totals, a committee often has to
If the total amount reimbursed for a travel                itemize disbursements by providing supplemental
or subsistence expense is $500 or less, the                information on supporting Schedules B. 104.3(b)
committee should report the individual receiv-             (2) and (4). A committee must use a separate
ing the reimbursement as the payee. If the                 Schedule B for each category of disbursements
total amount exceeds $500 and payments to                  that must be itemized; the committee may not
any one vendor used for the expenses total                 mix different categories of disbursements on the
over $200 for the election cycle, additional               same schedule. Electronic filers must separately
information is required to achieve full disclo-            enter each disbursement when entering data in
sure. In this instance the committee must:                 order to correctly generate the report. Paper-
                                                           filing committees should complete the supporting
  •	Report the individual receiving reim-                  Schedules first so that they may transfer totals from
    bursement as payee; and                                these Schedules to the Detailed Summary Page.
  •	Report the payments aggregating over $200
    to any one vendor as memo entries on
    Schedule B. See AO 1996-20, footnote 3.                14. how to itemize
                                                              Disbursements
13. Categorizing Disbursements                             For each disbursement that must be itemized, the
                                                           committee must include the following information:
Like receipts, disbursements are divided
into several categories on the Detailed                      •	Name of payee;
Summary Page of Form 3.                                      •	Address of payee;
These categories are:                                        •	Purpose of disbursement (a brief descrip-
  •	Line 17, Operating Expenditures                            tion of why the disbursement was made);

  •	Line 18, Transfers to Other                              •	Date of disbursement; and
    Authorized Committees                                    •	Amount of disbursement.
  •	Line 19(a), Repayments of Loans Made                   104.3(b)(4) and 104.9.
    or Guaranteed by the Candidate
  •	Line 19(b), Repayments of All Other Loans              Purpose
  •	Line 19(c), Total Loan Repayments                      For reporting purposes, the “purpose” of disburse-
  •	Line 20(a), Refunds of Contribu-                       ment refers to a brief statement or description
    tions (made by) Individuals/Persons                    about the reason for the disbursement. The
    Other than Political Committees                        description must be sufficiently specific, when
                                                           considered within the context of the payee’s
  •	Line 20(b), Refunds of Contributions                   identity, to make the reason for the disbursement
    (made by) Political Party Committees                   clear. 104.3(b)(4)(i)(A) and (B). The Commission
  •	Line 20(c), Refunds of Contributions (made by)         has published a non-exhaustive list of accept-
    Other Political Committees (such as PACs)              able and unacceptable purpose descriptions at
  •	Line 20(d), Total Contribution Refunds                 http://www.fec.gov/law/policy.shtml#purpose.

  •	Line 21, Other Disbursements.




 CHAPTER 13                                                                                                        99
                                             Campaign Guide for Congressional Candidates and Committees



      Election Designation                                        OPERATING EXPENDITURES
      When itemizing a disbursement,                                                                                                                                                                                                   PAG E              OF
                                                                    SCHEDULE B (FEC Form 3)                                                                                                   FOR LINE NUMB E R :
      the committee does not need                                   ITEMIZED DISBURSEMENTS
                                                                                                                                                       Us e s eparate s chedule(s )
                                                                                                                                                       for each category of the
                                                                                                                                                                                              (check only one)
                                                                                                                                                                                                    x    17                  18                 19a               19b
      to check the box designating it                                                                                                                  Detailed S ummary P age
                                                                                                                                                                                                         20a                 20b                20c               21
                                                                     Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
      for a particular election (“pri-                               or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

      mary,” “general” or “other”),                                      NAME OF C OMMITTE E (In Full)

                                                                                 Doe for Congress Committee
      unless the entry relates to a                                      Full Name (Las t, Firs t, Middle Initial)

      contribution to another candi-                                A.
                                                                                 Quick Printing Inc.
                                                                                                                                                                                                  Date of Dis burs ement
                                                                                                                                                                                                    M    M     /        D    D     /        Y   Y     Y       Y


      date. In that case, the commit-                                    Mailing Addres s
                                                                                 567      4th Street
                                                                                                                                                                                                    01                      28                      2008

      tee must indicate the election                                     C ity
                                                                                 Fair Lakes
                                                                                                                                         S tate
                                                                                                                                        VA
                                                                                                                                                          Zip C ode
                                                                                                                                                                 00000
                                                                                                                                                                                                  Amount of E ach Dis burs ement this P eriod


      to which it relates. See below.                                    P urpos e of Dis burs ement                                                                                                               ,
                                                                                                                                                                                                                   ▲                   ,
                                                                                                                                                                                                                                       ▲
                                                                                                                                                                                                                                                300.00
                                                                                                                                                                                                                                                   .
                                                                                                                                                                                                                                                   ▲
                                                                                 Printing Brochures                                                                               006
                                                                         C andidate Name                                                                                         C ategory/


      Contributions to
                                                                                                                                                                                    Type                       R efund or Dis pos al of E xces s
                                                                         Office S ought:               Hous e                 Dis burs ement For:                                                               C ontributions R equired Under
                                                                                                                                           P rimary          G eneral                                          11 C .F.R . 400.53
                                                                                                      S enate


      Other Candidates                                                                                P res ident                          Other (s pecify) ▼
                                                                         S tate:            Dis trict:
                                                                         Full Name (Las t, Firs t, Middle Initial)

      Contributions to other candi-                                 B.                                                                                                                            Date of Dis burs ement
                                                                                                                                                                                                    M    M     /        D    D     /        Y   Y     Y       Y

      dates are included in the total
                                                                  CONTRIBUTIONS TO OTHER FEDERAL CANDIDATES
                                                                         Mailing Addres s


      for Line 21 (“Other Disburse-                                      C ity                                                           S tate           Zip C ode
                                                                                                                                                                                                  Amount of E ach Dis burs ement this P eriod


      ments”) and are itemized on                                     P urpos e of Dis B (FEC
                                                                    SCHEDULE burs ement Form 3)                                         Us e s eparate s chedule(s )
                                                                                                                                                                                                     PAG E
                                                                                                                                                                                              FOR LINE NUMB E R :
                                                                                                                                                                                                    ▲        ▲
                                                                                                                                                                                              (check only one)   ▲
                                                                                                                                                                                                                  OF
                                                                                                                                                                                                                   ,                   ,                  .
                                                                    ITEMIZED DISBURSEMENTS                                              for each category of the
      Schedule B for that Line if they                                C andidate Name                                                   Detailed S ummary PC ategory/
                                                                                                                                                             age
                                                                                                                                                                Type
                                                                                                                                                                                  17
                                                                                                                                                                                  20a
                                                                                                                                                                                               18
                                                                                                                                                                                               20b
                                                                                                                                                                                                            19a
                                                                                                                                                                                                            20c
                                                                                                                                                                                                                        19b
                                                                                                                                                                                                                     x 21
      are made to a federal candidate                                                                              Dis S tatements may
                                                                                                                                                                                      R efund or Dis pos al of E xces s
                                                                     Any information copied from s uch R eports andburs ement For: not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                        Office S ought:           Hous e                                                                               C ontributions equired Under
                                                                     or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions fromR s uch committee.
                                                                                                 S enate                     P rimary            G eneral                             11 C .F.R . 400.53
      for any amount or are made                                        NAME OF C OMMITTE E P(In Full)
                                                                                                   res ident                 Other (s pecify) ▼
                                                                        S tate:           Dis trict:
      to a nonfederal candidate and                                           Doe for t, Middle Initial)
                                                                         Full Name (Las t, Firs Congress                  Committee
                                                                         Full Name (Las t, Firs t, Middle Initial)
      exceed $200 for the election                                  C.
                                                                    A.
                                                                                 Cunningham for Senate
                                                                                                                                                                                                  Date of Dis burs ement
                                                                                                                                                                                                  Date of Dis burs ement
                                                                                                                                                                                                    M   M      /       D     D     /       Y    Y     Y       Y

      cycle to date. When itemizing
                                                                                                                                                                                                    M   M      /       D     D     /       Y    Y     Y       Y
                                                                         Mailing Addres s
                                                                         Mailing Addres s                                                                                                           03                  29                      2008
                                                                                 77 Center Street
      a contribution to another                                          C ity
                                                                         C ity
                                                                                                                                  S tate
                                                                                                                                        S tate
                                                                                                                                               Zip C ode
                                                                                                                                                      Zip C ode                                   Amount of E ach Dis burs ement this P eriod
                                                                                                                                                                                                  Amount of E ach Dis burs ement this P eriod
                                                                              Houston                                                 TX                       00000
      candidate (either federal or                                       P urpos e of Dis burs ement
                                                                         P urpos e of Dis burs ement
                                                                                                                                                                                                                   ,,
                                                                                                                                                                                                                   ▲
                                                                                                                                                                                                                   ▲                   ,,
                                                                                                                                                                                                                                       ▲
                                                                                                                                                                                                                                       ▲           ..
                                                                                                                                                                                                                                                2000.00
                                                                                                                                                                                                                                                   ▲
                                                                                                                                                                                                                                                          ▲
                                                                                                                                                                                   011
      nonfederal, e.g., state or local),                                     Contribution
                                                                         C andidate Name
                                                                         C andidate Name                                                                                         C ategory/
                                                                                                                                                                                 C ategory/
                                                                                                                                                                                    Type
      the committee must report                                                  Richard Cunningham
                                                                         Office S ought:
                                                                         Office S ought:
                                                                                           Hous e
                                                                                                 Hous e
                                                                                                                 Dis burs ement For:
                                                                                                                 Dis burs ement For:
                                                                                                                                                                                    Type                       R efund or Dis pos al of E xces
                                                                                                                                                                                                               R efund or Dis pos al of E xces ss
                                                                                                                                                                                                               C ontributions R equired Under
                                                                                                                                                                                                               C ontributions R equired Under
                                                                                                 S enate                    P rimary                     G eneral                                              11 C .F.R 400.53
                                                                                                                                                                                                               11 C .F.R .. 400.53
      the information listed above.                                                         x S enate
                                                                                                 P res ident
                                                                                                 P res ident
                                                                                                                            P rimary
                                                                                                                            Other (s pecify)
                                                                                                                            Other (s pecify) ▼
                                                                                                                                                  x G eneral
                                                                                                                                                      ▼
                                                                       S tate:            Dis trict:
                                                                       S tate: TX         Dis trict:

      Additional Information                                           Full Name (Las t, Firs t, Middle Initial)
                                                                      SUBTOTAL of Dis burs ements This P age (optional) ..................................................................                         ,
                                                                                                                                                                                                  Date of Dis▲ ement                   ,
                                                                                                                                                                                                                                       ▲                  .
                                                                                                                                                                                                                                                          ▲
                                                                                                                                                                                              ▼




                                                                    B.                                                                                                                                       burs

      Required for Contributions
                                                                                                                              15. When to itemize                                                                  ,                   ,                  .
                                                                                                                                                                                                    M    M     /        D    D     /        Y   Y     Y       Y
                                                                      TOTAL This P eriod (las t page this line number only) ...............................................................                        ▲                   ▲                  ▲
                                                                                                                                                                                              ▼




                                                                       Mailing Addres s

      to Other Federal Candidates
                                                                                                                                  Disbursements ,
                                                                         C ity                                                           S tate           Zip C ode
                                                                    FE 4AN016                                                                                                                     Amount C Schedule B (Form 3) (Rthis ederiod
                                                                                                                                                                                                      FE of E ach Dis burs ement evis P 02/2003)

      If the contribution is to a federal candi-urpos e of Dis burs ement
                                               P
                                                                                                                                                                                                                   ▲                   ,
                                                                                                                                                                                                                                       ▲                  .
                                                                                                                                                                                                                                                          ▲
      date, the committee must also itemize:C andidate Name                                                                                                                      C ategory/
                                                                                                                                                                                    Type
         •	The recipient candidate’s name;                                                                                    Regardless of Amount
                                                                                                                                                                                                               R efund or Dis pos al of E xces s
                                                                         Office S ought:                Hous e                Dis burs ement For:
                                                                                                                                                                                                               C ontributions R equired Under
                                                                                                       S enate                          P rimary          G eneral                                             11 C .F.R . 400.53

         •	The office sought by check-                                                                 P res ident                      Other (s pecify) ▼
                                                                         S tate:                Dis trict:
                                                                                                                              Three categories of disbursements must
           ing the appropriate box;                                      Full Name (Las t, Firs t, Middle Initial)
                                                                                                                              be itemized regardless of amount:burs ement
                                                                                                                                                          Date of Dis
                                                                    C.
         •	The state and, if applicable, Con-                            Mailing Addres s
                                                                                                                                    •	Transfers (Line 18);
                                                                                                                                                                                                    M   M      /       D    D      /       Y    Y     Y       Y




           gressional district; and                                      C ity                                                    S tate          Zip C ode                                       Amount of E ach Dis burs ement this P eriod
                                                                                                                                    •	Loan Repayments (Lines 19(a) and 19(b)); and
         •	The election for which the contribution                       P urpos e of Dis burs ement
                                                                                                                                                             ▲,           ▲,           ▲.
           was made (by checking the appropriate Name
                                              C andidate                              •	Contributions to other federal candidates             C ategory/

                                                                                          (Line                                                             and (v).
                                                                                Dis burs ement For: 21). 104.3(b)(4)(ii), (iii) C ontributions R equired Under
                                                                                                                                                  Type
                                                                                                                                                            R efund or Dis pos al of E xces s
           box—“primary,” “general” or “other”).ought:
                                              Office S           Hous e
                                                                S enate                     P rimary                      G eneral                          11 C .F.R . 400.53
           It is recommended that the commit-                   P res ident     Refunds(s of contributions must be item-
                                                                                            Other pecify)
                                                                                                                       ▼
                                              S tate:    Dis trict:
           tee designate any contributions it makes.                            ized only if the incoming contribution
           104.3(b)(3)(v). (See example above.) of Dis burs ements This P age (optional) ..................................................................
                                             SUBTOTAL
                                                                                had to be itemized on Schedule A.                                            ▲,           ▲,           ▲.
                                                                                                                                                                                              ▼




                                                                      TOTAL This P eriod (las t page this line number only) ...............................................................                        ,
                                                                                                                                                                                                                   ▲                   ,
                                                                                                                                                                                                                                       ▲                  .
                                                                                                                                                                                                                                                          ▲
                                                                                                                                                                                              ▼




                                                                    FE 4AN016                                                                                                                            FE C Schedule B (Form 3) (R evis ed 02/2003)



100                                                                                                                                                                                                                                             CHAPTER 13
                                                     Completing FEC Reports



Itemization Threshold                CREDIT CARD TRANSACTIONS (SCHEDULE B)
Exceeded                             SCHEDULE B (FEC Form 3)                                                                                                     FOR LINE NUMB E R :                        PAG E             OF
                                                                                                                        Us e s eparate s chedule(s )             (check only one)
Two categories of dis-               ITEMIZED DISBURSEMENTS                                                             for each category of the
                                                                                                                        Detailed S ummary P age
                                                                                                                                                                            x   17                18                19a                   19b
                                                                                                                                                                                20a               20b               20c                   21
bursements are subject                Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                      or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
to the $200 election cycle                NAME OF C OMMITTE E (In Full)

threshold for itemization:                         Doe for Congress Committee
                                          Full Name (Las t, Firs t, Middle Initial)
  •	Operating Expendi-               A.
                                                   Credit Card Company
                                                                                                                                                                      Date of Dis burs ement
                                                                                                                                                                        M       M     /       D   D     /       Y   Y     Y       Y

    tures (Line 17); and                  Mailing Addres s                                                                                                               02                   28                     2008
                                                   12 Muche Ct.
  •	Other Disbursements                   C ity
                                                   Philadelphia
                                                                                                          S tate
                                                                                                          PA
                                                                                                                           Zip C ode
                                                                                                                                00000
                                                                                                                                                                      Amount of E ach Dis burs ement this P eriod


                                                                                                                                                                                          ,                 ,       1300.00
                                                                                                                                                                                                                        .
    (encompassing all disburse-           P urpos e of Dis burs ement
                                                  Credit card payment—see below                                                                     001                                   ▲                 ▲                 ▲

    ments that do not fit into            C andidate Name                                                                                         C ategory/
                                                                                                                                                     Type                             R efund or Dis pos al of E xces s

    the other categories) (Line           Office S ought:               Hous e
                                                                       S enate
                                                                                              Dis burs ement For:
                                                                                                            P rimary          G eneral
                                                                                                                                                                                      C ontributions R equired Under
                                                                                                                                                                                      11 C .F.R . 400.53

    21). 104.3(b)(4)(i) and (vi).                                      P res ident                          Other (s pecify) ▼
                                          S tate:            Dis trict:

A disbursement under these
                                          Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                      Date of Dis burs ement
                                     B.
categories must be itemized if it:                  Southeast Airlines
                                          Mailing Addres s
                                                                                                                                                                        M
                                                                                                                                                                         01
                                                                                                                                                                                M     /       D
                                                                                                                                                                                              12
                                                                                                                                                                                                  D     /       Y   Y
                                                                                                                                                                                                                     2008
                                                                                                                                                                                                                          Y       Y



                                                  777 Jetstream Way
  •	Exceeds $200; or                      C ity                                                           S tate           Zip C ode
                                                                                                                                                                      Amount of E ach Dis burs ement this P eriod
                                                  Dulles�               �             �                  VA                    00000
                                                                                                                                                                                          ,                 ,       750.00
                                                                                                                                                                                                                       .
  •	Aggregates over $200 when             P urpos e of Dis burs ement
                                                  Airline tickets                                                                                   002                                   ▲                 ▲                 ▲

    added to other disburse-              C andidate Name                                                                                         C ategory/
                                                                                                                                                     Type
                                                                                                                                                                        MEMO - credit card co.
                                                                                                                                                                                      R efund or Dis pos al of E xces s
    ments (within the same                Office S ought:                Hous e
                                                                        S enate
                                                                                              Dis burs ement For:
                                                                                                         P rimary                 G eneral
                                                                                                                                                                                      C ontributions R equired Under
                                                                                                                                                                                      11 C .F.R . 400.53
    category) made to the same            S tate:
                                                                        P res ident
                                                                 Dis trict:
                                                                                                            Other (s pecify) ▼


    payee during an election              Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                      Date of Dis burs ement
    cycle. (See previous page.)      C.
                                                                                                                                                                        M       M     /    D      D     /    Y      Y     Y    Y
                                          Mailing Addres s


Credit Card Transactions                  C ity                                                    S tate          Zip C ode                                          Amount of E ach Dis burs ement this P eriod


In the case of operating                  P urpos e of Dis burs ement
                                                                                                                                                                                          ,
                                                                                                                                                                                          ▲                 ,
                                                                                                                                                                                                            ▲                 .
                                                                                                                                                                                                                              ▲

expenditures charged on a                 C andidate Name                                                                                         C ategory/
                                                                                                                                                     Type
                                                                                                                                                                                      R efund or Dis pos al of E xces s
credit card, a committee must             Office S ought:                Hous e
                                                                        S enate
                                                                                              Dis burs ement For:
                                                                                                         P rimary                 G eneral
                                                                                                                                                                                      C ontributions R equired Under
                                                                                                                                                                                      11 C .F.R . 400.53
itemize a payment to a credit             S tate:
                                                                        P res ident
                                                                 Dis trict:
                                                                                                            Other (s pecify)
                                                                                                                                ▼

card company if the payment                                                                                                                                                                                  1,300.00
exceeds the $200 aggregate             SUBTOTAL of Dis burs ements This P age (optional) ..................................................................                               ,
                                                                                                                                                                                          ▲                 ,
                                                                                                                                                                                                            ▲     ▲.
                                                                                                                                                                ▼




threshold for itemization              TOTAL This P eriod (las t page this line number only) ...............................................................                              ,
                                                                                                                                                                                          ▲                 , 1,300.00
                                                                                                                                                                                                            ▲     ▲.
                                                                                                                                                                ▼




explained above. The committee       FE 4AN016                                                                                                                                  FE C Schedule B (Form 3) (R evis ed 02/2003)


must also itemize, as a memo
entry, any specific transaction      CREDIT CARD TRANSACTIONS (SCHEDULE D)
charged on a credit card if the      SCHEDULE D (FEC Form 3)                                                                                                   (Us e s eparate
                                                                                                                                                                                                        PAG E                 OF
                                                                                                                                                                 s chedule(s )            FOR LINE NUMB E R :
payment to the actual vendor         DEBTS AND OBLIGATIONS                                                                                                         for each               (check only one)                            9
                                     Excluding Loans                                                                                                           numbered line)                                                 x       10
exceeds the $200 threshold.           NAME OF C OMMITTE E (In Full)

The memo entry must also                    Doe for Congress Committee
                                                                                                                                                                    Nature of Debt (P urpos e):
include the name and address
                                           A. Full Name (Las t, Firs t, Middle Initial) of Debtor or C reditor

                                                                                                                                                                        Credit card debt
of the vendor, the purpose                   Credit Card Company
                                           Mailing Addres s

of the disbursement and the                 12 Muche Ct.
                                           C ity             State                                              Zip C ode

amount of the disbursement.                 Philadelphia PA�                                  �                 00000
                                              Outs tanding B alance B eginning This P eriod
Finally, any credit card debt
                                                           ,
                                                           ▲                ,
                                                                            ▲        .
                                                                                  1200.00
                                                                                     ▲
must be reported following                             Amount Incurred This P eriod                                      P ayment This P eriod                        Outs tanding B alance at C los e of This P eriod

the procedures outlined in the                             ,
                                                           ▲                ,
                                                                            ▲
                                                                                   1300.00
                                                                                      .
                                                                                      ▲                                 ,
                                                                                                                        ▲              ,
                                                                                                                                       ▲
                                                                                                                                               1300.00
                                                                                                                                                  .   ▲                                   ,
                                                                                                                                                                                          ▲                 ,
                                                                                                                                                                                                            ▲
                                                                                                                                                                                                                    1200.00
                                                                                                                                                                                                                       .
                                                                                                                                                                                                                       ▲
next section. 102.9(b)(2) and              B . Full Name (Las t, Firs t, Middle Initial) of Debtor or C reditor                                                     Nature of Debt (P urpos e):

104.9. (See examples at right.)
                                           Mailing Addres s

                                           C ity             State                                              Zip C ode

 CHAPTER 13                                                                                                                                                                                                                                     101
                                              Outs tanding B alance B eginning This P eriod
                              Campaign Guide for Congressional Candidates and Committees



      16. reporting Debts                                                                            Debts Owed by the Committee
        Other than Loans                                                                             The committee reports the total of outstand-
                                                                                                     ing debts (from Schedule D) plus the balance
                                                                                                     of loans owed by the committee (from Sched-
      Schedule D: Continuous Reporting                                                               ule C) on Line 10 of the Summary Page.

      Debts and obligations must be reported continu-                                                Itemizing Debts Owed
      ously until repaid. 104.3(d) and 104.11. Unpaid                                                Schedule D is used to report:
      bills and written contracts or agreements to
      make expenditures are considered debts. 100.112.                                                     •	The outstanding amount owed
      Debts and obligations (other than loans—see                                                            on a debt or obligation;
      Section 17, below) are reported on Lines 9                                                           •	Payments made to reduce the debt;
      and 10 of the Summary Page and itemized on                                                           •	Complete name and address of creditor; and,
      Schedule D according to the following rules:
                                                                                                           •	The nature and purpose of the debt.
        •	A debt of $500 or less is reportable once
          it has been outstanding 60 days from the                                                   The instructions for Schedule D (available
          date incurred (the date of the transaction,                                                online at http://www.fec.gov/pdf/forms/fecfrm3i.
          not the date the bill is received). The debt                                               pdf#page=18) explain what additional infor-
          is disclosed on the next
          regularly scheduled report.
                                          DEBTS OWED BY THE COMMITTEE (SCHEDULE B)
        •	A debt exceeding $500                                                                                                                                                                                  PAG E             OF
                                           SCHEDULE B (FEC Form 3)                                                                                                   FOR LINE NUMB E R :
          must be reported in              ITEMIZED DISBURSEMENTS
                                                                                                                              Us e s eparate s chedule(s )
                                                                                                                              for each category of the
                                                                                                                                                                     (check only one)
                                                                                                                                                                                X   17                 18                19a                19b
          the report covering the                                                                                             Detailed S ummary P age
                                                                                                                                                                                    20a                20b               20c                21
                                            Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
          date on which the debt            or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

          was incurred. 104.3(d),               NAME OF C OMMITTE E (In Full)

                                                        Doe for Congress Committee
          104.11 and 116.6(c).                  Full Name (Las t, Firs t, Middle Initial)
                                           A.                                                                                                                              Date of Dis burs ement
      The committee must use                             WCFS-FM                                                                                                            M       M     /       D    D     /       Y   Y     Y       Y

                                                Mailing Addres s                                                                                                                01                31                         2008
      separate Schedule D forms                          1290 Tower Street
                                                C ity                                                           S tate             Zip C ode                               Amount of E ach Dis burs ement this P eriod
      for debts owed by the com-                         Winchester �                        �                   VA                   00000
                                                P urpos e of Dis burs ement
                                                                                                                                                                                              ,                  ,       2500.00
                                                                                                                                                                                                                             .
      mittee (Line 10) versus debts                     Radio Advertisement                                                                                 004
                                                                                                                                                                                              ▲                  ▲          ▲
                                                C andidate Name                                                                                                                 See Schedule D
      owed to the committee (Line                       Jane Doe
                                                                                                                                                        C ategory/
                                                                                                                                                           Type                           R efund or Dis pos al of E xces s
                                                                                                                                                                                          C ontributions R equired Under
      9). Paper filers must label               Office S ought:            Hous e
                                                                          S enate
                                                                                                     Dis burs ement For:
                                                                                                                P rimary          G eneral                                                11 C .F.R . 400.53

      each schedule accordingly                 S tate:
                                                                          P res ident
                                                                   Dis trict:
                                                                                                                Other (s pecify) ▼


      by checking the appropriate               Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                           Date of Dis burs ement
                                           B.
      box at the top of the form;               Mailing Addres s
                                                                                                                                                                            M       M     /       D    D     /       Y   Y     Y       Y



      electronic filing programs will     DEBTS OWED BY THE COMMITTEE (SCHEDULE D)
                                                C ity                                                           S tate             Zip C ode
      label the Schedules for you.
                                                                                                                                                                           Amount of E ach Dis burs ement this P eriod
                                                               D (FEC
                                            SCHEDULE burs ement Form 3)                                                                                          (Us e s eparate
                                                                                                                                                                                                PAG E         OF
                                              P urpos e of Dis
                                                                                                                                                                   s chedule(s )              ,FOR
                                                                                                                                                                                              ▲    LINE ▲        ,
                                                                                                                                                                                                         NUMB E R :                .
                                                                                                                                                                                                                                   ▲
                                            DEBTS AND OBLIGATIONS
      Exception
                                                                                                                                                                     for each                 (check only one)                             9
                                              C andidate Name
                                            Excluding Loans                                                                                                      numbered line)
                                                                                                                                                        C ategory/                                                                 x       10
                                             NAME OF C OMMITTE E (In Full)                                                                                 Type
                                                                                                                                                                                    R efund or Dis pos al of E xces s
      Regularly recurring administra-         Office S ought:           Hous e              Dis burs ement For:
                                                                                                                                                                                    C ontributions R equired Under
                                                  Doe for Congress Committee
                                                                       S enate                        P rimary          G eneral                                                    11 C .F.R . 400.53

      tive expenses such as rent,             S tate:
                                                                                                      Other (s pecify) ▼
                                                                       P res ident Initial) of Debtor or C reditor
                                                A. Full Name (Las t, Firs t, Middle
                                                                Dis trict:
                                                                                                                                                                         Nature of Debt (P urpos e):


      utilities and salaries are not            Full WCFS-FMFirs t, Middle Initial)
                                                     Name (Las t,                                                                                                         Radio Advertisement;
                                                                                                                                                                          Seeof Schedule B, Line 17
                                                                                                                                                                          Date  Dis burs ement
                                           C.    Mailing Addres s
      considered to be debts until                  1290 Tower Street
                                                Mailing Addres s State
                                                                                                                                                                            M       M     /       D   D      /       Y   Y     Y       Y
                                                 C ity                                                                   Zip C ode
      they are past due. 104.11(b).             C ity
                                                        Winchester                      VA
                                                                                                S tate
                                                                                                                              00000
                                                                                                                          Zip C ode                                        Amount of E ach Dis burs ement this P eriod
                                                     Outs tanding B alance B eginning This P eriod
                                                P urpos e of Dis burs ement
                                                                  ,
                                                                  ▲              ,
                                                                                 ▲
                                                                                          0.00
                                                                                             .   ▲                                                                                            ,
                                                                                                                                                                                              ▲                  ,
                                                                                                                                                                                                                 ▲                 .
                                                                                                                                                                                                                                   ▲
                                                C andidate Name Incurred This P eriod
                                                           Amount                                                              P ayment This P eriod                       Outs tanding B alance at C los e of This P eriod
                                                                                                                                                   C ategory/
                                                                   ,              ,       .
                                                                                      5500.00                                  ,            2500.00
                                                                                                                                               ,      Type
                                                                                                                                                             .                      R▲        ,         3000.00
                                                                                                                                                                                      efund or Dis pos al of E xces s
                                                                                                                                                                                                   ▲            ▲,                 .
                                                Office S ought: ▲              ▲
                                                                          Hous e          ▲ Dis burs ement For: ▲              ▲                             ▲
                                                                                                                                                                                    C ontributions R equired Under
                                                                                                          rimary
                                                                          S t, Middle Initial) of Debtor Por C reditor
                                                  B . Full Name (Las t, Firsenate                                          G eneral                                                 11 (P urpos e):
                                                                                                                                                                         Nature of Debt C .F.R . 400.53
                                                                          P res ident                    Other (s pecify)
                                                                                                                          ▼
                                                S tate:            Dis trict:
                                                 Mailing Addres s
                                             SUBTOTAL of Dis burs ements This P age (optional) ..................................................................                             ,
                                                                                                                                                                                              ▲                  ,
                                                                                                                                                                                                                 ▲         .
                                                                                                                                                                                                                         CHAPTER 13
                                                                                                                                                                                                                           ▲
                                                                                                                                                                     ▼




102                                            C ity        State                                        Zip C ode
                                             TOTAL This P eriod (las t page this line number only) ...............................................................                            ,
                                                                                                                                                                                              ▲                  ,
                                                                                                                                                                                                                 ▲                 .
                                                                                                                                                                                                                                   ▲
                                                                                                                                                                     ▼
                                            Completing FEC Reports


mation is required. Note that payments to                   •	Any amounts the commit-
reduce debts must also be reported under the                  tee has paid the creditor.
appropriate category of disbursement on the               The committee may also note on the report that
Detailed Summary Page (for example, Line 17               disclosure of a disputed debt is not an admis-
for a payment on a bill for an operating expen-           sion of liability or a waiver of any claims against
diture). (See examples on previous page.)                 the creditor. Once a disputed debt is resolved,
                                                          the committee should report the correct
Settlement of Debts                                       amount on the next report, along with a state-
Special rules apply to debts that are forgiven            ment explaining that the dispute was resolved.
or settled for less than their full amount.
See Chapter 14 for more information.                      Debts Owed to the Committee
                                                          The committee must continuously report a debt
Special Debt Reporting Problems                           owed to the committee on Schedule D if the
                                                          debt exceeds $500 or has been outstanding 60
Debts of Unknown Amount                                   days. 104.3(d) and 104.11. Payments received
If the exact amount of a debt is not known, the           on the debt are also reported on Schedule D
committee reports an estimated amount. The                until the debt is retired. The debt repayments
committee must either amend the report (and               received must also be reported on the appropri-
all subsequent reports) to indicate the correct           ate Line number of the Detailed Summary Page
amount, once a correct figure is known, or include        and itemized on Schedule A if necessary. On Line
the correct figure, along with an explanation of          9 of the Form 3 Summary Page, the committee
the change, in the report for the reporting period        enters the total of outstanding debts owed to it
during which the amount is determined. 104.11(b).         (from Schedule D), plus the balance of outstand-
                                                          ing loans owed to it (from Schedule C). Paper
Unpayable Debts                                           filers must be sure to label the Schedule D as
If a debt cannot be paid because the creditor has         “debt owed to the committee” by checking
gone out of business or cannot be located, the trea-      the box for Line 9 at the top of Schedule D.
surer may write to the FEC to request permission
to discontinue reporting the debt. The letter must
demonstrate that the debt is at least two years old       17. reporting Loans
and that efforts to ascertain the current address
of the creditor and to reach the creditor have            All loans received by a committee must be item-
been made by registered or certified letter and           ized and continuously reported until extinguished.
either in person or by phone. The committee must          104.3(a)(4)(iv) and (d); 104.11. All repayments made
continue to report the debt until the Commission          on a loan must also be itemized. 104.3(b)(4)(iii).
determines that the debt is unpayable. 116.9.             Procedures for reporting loans and loan repayments
Disputed Debts                                            are explained below. See also “Reporting Contribu-
                                                          tions from Candidate” in Section 6 of this chapter.
A disputed debt is a bona fide disagreement
between the creditor and the committee as to
the existence of a debt or the amount owed by             Schedule A: Initial Receipt of Loan
the committee. 116.10. If the creditor provided           A committee must itemize the receipt of
something of value, notwithstanding the disputed          a loan, regardless of amount, on a separate
amount, then the committee must disclose:                 Schedule A for the appropriate loan category
  •	The amount the committee admits it owes;              (“made/guaranteed by the candidate” or “all
                                                          other loans”). (See examples of Schedule
  •	The amount the creditor claims is owed; and           A on following pages.) 104.3(a)(4)(iv).




 CHAPTER 13                                                                                                      103
                                                Campaign Guide for Congressional Candidates and Committees



      Schedule B: Interest and BANK LOANS ENDORSED BY CANDIDATE
      Principal Payments        SCHEDULE A (FEC Form 3)
                                                                                                                                                                                                                FOR LINE NUMB E R :                      PAG E               OF
                                                                                                                                                                   Us e s eparate s chedule(s )                 (check only one)
      A committee must report                                           ITEMIZED RECEIPTS                                                                          for each category of the
                                                                                                                                                                   Detailed S ummary P age
                                                                                                                                                                                                                    11a               11b            11c               11d
                                                                                                                                                                                                                    12        x       13a            13b               14            15
      interest paid on a loan as an                                      Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                         or for commerc ial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
      operating expenditure, itemizing                                       NAME OF C OMMITTE E (In Full)

      the payment on a Schedule                                                      Doe for Congress Committee
      B for operating expenditures                                      A.
                                                                             Full Name (Las t, Firs t, Middle Initial)
                                                                                     National Trust Bank                                                                                                           Date of R eceipt
      once interest payments to                                              Mailing Addres s
                                                                                     800 Lincoln Ave.
                                                                                                                                                                                                                    M

                                                                                                                                                                                                                     03
                                                                                                                                                                                                                          M       /       D

                                                                                                                                                                                                                                          01
                                                                                                                                                                                                                                              D      /        Y    Y

                                                                                                                                                                                                                                                                   2008
                                                                                                                                                                                                                                                                         Y       Y




      one payee aggregate over                                               C ity
                                                                                     Reston
                                                                                                                                                  S tate
                                                                                                                                                  VA
                                                                                                                                                                     Zip C ode
                                                                                                                                                                           00000
      $200 in an election cycle.                                             FE C ID number of contributing
                                                                                                                                                 C                                                                Amount of E ach R eceipt this P eriod
                                                                             federal political committee.

      Payments to reduce principal                                           Name of E mployer                                                 Occupation                                                                             ,                  ,        20000.00
                                                                                                                                                                                                                                                                      .
      must be itemized, regardless                                           R eceipt For:                                                     E lection C ycle-to-Date
                                                                                                                                                                                                                                      (guaranteed)
                                                                                                                                                                                                                         Limits Increas ed Due to Opponent’s
      of amount, on a Schedule B                                                     P rimary
                                                                                     Other (s pecify)
                                                                                                            G eneral

                                                                                                                                                               ,                ,        .
                                                                                                                                                                                     20000.00
                                                                                                                                                                                                                         S pending (2 U.S .C . §441a(i)/441a– 1)


      for the appropriate category                                           Full Name (Las t, Firs t, Middle Initial)
      of loan repayment (“made/                                         B.
                                                                             Mailing Addres s
                                                                                                                                                                                                                   Date of R eceipt
                                                                                                                                                                                                                    M     M       /       D   D      /        Y    Y     Y       Y

      guaranteed by the candidate” or                                 LOAN PAYMENTS
                                                                             C ity                                                                S tate             Zip C ode
      “all other loans”). 104.3(b)(4)
      (iii). (See Schedule B examples.)                                      FE C ID number of contributing
                                                                        SCHEDULE B (FEC Form 3)
                                                                          federal political committee.                                           C        Us e s eparate s chedule(s )
                                                                                                                                                                                                                                      PAG E         OF
                                                                                                                                                                                                            FOR LINE NUMBEE R : R eceipt this P eriod
                                                                                                                                                                                                                 Amount of ach
                                                                                                                                                                                                            (check only one)
                                                                        ITEMIZED DISBURSEMENTS                                                            for each category of the
                                                                                                                                                                                                                          17                   18             x    19a               19b
                                                                             Name of E mployer                                                 Occupation Detailed S ummary P age
                                                                                                                                                                                                                          20a
                                                                                                                                                                                                                                      ,        20b
                                                                                                                                                                                                                                                          ,        20c
                                                                                                                                                                                                                                                                             .       21


      Schedule C: Continuous                                             Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                            R eceipt For:                                     E lection C ycle-to-Date                                contributions from s to committee.
                                                                         or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicitLimits Increas ed Due uchOpponent’s
                                                                                  P rimary         G eneral

      Reporting
                                                                            NAME OF C OMMITTE E (In Full)                                                                            S pending (2 U.S .C . §441a(i)/441a– 1)
                                                                                  Other (s pecify)
                                                                                                                                                               ,                ,                .
                                                                                     Doe for Congress Committee
                                                                             Full Name (Las t, Firs t, Middle Initial)
                                                                             Full Name (Las t, Firs t, Middle Initial)
      In addition, both the original                                    C.
                                                                        A.   Mailing Addres s
                                                                                                                                                                                                                   Date of R eceipt
                                                                                                                                                                                                                   Date of Dis burs ement
                                                                                     National Trust Bank                                                                                                            M     M       /       D   D      /        Y    Y     Y       Y

      loan and payments to reduce                                            Mailing Addres s
                                                                             C ity                                                                S tate             Zip C ode
                                                                                                                                                                                                                    M

                                                                                                                                                                                                                    03
                                                                                                                                                                                                                          M       /       D

                                                                                                                                                                                                                                          30
                                                                                                                                                                                                                                              D      /        Y    Y

                                                                                                                                                                                                                                                                   2008
                                                                                                                                                                                                                                                                         Y       Y



                                                                                     800 Lincoln Avenue
      principal must be reported                                             C ity                                                                S tate             Zip C ode                                    Amount of E ach Dis burs ement this P eriod

      on Schedule C each report-                                             FE C Restonof contributing
                                                                                   ID number
                                                                             P urpos political committee.
                                                                             federal e of Dis burs ement
                                                                                                                                              VA
                                                                                                                                                 C
                                                                                                                                                                          00000                                    Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                                                      ,
                                                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                                                         ▲           .
                                                                                                                                                                                                                                                                  271.18
                                                                                                                                                                                                                                                                     ▲
      ing period (see examples)                                                      Loan principal payment
                                                                             Name of E mployer
                                                                             C andidate Name
                                                                                                                                               Occupation
                                                                                                                                                                                                009
                                                                                                                                                                                              C ategory/
                                                                                                                                                                                                                                      ,                  ,                   .
      until the loan is repaid.                                              R eceipt For:
                                                                             Office S ought:                 Hous e                   Dis bursE lection C ycle-to-Date
                                                                                                                                             ement For:
                                                                                                                                                                                                 Type                         R efund or Dis pos al of E xces s
                                                                                                                                                                                                                              C ontributions R equired Under
                                                                                   P rimary                 G eneral                                                                                                     Limits Increas ed Due to Opponent’s
                                                                                                                                                 P rimary          G eneral                                                   11 C .F.R . 400.53
                                                                                                            S enate                                                                                                      S pending (2 U.S .C . §441a(i)/441a– 1)

      Committee Has No Other
                                                                                   Other (s pecify)
                                                                                                            P res ident                                        ,
                                                                                                                                                 Other (s pecify) ▼             ,                .
                                                                             S tate:            Dis trict:

      Debts or Obligations                                                   Full Name (Las t, Firs t, Middle Initial)
                                                                         SUBTOTAL         of R eceipts This P age (optional) ............................................................................                             ,
                                                                                                                                                                                                                   Date of Dis burs ement                ,                   .
                                                                        B.
      If the committee has no                                                          Schedule C-1: Additional
                                           TOTAL This P eriod (las t page this line number only) ...............................................................Information for ,
                                                                                                                                                                              ,                         .           M     M       /       D   D      /        Y    Y     Y       Y
                                            Mailing Addres s

      other debts, the Schedule C balance ofC ity
                                               the                                                                     Lending
                                                                                       Loans from Zip C ode Institutions of E ach Dis burs ement this P eriod
                                                                                                 S tate
                                                                                                                                                                     Amount
                                                                       FE 4AN016                                                                                                                                          FE C Schedule A (Form 3) (R evis ed 02/2003)
                                               on of Dis burs
      total amount owed on loans is enteredP urpos e Line ement                        A committee that obtains a loan ▲                                                      from a bank▲or
                                                                                                                                                                              ,          ▲,             .
      10 of the Form 3 Summary Page (“Debts and
                                            C andidate Name                            other permissible lending institution must also file        C ategory/
      Obligations Owed by the Committee”). ce S ought:
                                            Offi                      Hous e            Schedule
                                                                                       Dis burs ement For: C-1 with the first report due after a new
                                                                                                                                                       Type
                                                                                                                                                                            R efund or Dis pos al of E xces s
                                                                                                                                                                                                                                  C ontributions R equired Under
                                                                                                            S enate                                P rimary                 G eneral                                              11 C .F.R . 400.53

      Committee Has Other Debts or Obligationstate:                                                  or pecify) ▼
                                                                                         loan Other (sline of credit has been established. 104.3(d)
                                                                                                            P res ident
                                               S                                                     Dis trict:

      (Reported on Schedule D)                 Full Name (Las t, Firs t, Middle Initial) (1). A new Schedule C-1 must also be filed with
                                            C.                                           the next report if the termsDate of the loan or line of                      of Dis burs ement
      If the committee has other debts or obliga- s
                                               Mailing Addres
                                                                                         credit are restructured. Additionally, in the case
                                                                                                                                                                                                                    M     M       /       D   D      /        Y    Y     Y       Y




      tions that are reported on Schedule D,C itythe                                            a Zip C ode
                                                                                         ofS tate committee that has obtainedE ach line ementcredit,                Amount of a Dis burs of this P eriod

      total amount owed on loans is also entered Dis burs ement
                                               P urpos e of
                                                                                         a new Schedule C-1 must be filed, with▲ next                                        ▲             ,the ▲
                                                                                                                                                                                                .
      on Schedule D along with the other debts and
                                               C andidate Name                           report whenever theType                                            committee draws on the
                                                                                                                                                    C ategory/
                                                is S ought:
      obligations. The total from Schedule D Officethen                   Hous e          line of credit. 104.3(d)(1) and (3).efund or Dis pos al of EUnders of
                                                                                         Dis burs ement For:                                                                    (See R equired xces
                                                                                                                                                                            C ontributionsexample
                                                                                                                                                                            R

      entered on Line 10 of the Form 3 Summary Page P res ident          S enate                    P rimary
                                                                                                    Other (s C-1.)
                                                                                                                                G eneral
                                                                                         Schedulepecify) ▼ For loans derived from a candidate
                                                                                                                                                                            11 C .F.R . 400.53


      reflecting all outstanding debts or obligations. Dis trict:
                                               S tate:
                                                                                         loan, the reporting on Schedule C-1 is simplified.
                                                                                         See the next section for                                                            ▲,
                                             SUBTOTAL of Dis burs ements This P age (optional) .................................................................. more information. ▲     ▲,    .
                                                                                                                                                                                                            ▼




                                                                          TOTAL This P eriod (las t page this line number only) ...............................................................                                       ,
                                                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                                                         ▲                   .
                                                                                                                                                                                                                                                                             ▲
                                                                                                                                                                                                            ▼




                                                                       FE 4AN016                                                                                                                                          FE C Schedule B (Form 3) (R evis ed 02/2003)



104                                                                                                                                                                                                                                                                CHAPTER 13
                                                                                                                 Completing FEC Reports



                                                                                                                                                                                                                   Line-by-line instructions for fill-
LOANS FROM CANDIDATE’S PERSONAL FUNDS (SCHEDULE A)                                                                                                                                                                 ing out the schedule appear in
                                                                                                                                   FOR LINE NUMBER:                              PAGE                OF
SCHEDULE A (FEC Form 3)                                                                Use separate schedule(s)                    (check only one)                                                                the Form 3 instruction booklet.
                                                                                       for each category of the
ITEMIZED RECEIPTS                                                                      Detailed Summary Page
                                                                                                                                        11a
                                                                                                                                        12         X
                                                                                                                                                            11b
                                                                                                                                                            13a
                                                                                                                                                                         11c
                                                                                                                                                                             13b
                                                                                                                                                                                               11d
                                                                                                                                                                                               14             15   The committee treasurer or
 Any information copied from such Reports and Statements may not be sold or used by any person for the purpose of soliciting contributions
 or for commercial purposes, other than using the name and address of any political committee to solicit contributions from such committee.                                                                        designated assistant treasurer
      NAME OF COMMITTEE (In Full)                                                                                                                                                                                  must sign the schedule on Line
               Doe for Congress Committee
      Full Name (Last, First, Middle Initial)
                                                                                                                                                                                                                   G and attach a copy of the
A.             Doe, Jane
      Mailing Address
                                        (personal funds)                                                                              Date of Receipt                                                              loan agreement. 104.3(d)(2).
                                                                                                                                        M      M       /        D    D       /        Y    Y    Y        Y
                                                                                                                                           02                       10                         2008
      City
               626 Pritham Ave.
                                                                      State              Zip Code                                                                                                                  Finally, an authorized rep-
                Springfield                                        VA                               00000
                                                                                                                                                                                                                   resentative of the lending
      FEC ID number of contributing
      federal political committee.                                 C                                                                  Amount of Each Receipt this Period
                                                                                                                                                                                                                   institution must sign the
                                                                                                                                                           s,                    s,          s.
                                                                                                                                                                                          1000.00
      Name of Employer
               U.S. House
                                                                  Occupation
                                                                        U.S. Representative
                                                                                                                                                                                                                   statement on Line I.
                                                                                                                                                   Personal funds
      Receipt For:                                                Election Cycle-to-Date
                                                                                                     t                                         Limits Increased Due to Opponent’s
       x Primary                    General                                                                                                    Spending (2 U.S.C. §441a(i)/441a–1)
                Other (specify) t
                                                                                  s,                s,          s.
                                                                                                             2200.00


B.
      Full Name (Last, First, Middle Initial)
                                                                                                                                      Date of Receipt                                                              18. reporting Bank
                                                                                                                                                                                                                   Loans, Brokerage
      Mailing Address                                                                                                                   M      M       /        D    D       /        Y    Y    Y        Y



LOANS FROM CANDIDATE’S PERSONAL FUNDS (SCHEDULE C)
      City                                                            State              Zip Code



SCHEDULE C contributing
  FEC ID number of
                       (FEC Form 3)
                                                                                                                                                          PAG E       OF                                           Loans and Other
                                                                   C
                                                                                                                                                                                                                   Lines of Credit
  federal political committee.
                                                                                                                                     Amount      Each Receipt this
                                                                                                                 Us e s eparate s chedule(s ) of FOR LINE NUMB E Period
                                                                                                                                                                   R:
                                                                                                                 for each category of the
LOANS                                                                                                                                            (check only one)      x 13a
                                                                                                                                                           s,                    s,                 s.
      Name of Employer                                            Occupation                                     Detailed S ummary P age
                                                                                                                                                                                                             13b

 NAME OF C OMMITTE E (In Full)
      Receipt For:                                                Election Cycle-to-Date
                                                                                                     t                                    Limits Increased Due to Opponent’s
                                                                                                                                                                                                                   When Made to
        x Primary for
           Doe                  Congress Committee
                                                                                                                                                                                                                   Candidates
                                 General                                                                                                  Spending (2 U.S.C. §441a(i)/441a–1)
          Other (specify) t
       LOAN SOURCE Full Name (Las t, Firs t, Middle Initial)
                                                                                  s,                         s.
                                                                                                    s, 2,060.00                            E lection:
                                                                                                                                            x P rimary
                (Last, First, Middle personal
      Full NameJane Doe - Initial)                                 funds                                                                        G eneral
                                                                                                                                      Date of Receipt (s pecify)
C. Mailing Addres s                                                                                                                             Other
      Mailing Address
                       626 Pritham Ave.                                                                                                 M      M       /        D
                                                                                                                                                                 ▼
                                                                                                                                                                     D       /        Y    Y    Y        Y
                                                                                                                                                                                                                   Bank loans to candidates and
       C ity
      City                                                          tate
                                                                   SState                ZipZIP C ode
                                                                                             Code                                                                                                                  loans derived from advances
                     Springfield                                  VA                            00000
      FEC ID number of contributing
                                                                                                                                                                                                                   on a candidate’s brokerage
         Original Amount of Loan
      federal political committee.                                 C  C umulative P ayment To Date                                    Amount Outs tanding at los of This
                                                                                                                                      B alance of Each ReceiptCthise Period P eriod
                                                                                                                                                                                                                   accounts, credit cards, home
                                                                                       ,                 ,             .                                                              1000.00
                         ,            ,      .                                                                                                             s,                    s,        .
                                                                                                                      0.00
      Name of Employer
                 ▲                    ▲ 1000.00
                                             ▲                    Occupation           ▲                 ▲            ▲                                    ▲                     ▲                  s.
                                                                                                                                                                                                    ▲
                                                                                                                                                                                                                   equity line of credit, or other
       TERMS
      Receipt For:
          MPrimary
              M    / D
                       Date Incurred
                          D General
                              /   Y           Y    Y    Y         M     M     /
                                                                                  Date Due
                                                                  Election Cycle-to-Date
                                                                                   D
                                                                                         t
                                                                                           D    /    Y       Y   Y    Y
                                                                                                                             Interes t R ate                        S ecured:
                                                                                                                                               Limits Increased Due to Opponent’s                                  lines of credit obtained for use
            03         23
           Other (specify) t
                                                  2008             �              �
                                                                                  s,
                                                                                                     none
                                                                                                    s,               s.
                                                                                                                                            . Spending (2 U.S.C.
                                                                                                                                           none % (apr) §441a(i)/441a–1)
                                                                                                                                            ▲                        x
                                                                                                                                                                                                                   in connection with his or her
       Lis t All E ndors ers or G uarantors (if any) to Loan S ource
     1. Full Name (Las t, Firs t, Middle Initial)                                                   Name of E mployer
                                                                                                                                                                                                                   campaign must be reported
                                                                                                                                                           s,                    s,                 s.
   SUBTOTAL of Receipts This Page (optional) ............................................................................
                                                                                                                                                                                                                   by the committee. 100.83.
                                                                                                                              t




        Mailing Addres s                                                                         Occupation
                                                                                                                                                           s,                    s,                 s.
   TOTAL This Period (last page this line number only) ...............................................................
                                                                                                                                                                                                                   The committee must report
CANDIDATE HOME EQUITY LINE OF CREDIT (SCHEDULE▲A)
                                                                                                                              t




                                                                                                             Amount

FE4AN016
               C ity                      ,
                                          ▲   ,        S tate          ZIP C ode                             G uaranteed
                                                                                                             Outs tanding:                                           ▲
                                                                                                                                               FEC Schedule A (Form 3) (Revised 02/2003)   .                       the loan from the candidate
  2. Full Name (Las t, Firs t, Form 3)
SCHEDULE A (FEC Middle Initial)                                                                       Name of E mployer
                                                                                       Us e s eparate s chedule(s )
                                                                                                                      FOR LINE NUMB E R :
                                                                                                                      (check only one)
                                                                                                                                                                             PAG E                  OF
                                                                                                                                                                                                                   as a receipt and repayment
                                                                                                                                                                                                                   of the loan to the candidate
                                                                                       for each category of the
     Mailing RECEIPTS
ITEMIZED Addres s                                                                                     Occupation
                                                                                       Detailed S ummary P age
                                                                                                                           11a      11b                                  11c                   11d
                                                                                                                                        12         x       13a           13b                   14             15
 Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                                Amount
 or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
                                                                                                                                                                                                                   as a disbursement. 104.3(a)
                                                                                G uaranteed
         C ity
    NAME OF C OMMITTE E (In Full)
                                             S tate     ZIP C ode
                                                                                Outs tanding:                ▲            ▲          ▲         ,                     ,                     .                       (3)(vii)(B) and (b)(2)(iii)(A).
           Doe for Firs t, Middle Committee
       3. Full Name (Las t,CongressInitial)                                                                  Name of E mployer

     Full Name (Las t, Firs t, Middle Initial)
             Mailing Addres s
               Doe, Jane                                                                                     Occupation                                                                                            Schedule A
A.                                                                                                                                    Date of R eceipt
     Mailing Addres s
               626 Pritham Ave.                                                                              Amount
                                                                                                                                       M
                                                                                                                                           03
                                                                                                                                               M   /            D    D
                                                                                                                                                                    15
                                                                                                                                                                         /            Y    Y    Y
                                                                                                                                                                                               2008
                                                                                                                                                                                                         Y
                                                                                                                                                                                                                   The candidate may choose
     C ity C ity                                       S tate         S tate C ode Zip C ode
                                                                        ZIP                                  G uaranteed
                                                                                                                                               ,
                                                                                                                                               ▲                     ,
                                                                                                                                                                     ▲                     .
                                                                                                                                                                                           ▲
                Springfield
       4. Full Name (Las t, Firs t, Middle Initial)
                                                                   VA                          00000
                                                                                                             Outs tanding:
                                                                                                             Name of E mployer
                                                                                                                                                                                                                   either to loan or to contrib-
     FE C ID number of contributing
     federal political committee.                                  C                                                                 Amount of E ach R eceipt this P eriod                                         ute the loan proceeds to the
          Mailing Addres s                                                                                   Occupation

     Name of E mployer                                           Occupation                                                                                ,
                                                                                                                                                           ▲                     ,
                                                                                                                                                                                 ▲
                                                                                                                                                                                          50000.00
                                                                                                                                                                                              .
                                                                                                                                                                                              ▲                    authorized committee. If the
                                                                                                                                                                                                                   candidate treats the funds as
               U.S. House                                                           Amount
                                                                        U.S. Representative                                        home equity line of credit
             C ity
     R eceipt For:
                                                       S tate          ZIP C ode    G uaranteed
                                                                  E lection C ycle-to-Date                   Outs tanding:
                                                                                                                                               ,
                                                                                                                                               ▲                     ,
                                                                                                                                                                     ▲
                                                                                                                                             Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                           .
                                                                                                                                                                                           ▲
                                                                                                                                                                                                                   a personal contribution, the
                                                                                                     ▼
       x P rimary             G eneral                                                                                                       S pending (2 U.S .C . §441a(i)/441a– 1)
           Other (s pecify) ▼
                                                                                  ,                 ,    60000.00
                                                                                                             .
                                                                                  ▲                 ▲                ▲
   SUBTOTALS This P eriod This P age (optional) .................................................................
                                                                                                                                                           ,                     ,                  .
                                                                                                                                                                                                                   receipt of the contribution from
                                                                                                                               ▼




     Full Name (Las t, Firs t, Middle Initial)                                                                                                             ▲                     ▲                  ▲
B.TOTALS This P eriod (las t page in this line only) .............................................................
                                                                                                                                      Date of R eceipt                                                             the candidate must be reported
                                                                                                                                                           ,                     ,                  .
                                                                                                                               ▼




     Mailing Addres s                                                                                                                                      ▲D                    ▲Y                 ▲Y
                                                                                                                                       M


     Carry outstanding balance only to LINE 3, Schedule D, for this line. If no Schedule D, carry forward to appropriate line of Summary.
                                                                                                                                               M   /                 D   /                 Y    Y
                                                                                                                                                                                                                   on Schedule A for Line 11(d).
     C ity                                         S tate       Zip C ode
FE 4AN016                                                                                                                                       FE C Schedule C (Form 3) (R evis ed 02/2003)

     FE C ID number of contributing
CHAPTER 13                                                         C                                                                  Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                                                                         105
     federal political committee.

     Name of E mployer                                           Occupation                                                                                ,
                                                                                                                                                           ▲                     ,
                                                                                                                                                                                 ▲                  .
                                                                                                                                                                                                    ▲
                              Campaign Guide for Congressional Candidates and Committees


      If the candidate treats the
      funds as a loan, the receipt of     CANDIDATE HOME EQUITY LINE OF CREDIT PRINCIPAL PAYMENT
      the loan must be reported on        SCHEDULE B (FEC Form 3)                                                                     Us e s eparate s chedule(s )
                                                                                                                                                                              FOR LINE NUMB E R :
                                                                                                                                                                              (check only one)
                                                                                                                                                                                                                         PAG E                 OF


      Schedule A for Line 13(a). (See     ITEMIZED DISBURSEMENTS                                                                      for each category of the
                                                                                                                                      Detailed S ummary P age
                                                                                                                                                                                            17
                                                                                                                                                                                            20a
                                                                                                                                                                                                               18
                                                                                                                                                                                                               20b
                                                                                                                                                                                                                                 x   19a
                                                                                                                                                                                                                                     20c
                                                                                                                                                                                                                                                         19b
                                                                                                                                                                                                                                                         21
      example on previous page.)           Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                           or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
      If the funds are designated              NAME OF C OMMITTE E (In Full)

      as a contribution, then the                      Doe for Congress Committee
      committee cannot repay the          A.
                                               Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                                  Date of Dis burs ement

      underlying loan to the financial          National Trust Bank
                                               Mailing Addres s
                                                                                                                                                                                    M

                                                                                                                                                                                       03
                                                                                                                                                                                            M     /       D    D

                                                                                                                                                                                                              30
                                                                                                                                                                                                                     /       Y       Y     Y

                                                                                                                                                                                                                                         2008
                                                                                                                                                                                                                                                   Y




      institution. AO 2006-37.                   800 Lincoln Avenue
                                               C ity                                                                     S tate           Zip C ode                               Amount of E ach Dis burs ement this P eriod
                                                 Reston�                                                            VA               00000
      Schedule B                               P urpos e of Dis burs ement
                                                 Line of Credit Payment (Candidate Loan)
                                                                                                                                                                                                      ,
                                                                                                                                                                                                      ▲                  ,     .
                                                                                                                                                                                                                         ▲ 5000.00
                                                                                                                                                                                                                               ▲
                                               C andidate Name                                                                                                  C ategory/
      If the funds are designated as               Jane Doe                                                                                                        Type                           R efund or Dis pos al of E xces s
                                               Office S ought:               x    Hous e                  Dis burs ement For:                                                                      C ontributions R equired Under
      a loan, the committee’s repay-                                             S enate                          x       P rimary          G eneral                                              11 C .F.R . 400.53

                                                                                 P res ident                              Other (s pecify) ▼
      ment to the lending institution          S tate: VA         Dis trict: 12
                                               Full Name (Las t, Firs t, Middle Initial)
      or the candidate is reported        B.                                                                                                                                      Date of Dis burs ement

      as an itemized entry on Sched-                                                                                                                                                M       M     /       D    D     /       Y       Y     Y       Y



                                          CANDIDATE HOME EQUITY LINE OF CREDIT INTEREST PAYMENT
                                               Mailing Addres s

      ule B. The committee is not              C ity                                                              Zip C ode
                                                                                                                         S tate
                                                                                                                                                   Amount of E ach Dis burs ement this P eriod
      required to report repayments       SCHEDULE burs ement Form 3)
                                                              B (FEC                                                                          FOR LINE NUMB E R :           PAG E        OF
                                             P urpos e of Dis                                                 Us e s eparate s chedule(s )    (check only one)
                                                                                                                                                              ▲            ▲           ▲              ,                  ,                     .
      by the candidate to the lending     ITEMIZED DISBURSEMENTS
                                              C andidate Name
                                                                                                              for each category of the
                                                                                                              Detailed S ummary P age
                                                                                                                                                     x 17
                                                                                                                                                         20a
                                                                                                                                                                      18
                                                                                                                                                                      20b
                                                                                                                                                                                  19a
                                                                                                                                                                                  20c
                                                                                                                                                                                               19b
                                                                                                                                                                                               21
                                                                                                                                   C ategory/
      institution. 104.3(b)(4). The                                                                                                   Type
                                                                                                                                                             R efund or Dis pos al contributions
                                           Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting of E xces s
                                           or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
                                              Office S ought:         Hous e              Dis burs ement For:
      loan must also be continually
                                                                                                                                                             C ontributions R equired Under
                                                                        enate
                                              NAME OF C OMMITTE E S(In Full)                        P rimary           G eneral                              11 C .F.R . 400.53
                                                                     P res ident                    Other (s pecify) ▼
      reported on Schedule C or                      Doe
                                               S tate:                 Congress Committee
                                                                  for Dis trict:
      C-P until it is extinguished.       A.
                                          C.
                                               Full Name (Las t, Firs t, Middle Initial)
                                                                                                                                                                                  Date of Dis burs ement
                                               National Trust Bank
      (See examples at right.)                 Mailing Addres s
                                                                                                                                                                                    M
                                                                                                                                                                                    M
                                                                                                                                                                                        03
                                                                                                                                                                                            M
                                                                                                                                                                                            M
                                                                                                                                                                                                  /
                                                                                                                                                                                                  /
                                                                                                                                                                                                          D
                                                                                                                                                                                                          D
                                                                                                                                                                                                               D
                                                                                                                                                                                                               D
                                                                                                                                                                                                              30
                                                                                                                                                                                                                     /
                                                                                                                                                                                                                     /
                                                                                                                                                                                                                             Y
                                                                                                                                                                                                                             Y
                                                                                                                                                                                                                                     Y
                                                                                                                                                                                                                                     Y
                                                                                                                                                                                                                                           Y
                                                                                                                                                                                                                                           Y
                                                                                                                                                                                                                                         2008
                                                                                                                                                                                                                                                   Y
                                                                                                                                                                                                                                                   Y



                                                 800 Lincoln Avenue
      Schedule C
                                               C ity                                                            S tateS tate Zip C ode C ode
                                                                                                                                    Zip                                           Amount of E ach Dis burs ement this P eriod
                                                 Reston�                                                            VA                    00000
                                               P urpos e of Dis burs ement                                                                                                                            ,
                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                         ▲                 .
                                                                                                                                                                                                                                         350.00
                                                                                                                                                                                                                                           ▲   ▲
      The committee need only list               Interest payment on candidate loan
                                               C andidate Name                                                                                                  C ategory/
      the candidate as the source                  Jane Doe                                                                                                        Type                           R efund or Dis pos al of E xces s
                                                                                                                                                                                                  R efund or Dis pos al of E xces s
                                                                                                                                                                                                  C ontributions R equired Under
                                               Office S ought:               x    Hous e                  Dis burs ement For:                                                                      C ontributions R equired Under
      of the loan on Schedule C.                                                 S enate                       x P rimary                      G eneral                                           11 C .F.R . 400.53
                                                                                                                                                                                                  11 C .F.R . 400.53
                                                                         P res ident                                     Other (s pecify) ▼
      However, the type of loan the            S tate: VA         Dis trict: 12
                                                                                                                                          ▼

                                               Full Name (Las t, Firs t, Middle Initial)
      candidate receives (i.e. bank       B.
                                           SUBTOTAL                                                                                                                                                   ,
                                                                                                                                                                                  Date of Dis burs ement
                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                         ▲                     .
                                                                                                                                                                                                                                               ▲
                                                                                                                                                                              ▼




                                                                of Dis burs ements This P age (optional) ..................................................................
      loan, brokerage account, credit                                                                                                                                               M       M     /       D    D     /       Y       Y     Y       Y



                                          CANDIDATE HOME EQUITY LINE OF CREDIT (SCHEDULE C)                                                                                                           ,                  ,                     .
                                             Mailing Addres s
                                            TOTAL This P eriod (las t page this line number only) ...............................................................                                     ▲                  ▲                     ▲
                                                                                                                                                                              ▼




      card, home equity line of credit,        C ity                                                                  S tate            Zip C ode
                                                                                                                                                                                  Amount of E ach Dis burs ement this P eriod
      other line of credit) must also     FE 4AN016

                                            P urpos e of Dis C (FEC
                                          SCHEDULE burs ement                            Form 3)
                                                                                                                                                                                            FE C Schedule B (Form 3) (R evis ed 02/2003)
                                                                                                                                                                                                                    PAG E                      OF
                                                                                                                                                             Us e s eparate s chedule(s )             ,FOR
                                                                                                                                                                                                      ▲          ▲       ,                     .
                                                                                                                                                                                                                                               ▲
      be disclosed in either the first
                                                                                                                                                                                                           LINE NUMB E R :
                                                                                                                                                             for each category of the
                                          LOANS
                                            C andidate          Name                                                                                         Detailed S ummary P age
                                                                                                                                                                                                      (check only one)                         x       13a
                                                                                                                                                               C ategory/                                                                              13b
      box for endorsers and guaran-        NAMEce S ought:
                                             Offi OF C OMMITTE E (In Full)
                                                                 Hous e          Dis burs ement For:
                                                                                                                                                                   Type
                                                                                                                                                                                                  R efund or Dis pos al of E xces s
                                                                                                                                                                                                  C ontributions R equired Under
      tors with a notation for loan                                 S enate
                                                       Doe for Congress Committee (s pecify)
                                                                                            P rimary
                                                                                            Other
                                                                                                       G eneral                                                                                   11 C .F.R . 400.53
                                                                    P res ident                       ▼
      type or in the box for “Loan              LOAN SOURCE Full Name (Las t, Firs t, Middle Initial)
                                               S tate:       Dis trict:
                                                                                                                                                                                       E lection:
                                                                                                                                                                                        x P rimary
                                               Full Name (Las t, Firs t, Middle Initial)
      Source” after the candidate’s       C. Mailing Addres s
                                                                Jane Doe - Home equity line of credit                                                                                       G eneral
                                                                                                                                                                                  Date of Dis burs ement
                                                                                                                                                                                            Other (s pecify) ▼
      name. (See example at right.)                     626
                                               Mailing Addres s            Pritham Ave.                                                                                            M        M     /       D    D     /       Y       Y     Y       Y


                                                C ity                                                               S tate                    ZIP C ode

      Schedule C-1
                                               C ity                                                            S tate            Zip C ode
                                                            Springfield                                            VA                         00000                               Amount of E ach Dis burs ement this P eriod

                                               P urpos e of Amountement
                                                   Original Dis burs of Loan                                             C umulative P ayment To Date                                                 ,                  ,      .
                                                                                                                                                                                  B alance Outs tanding at C los e of This P eriod
                                                                                                                                                                                                      ▲                  ▲      ▲
      The committee must disclose,             C andidate Name         ,            , 50000.00
                                                                                           .                                          ,              ,    5000.00.                                    ,                  , 45000.00
                                                                                                                                                                                                                                .
                                                                       ▲            ▲     ▲                                           ▲              ▲               ▲
                                                                                                                                                            C ategory/                                ▲                  ▲      ▲
      in the report covering the                TERMS
                                               Office S ought:                     Hous e        Dis burs ement For:
                                                                                                                                    Type
                                                                                                                                                         R efund or Dis pos al of E xces s
                                                                          Date Incurred                               Date Due           Interes t R ate                    S ecured:
                                                                                                                                                         C ontributions R equired Under
      period when the loan was                         M    M      /    D    D
                                                                                  S /enate Y Y Y
                                                                                        Y               M
                                                                                                           PM / D D /G eneral
                                                                                                            rimary           Y Y  Y Y                    11 C .F.R . 400.53
                                                           03             15 P res ident 2008                       31
                                                                                                         01 (s pecify) ▼
                                                                                                           Other                2010                  6.0 % (apr)
                                                                                                                                                      ▲
                                                                                                                                                                             x          .
      obtained, the following infor-           S tate:                     Dis trict:
                                                Lis t All E ndors ers or G uarantors (if any) to Loan S ource
      mation on Schedule C-1 (see             1. Full Name (Las t, Firs t, Middle Initial)                                                 Name of E mployer
                                            SUBTOTAL of Dis burs ements This P age (optional) ..................................................................                                      ,
                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                         ▲                     .
                                                                                                                                                                                                                                               ▲
                                                                                                                                                                              ▼




      example on following page):                       Mailing Addres s                                                                    Occupation
                                            TOTAL This P eriod (las t page this line number only) ...............................................................                                     ,
                                                                                                                                                                                                      ▲                  ,
                                                                                                                                                                                                                         ▲                     .
                                                                                                                                                                                                                                               ▲
                                                                                                                                                                              ▼




                                                                                                                                                         Amount
                                                                                                                                                         G uaranteed
                                          FE 4AN016     C ity                                          S tate             ZIP C ode
                                                                                                                                                         Outs tanding:                      ,                  ,                     .
                                                                                                                                                                                            FE C Schedule B (Form 3) (R evis ed 02/2003)
                                                                                                                                                                                            ▲                  ▲                     ▲


106
                                                2. Full Name (Las t, Firs t, Middle Initial)                                                             Name of E mployer
                                                                                                                                                                                                                                     CHAPTER 13
                                                       Mailing Addres s                                                                                  Occupation
                                                                          Completing FEC Reports


   •	The date, amount, and
     interest rate of the loan,                          CANDIDATE HOME EQUITY LINE OF CREDIT (SCHEDULE C-1)
     advance or line of credit;                           SCHEDULE C-1 (FEC Form 3)                                                                                                                  Supplementary for
                                                                                                                                                                                                     Information found on
                                                          LOANS AND LINES OF CREDIT FROM LENDING INSTITUTIONS
                                                                                                                                                                                                     Page              of Schedule C
   •	The name and address of                              Federal Election Commission, Washington, D.C. 20463
                                                           NAME OF C OMMITTE E (In Full)                                                                                                FEC IDENTIFICATION NUMBER
     the lending institution; and
                                                                                                                                                                                        C            00033000
                                                                      Doe for Congress Committee
   •	The types and value of                                LENDING INSTITUTION (LENDER)                                                   Amount of Loan                                              Interes t R ate (AP R )
     collateral or other sources                           Full Name
                                                                                                                                                                 50000.00                                              12.5 %
     of repayment that secure                                       National Trust Bank
                                                                                                                                                    ,
                                                                                                                                                    ▲            ▲,     .     ▲                                        ▲.
                                                           Mailing Addres s
     the loan, advance or line
                                                                                                                                                                                   M    M        /    D    D       /   Y   Y       Y   Y
                                                                                                                                          Date Incurred or E s tablis hed           03�               15�                  2008
                                                                    800 Lincoln Avenue
     of credit. 104.3(d)(1).                               C ity                                            S tate       Zip C ode        Date Due
                                                                                                                                                                                   M
                                                                                                                                                                                    01�
                                                                                                                                                                                        M        /    D
                                                                                                                                                                                                      31�
                                                                                                                                                                                                           D       /   Y   Y
                                                                                                                                                                                                                           2010
                                                                                                                                                                                                                                   Y   Y



                                                                      Reston�                               VA                 00000
Unlike loans to committees,                                                                                                                                                         M    M       /    D    D       /   Y   Y       Y   Y

                                                               A. Has loan been res tructured?                x      No             Yes   If yes , date originally incurred
when reporting bank loans                                      B . If line of credit,                                                                     Total

obtained by the candidate                                             Amount of this Draw:                           ,
                                                                                                                     ▲                ,
                                                                                                                                      ▲   0.00
                                                                                                                                          .
                                                                                                                                          ▲
                                                                                                                                                          Outs tanding
                                                                                                                                                          B alance:                          ,
                                                                                                                                                                                             ▲                 ,
                                                                                                                                                                                                               ▲           0.00
                                                                                                                                                                                                                           ▲.
or loans derived from the                                          C . Are other parties s econdarily liable for the debt incurred?
                                                                       x No            Yes     (E ndors ers and guarantors mus t be reported on S chedule C .)
candidate’s brokerage account,                                 D. Are any of the following pledged as collateral for the loan: e al es tate, pers onal
                                                                                                                                    r                                       What is the value of this collateral?

credit card, home equity line of                                  property, goods , negotiable ins truments , certificates of depos it, chattel papers ,
                                                                  s tocks , accounts receivable, cas h on depos it, or other s imilar traditional collateral?                                ,
                                                                                                                                                                                             ▲
                                                                                                                                                                                                               250000.00
                                                                                                                                                                                                               ,
                                                                                                                                                                                                               ▲    .          ▲
credit or other line of credit,                                           No        x   Yes       If yes , s pecify:            real estate
                                                                                                                                                                            Does the lender have a perfected s ecurity

the committee is not required                                  E . Are any future contributions or future receipts of interes t income, pledged as
                                                                                                                                                                            interes t in it?  No     x Yes
                                                                                                                                                                              What is the es timated value?
to submit the loan agreement                                       collateral for the loan? x No            Yes   If yes , s pecify:
                                                                                                                                                                                             ,
                                                                                                                                                                                             ▲                 ,
                                                                                                                                                                                                               ▲               .
                                                                                                                                                                                                                               0.00
                                                                                                                                                                                                                               ▲
to the Commission. Note,                                                                                                                   Location of account:
however, that Schedule C-1                                            A depos itory account mus t be es tablis hed purs uant
                                                                      to 11 C FR 100.82(e)(2) and 100.142(e)(2).
                                                                                                                                           Addres s :
must still be filed when the                                                   Date account es tablis hed:
                                                                                M   M    /    D    D    /      Y     Y     Y    Y
                                                                                                                                           C ity, S tate, Zip:
candidate obtains a loan and                                   F.     If neither of the types of collateral des cribed above was pledged for this loan, or if the amount pledged does not equal or
then contributes the proceeds                                         exceed the loan amount, s tate the bas is upon which this loan was made and the bas is on which it as s ures repayment.


to the committee. 104.3(d)(4).                                 G . C OMMITTE E TR E AS UR E R                                                                                     DATE
                                                                    yped Name
                                                                    T            Gottlob                      Frege                                                                M     M       /    D    D       /   Y   Y       Y   Y


Keeping Records                                                    S ignature                                                                                                        03                   15               2008

                                                               H.     Attach a s igned copy of the loan agreement.
The committee must retain                  I.  TO B E S IG NE D B Y THE LE NDING INS TITUTION:
                                                I. To the bes t of this ins titution’s knowledge, the terms of the loan and other information regarding the extens ion of the loan
records relating to the loan for                   are accurate as s tated above.
                                               II. The loan was made on terms and conditions (including interes t rate) no more favorable at the time than thos e impos ed for
                                                   s imilar extens ions of credit to other borrowers of comparable credit worthines s . payments made on the
                                                                                          •	Documentation for bas
three years after the date of the electionIII. This ins titution is aware of the requirement that a loan mus t be made on a all is which as s ures repayment, and has
                                                 in which
                                                                                             loan by any person. 104.14(b)(3) and (4).
                                                   complied with the requirements s et forth at 11 C FR 100.82 and 100.142 in making this loan.
the candidate ran. Additionally, the candidate Emust
                                      AUTHOR IZE D R P R E S E NTATIVE                                                                      DATE

preserve the following records for three years after
                                        yped Name
                                        T                                                                                                                                          M     M       /    D    D       /   Y   Y       Y   Y
                                       S ignature                                                    Title

the election for which he or she was a candidate:
   •	Records to demonstrate the ownership of
                                                          FE 4AN016
                                                                                                                      19. reporting refunds, returns                              FE C Schedule C-1 (Form 3) R evis ed 02/2003)
                                                                                                                                                                                                             (




     the accounts or assets securing the loans;                                                                         and Bounced Checks
   •	Copies of the executed loan agreements
     and all security and guarantee statements;
                                                                                                                      Refunds v. Returns
   •	Statements of account for all accounts
     used to secure any loan for the period                                                                           A refund occurs when the committee has actually
     the loan is outstanding such as brokerage                                                                        deposited a contribution in its bank depository
     accounts or credit card accounts and state-                                                                      and then pays it back to the contributor by issuing
     ments on any line of credit account that                                                                         a check. When a committee refunds a contribu-
     was used for the purpose of influencing the                                                                      tion to a donor, the committee must include the
     candidate’s election for federal office;                                                                         refund in the total for the appropriate category of
                                                                                                                      refund on the Detailed Summary Page (Lines 20(a),
   •	Documentation to establish the                                                                                   (b) or (c)). If the committee previously itemized
     source of the funds in the account                                                                               the incoming contribution on Schedule A, then it
     and the time of the loan; and


 CHAPTER 13                                                                                                                                                                                                                                107
                               Campaign Guide for Congressional Candidates and Committees


      must itemize the refund on a
      Schedule B for the appropriate       REFUNDED CONTRIBUTIONS (SCHEDULE A)
      category of refund. 104.8(d)         SCHEDULE A (FEC Form 3)                                                                    Us e s eparate s chedule(s )
                                                                                                                                                                                   FOR LINE NUMB E R :
                                                                                                                                                                                   (check only one)
                                                                                                                                                                                                                          PAG E              OF


      (4). (See examples at right.)        ITEMIZED RECEIPTS                                                                          for each category of the
                                                                                                                                      Detailed S ummary P age
                                                                                                                                                                                       11a
                                                                                                                                                                                       12
                                                                                                                                                                                                       11b
                                                                                                                                                                                                       13a
                                                                                                                                                                                                                x     11c
                                                                                                                                                                                                                      13b
                                                                                                                                                                                                                                       11d
                                                                                                                                                                                                                                       14            15

      Alternatively, a committee may        Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                            or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

      return a contribution to the              NAME OF C OMMITTE E (In Full)

                                                        Doe for Congress Committee
      donor without depositing it,              Full Name (Las t, Firs t, Middle Initial)

      although the return must be          A.           Very Controversial PAC
                                                Mailing Addres s
                                                                                                                                                                                      Date of R eceipt
                                                                                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y

      made within 10 days of the                C ity
                                                        879 Peabody Street
                                                                                                                     S tate             Zip C ode
                                                                                                                                                                                       03                  19                          2008

      treasurer’s receipt of the con-                   Washington                                                                      DC                          00000
                                                                                                                                                                                                 Refunded 3/30/08
      tribution. 103.3(a). In this case,        FE C ID number of contributing
                                                federal political committee.                                        C                                                                Amount of E ach R eceipt this P eriod


      the committee does not have               Name of E mployer                                                 Occupation                                                                           ,
                                                                                                                                                                                                       ▲                  ,    .
                                                                                                                                                                                                                          ▲ 5000.00
                                                                                                                                                                                                                               ▲
                                                                                                                                                                                           See Schedule B, Line 20(c)
      to report either the receipt or           R eceipt For:                                                     E lection C ycle-to-Date
                                                                                                                                                    ▼                                       Limits Increas ed Due to Opponent’ s
                                                  x
      the return of the contribution.
                                                        P rimary           G eneral                                                                                                         S pending (2 U.S .C . §441a(i)/441a– 1)
                                                        Other (s pecify) ▼
                                                                                                                                  ,               ,     5000.00
                                                                                                                                                            .
                                                                                                                                  ▲               ▲                ▲
                                                Full Name (Las t, Firs t, Middle Initial)


      Checks Returned Due
                                                                                                                                                                                      Date of R eceipt
                                           B.
                                                Mailing Addres s                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y




      to Insufficient Funds                REFUNDED CONTRIBUTIONS (SCHEDULE B)
                                                C ity                                                                S tate             Zip C ode


                                                                                                                                                                                                            PAG E         OF
                                             FE C ID number of (FEC Form 3)
                                           SCHEDULE B contributing                                                                                                             FOR LINE NUMB E R :
      If a committee reports the             federal political committee.                                           C        Us e s eparate s chedule(s )                           Amount of
                                                                                                                                                                               (check only one) E ach R eceipt this P eriod
                                           ITEMIZED DISBURSEMENTS                                                            for each category of the
                                                                                                                                                                                             17                 18                 19a               19b
      receipt of a check and later              Name of E mployer                                                 Occupation Detailed S ummary P age
                                                                                                                                                                                             20a       ,
                                                                                                                                                                                                       ▲        20b       ,
                                                                                                                                                                                                                          ▲x       20c       .
                                                                                                                                                                                                                                             ▲       21

      finds it cannot be negotiated         Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                               R eceipt For:
                                            or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.
                                                                                                 E lection C ycle-to-Date
                                                                                                                          ▼                             Limits Increas ed Due to Opponent’ s

      because of insufficient funds            NAMEP OF C OMMITTE E G(In Full)
                                                       rimary            eneral                                                                         S pending (2 U.S .C . §441a(i)/441a– 1)
                                                     Other (s pecify) ▼
                                                                                                                                  ,
                                                                                                                                  ▲               ,
                                                                                                                                                  ▲                .
                                                                                                                                                                   ▲
      in the donor’s account, the                       Doe for Congress Committee
                                                Full Name (Las t, Firs t, Middle Initial)
                                                Full Name (Las t, Firs t, Middle Initial)

      committee should deduct              A.
                                           C.
                                                      Very Controversial
                                                Mailing Addres s                                          PAC
                                                                                                                                                                                      Date of R eceiptement
                                                                                                                                                                                      Date of Dis burs
                                                                                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y

      the amount of the check in                Mailing Addres s
                                                C ity 879 Peabody                      Street                        S tate             Zip C ode
                                                                                                                                                                                        03                 30                          2008

      its next report as follows:               C ity
                                                      Washington                                                  DC
                                                                                                                     S tate             Zip C ode
                                                                                                                                              000000
                                                                                                                                                                                     Amount of E ach Dis burs ement this P eriod
                                                FE C ID number of contributing
                                                                                                                    C                                                                                  ,        5000.00   ,
                                                                                                                                                                                      Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                                                             .
        •	If the committee did not              federal e of Dis burs ement
                                                P urpos political committee.
                                                                                                                                                                                                       ▲                  ▲                  ▲
                                                        Refund of 3/19/08 contribution                                                                              001
          itemize the receipt on a
                                                Name of E mployer
                                                C andidate Name                                                   Occupation
                                                                                                                                                                 C ategory/                            ,
                                                                                                                                                                                              See Schedule A, Line 11(c)
                                                                                                                                                                                                       ▲                  ,
                                                                                                                                                                                                                          ▲                  .
                                                                                                                                                                                                                                             ▲
                                                        Jane Doe                                                                                                    Type                         R efund or Dis pos al of E xces s

          previous report, it sub-              R eceipt For:
                                                Office S ought:
                                                        P rimary
                                                                             Hous e
                                                                             G eneral
                                                                             S enate
                                                                                                                ement For:
                                                                                                        Dis bursE lection C ycle-to-Date
                                                                                                                x   P rimary
                                                                                                                                          ▼
                                                                                                                                      G eneral
                                                                                                                                                                                                 C ontributions R equired Under
                                                                                                                                                                                            Limits Increas ed Due to Opponent’ s
                                                                                                                                                                                                 11 C .F.R . 400.53
                                                                                                                                                                                            S pending (2 U.S .C . §441a(i)/441a– 1)
          tracts the amount of the              S tate:
                                                        Other (s pecify) ▼ P res ident
                                                                      Dis trict:
                                                                                                                                  ,
                                                                                                                      Other (s pecify) ▼
                                                                                                                               ▲                  ,
                                                                                                                                                  ▲                .
                                                                                                                                                                   ▲

          check from the total for              Full Name (Las t, Firs t, Middle Initial)

                                           B.
                                            SUBTOTAL                                                                                                                                                   ,
                                                                                                                                                                                      Date of Dis burs ement ▲
                                                                                                                                                                                                ▲                         ,                  .
                                                                                                                                                                                                                                             ▲
          the appropriate category
                                                                                                                                                                               ▼




                                                             of R eceipts This P age (optional) ............................................................................
                                                                                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y



                                           CHECKS RETURNED DUE TO INSUFFICIENT FUNDS                                                                                                                   ,                  ,                  .
                                              Mailing Addres s
                                                                                                                                                                                                       ▲                  ▲                  ▲
          of receipts. The reduced           TOTAL This P eriod (las t page this line number only) ...............................................................
                                                                                                                                                                               ▼




                                                C ity                                                               Zip C ode
                                                                                                                     S tate
          total is entered on the          FE 4AN016
                                                                                                                                                    Amount of E ach Dis burs ement this P eriod
                                                                                                                                                          FE C Schedule
                                                                                                                                                 FOR LINE NUMB E R : A (FormE3) (R evis ed 02/2003)
                                                                                                                                                                             PAG          OF
                                             P urpos e of Dis A (FEC
                                           SCHEDULE burs ement Form 3)
          Detailed Summary Page.
                                                                                                                  Us e s eparate s chedule(s )
                                                                                                                  for each category of the
                                                                                                                                                 (check only one)
                                                                                                                                                                ▲            ▲            ▲            ,                  ,                  .
                                           ITEMIZED RECEIPTS                                                      Detailed S ummary P age
                                                                                                                                                   x  11a         11b       11c        11d
                                               C andidate Name                                                                        C ategory/      12         13a        13b        14         15
        •	If the committee previously                                                                                                    Type
                                                                                                                                                               R efund of s oliciting contributions
                                            Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e or Dis pos al of E xces s
                                               Officommerc ial          Hous e              Dis burs ement For:
                                            or for ce S ought: purpos es , other than us ing the name and addres s of any political committee to s olicit contributions fromR s uch committee.
                                                                                                                                                               C ontributions equired Under
          itemized the receipt, it                                     S enate
                                               NAME OF C OMMITTE E (In Full)
                                                                                                      P rimary
                                                                                                      Other (s pecify) ▼
                                                                                                                          G eneral                             11 C .F.R . 400.53
                                                                       P res ident
          itemizes the return of the               Doe
                                                S tate:      for Congress Committee
                                                                 Dis trict:
                                                Full Name (Las t, Firs t, Middle Initial)
          check as a negative entry on     A.
                                           C.       Light, Jack                                                                                                                       Date of Dis burs
                                                                                                                                                                                      Date of R eceiptement

          the appropriate Schedule
                                                Mailing Addres s                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y
                                                                                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y

                                                      421 Overdraw
                                                Mailing Addres s                        Street                                                                                             03              01                          2008
          A. (See example at right.)            C ity
                                                C ity Falls         Church                                    S tate
                                                                                                                   VA
                                                                                                                     S tate
                                                                                                                              Zip C ode
                                                                                                                                        Zip C ode
                                                                                                                                            000000                                   Amount of E ach Dis burs ement this P eriod

      Checks received and                       FE C ID number of contributing
                                                P urpos e of Dis burs ement
                                                federal political committee.                                        C                                                                Amount of E ach R eceipt this P eriod
                                                                                                                                                                                                       ,
                                                                                                                                                                                                       ▲                  ,
                                                                                                                                                                                                                          ▲                  .
                                                                                                                                                                                                                                             ▲
                                                                                                                                                                                                                                   -300.00
      returned by the bank in the               C andidate Name
                                                Name of E mployer                                                 Occupation                         C ategory/
                                                                                                                                                                                                       ,                  ,          .
                                                    None                                                             Graduate                 Student Type
      same reporting period do                  Office S ought:
                                                R eceipt For:                Hous e                             ement For:
                                                                                                        Dis bursE lection C ycle-to-Date
                                                                                                                                                                                                 Rbounced check s
                                                                                                                                                                                                   efund or Dis pos al of E xces
                                                                                                                                                                                                 C Increas ed Due to Opponent’s
                                                                                                                                                                                            Limits ontributions R equired Under
                                                                                                                    P rimary          G eneral
      not need to be reported.                     x P rimary                S enate
                                                                             G eneral                                                                                                            11 C (2 . 400.53
                                                                                                                                                                                            S pending .F.RU.S .C . §441a(i)/441a– 1)

                                                S tate:
                                                        Other (s pecify) P res ident
                                                                      Dis trict:
                                                                                                                                  ,
                                                                                                                    Other (s pecify)
                                                                                                                                     ▼             ,               .
                                                                                                                                                                   0.00
                                                Full Name (Las t, Firs t, Middle Initial)

                                           B.
                                            SUBTOTAL
                                                                                                                                                                                      Date of R eceipt
                                                                                                                                                                                                       ,
                                                                                                                                                                                                       ▲                  ,
                                                                                                                                                                                                                          ▲                  .
                                                                                                                                                                                                                                             ▲
                                                                                                                                                                               ▼




                                                          of Dis burs ements This P age (optional) ..................................................................
                                                Mailing Addres s                                                                                                                       M     M     /       D    D     /        Y   Y     Y       Y

                                             TOTAL This P eriod (las t page this line number only) ...............................................................                                     ,
                                                                                                                                                                                                       ▲                  ,
                                                                                                                                                                                                                          ▲                  .
                                                                                                                                                                                                                                             ▲
                                                                                                                                                                               ▼




                                              C ity                                              S tate                 Zip C ode

                                           FE 4AN016                                                                                                                                         FE C Schedule B (Form 3) (R evis ed 02/2003)
                                                FE C ID number of contributing
                                                federal political committee.                                        C                                                                 Amount of E ach R eceipt this P eriod


108                                             Name of E mployer                                                 Occupation                                                                           ,                   ,       CHAPTER 13
                                                                                                                                                                                                                                     .
                                                                                   Completing FEC Reports



20. reporting transfers Between                                                                               In Different Election Cycles
  authorized Committees                                                                                       The receiving committee also does not have to
                                                                                                              itemize contributions transferred between commit-
As explained in Chapter 9, authorized com-                                                                    tees authorized by one candidate for two different
mittees may make and receive transfers to and                                                                 election cycles as long as the original contributions
from other federal authorized committees of                                                                   count against the limits for the election for which
the same candidate. The following sections                                                                    the contributions were intended. 110.3(c)(4).
explain the rules for reporting the permis-                                                                   exaMpLe: A 2008 House candidate has a surplus
sible transfers discussed in Chapter 9.                                                                       from that campaign. The candidate may roll over
                                                                                                              that amount to his or her committee for reelec-
Transfers Between Candidate’s                                                                                 tion in 2010 without again itemizing the contribu-
                                                                                                              tions that make up the transfer, provided that:
Committees for the Same Office
                                                                                                                   •	He or she did not become a candi-
In the Same Election Cycle                                                                                           date for the 2010 election before
Transfers between a candidate’s authorized com-                                                                      the 2008 general election; and
mittees for the same election are reported by the                                                                  •	The surplus transferred from the 2008
transferring committee on Line 18 of the Form                                                                        committee consists of contributions that
3 Detailed Summary Page, and by the committee                                                                        count against the 2008 limits rather than
receiving the transfer on Line 12 of the Form 3                                                                      the 2010 limits (i.e., were designated for or
Detailed Summary Page. 104.3(a)(3)(vi) and (b)(2)                                                                    made prior to the 2008 general election).
(ii). The receiving committee does not need to
re-itemize the sources of the funds transferred                                                               Transfers Between Candidate’s
(e.g., contributions that comprise the transfer)
because the transferring committee has already                                                                Committees for Multiple Offices
itemized them in its report to the principal                                                                             A candidate’s authorized committee for one office
campaign committee, which is attached to the                                                                             (e.g., a Senate campaign) receiving a transfer from
principal campaign committee’s consolidated                                                                              that candidate’s authorized committee for another
report (Form 3Z). 110.3(c). (See example below.)                                                                         office (e.g., a House campaign) must report the
                                                                                                                                                        total transfer on Line 12 of the
                                                                                                                                                        Form 3 Detailed Summary Page
 TRANSFERS BETWEEN CANDIDATE’S COMMITTEES, SAME OFFICE                                                                                                  and must itemize the transfer
  SCHEDULE A (FEC Form 3)
                                                                                                    FOR LINE NUMB E R :          PAG E 1     OF       1 on Schedule A, regardless of
                                                                   Us e s eparate s chedule(s )     (check only one)
  ITEMIZED RECEIPTS                                                for each category of the
                                                                   Detailed S ummary P age
                                                                                                          11a         11b       11c       11d           amount. 104.3(a)(4)(iii)(A). (See
                                                                                                      x 12            13a       13b       14       15
   Any information copied from s uch R eports and S tatements may not be s old or us ed by any pers on for the purpos e of s oliciting contributions
                                                                                                                                                        Chapter 9 for information on
   or for commercial purpos es , other than us ing the name and addres s of any political committee to s olicit contributions from s uch committee.

      NAME OF C OMMITTE E (In Full)
                                                                                                                                                        when such transfers are permis-
         Doe for Congress Committee                                                                                                                     sible.) In addition, as discussed
      Full Name (Las t, Firs t, Middle Initial)
          Friends of Jane Doe
                                                                                                                                                        in Chapter 9, the receiving
  A.                                                                                                    Date of R eceipt
      Mailing Addres s                                                                       M   M    /   D    D    /   Y   Y   Y   Y                   committee must aggregate the
            147 Felicity Circle                                                                             03� 21                     2008
      C ity                                              S tate      Zip C ode                                                                          contributions that make up the
            Fairfax� �                     �            VA�               000000
      FE C ID number of contributing
                                                                                                                                                        transfer with any other con-
                                                        C           00000002                            Amount of E ach R eceipt this P eriod
      federal political committee.
                                                                                                                                                        tributions it receives from the
      Name of E mployer                                Occupation                                                    ▲,          ▲, 3000.00  ▲.
                                                                                                                                                        same contributor. 110.3(c)(5).
       R eceipt For:                               E lection C ycle-to-Date                      Limits Increas ed Due to Opponent’ s
                                                                                                                             If the aggregate contribu-
                                                                              ▼
         x P rimary             G eneral                                                         S pending (2 U.S .C . §441a(i)/441a– 1)
             Other (s pecify) ▼
                                                              ,
                                                              ▲               ,
                                                                              ▲      .
                                                                                  3000.00
                                                                                     ▲
                                                                                                                             tions from one contributor
       Full Name (Las t, Firs t, Middle Initial)

  B.
                                                                                            Date of R eceipt                 exceed $200 in the election
       Mailing Addres s                                                                      M   M    /   D    D    /   Y   Y
                                                                                                                             cycle, the receiving commit-
                                                                                                                                Y   Y



       C ity                                        S tate         Zip C ode
                                                                                                          tee must itemize the contributions as memo
       FE C ID number of contributing
       federal political committee.                 C                                       Amount of E ach R eceipt this P eriod


       Name of E mployer                           Occupation                                             ,
                                                                                                          ▲             ,
                                                                                                                        ▲           .
                                                                                                                                    ▲
 CHAPTER 13
   R eceipt For:                                   E lection C ycle-to-Date                                                                                                                 109
                                                                              ▼                  Limits Increas ed Due to Opponent’ s
               P rimary          G eneral                                                        S pending (2 U.S .C . §441a(i)/441a– 1)
                              Campaign Guide for Congressional Candidates and Committees


      entries on a Schedule A. The recipient committee         Note, however, that interest or other income
      must also report the total transfer on Line 12           earned on these investment accounts need not
      of the Form 3 Detailed Summary Page and must             be placed in the campaign depository account
      itemize the source of the transfer on Schedule           before they are reinvested. As noted above,
      A, regardless of amount. See AO 1984-38.                 investments are not expenditures; they are
      The committee making the transfer must report            simply a conversion of assets from one form
      the transfer on Line 18 of the Form 3 Detailed           to another. The committee must report the
      Summary Page and must itemize the disbursement           reinvested income from investments follow-
      on Schedule B, regardless of amount. 104.3(b)(4)(ii).    ing the rules explained below. AO 1997-6.


      Transfers of Joint Fundraising Receipts                  Reporting Investment Income and Loss
      For information on reporting transfers of joint fund-    Report investment income received or lost dur-
      raising receipts, see Appendix C, “Joint Fundraising.”   ing the reporting period in the “Other Receipts”
                                                               category (Line 15) of the Detailed Summary Page.
                                                               If investment income from one source aggregates
                                                               over $200 during a calendar year, itemize the
      21. reporting investments                                interest on a Schedule A for Line 15. 104.3(a)(4)
                                                               (vi). Losses are indicated by negative entries.
      A committee that has invested its funds—for
      example, in a savings account, money market fund
      or certificate of deposit—must include the total         Reporting Income Tax
      amount invested in its cash on hand (Line 27 of          A committee must report, as an operating
      the Form 3 Detailed Summary Page). It should             expenditure, income tax paid on investment
      not report any investment as a disbursement,             income. Income tax payments must be item-
      since the money has not actually been spent, but,        ized on a Schedule B for Line 17 (Operating
      instead, is still a committee asset. 104.3(a)(1).        Expenditures) only if the payments aggregate
                                                               over $200 during an election cycle to the same
      Reporting Additional Depository                          payee (the local, state or federal government).

      Funds Invested with Banks
      If a committee invests the funds in a bank that          22. Completing the report
      was not previously identified as a campaign
      depository on the Statement of Organiza-                 As noted previously, paper filers should complete
      tion (FEC Form 1), the committee must file an            the itemization schedules first so that they may
      amended Statement of Organization disclosing             accurately complete the Summary Page and
      the name and address of the new deposi-                  the Detailed Summary Page. (See examples at
      tory. The amendment must be filed within 10              left.) After completing the schedules, transfer
      days of making the investment. 102.2(a)(2).              their totals, plus other relevant totals derived
                                                               from the committee’s records, to the Detailed
      Funds Invested with Other Establishments                 Summary Page. Calculations from the Detailed
      If committee funds are invested in a fund that is        Summary Page and from Schedules C and D are
      not operated by a bank (such as a money market           then transferred to the Summary Page. Paper
      fund operated by a brokerage firm), no amend-            filers should refer to the next two sections for
      ment to the Statement of Organization is required.       detailed information. Note that electronic filing
      Before using the funds (principal or interest) to        software completes these tasks automatically.
      make expenditures, the committee must first
      transfer them to a designated campaign checking
      account. 103.3(a). See, for example, AO 1986-18.



110                                                                                                     CHAPTER 13
                                                        Completing FEC Reports



23. the Detailed Summary page                                                                      Line 11(b). Contributions from
                                                                                                   Political Party Committees
The Detailed Summary Page lists the totals for                                                     On Line 11(b), enter the total amount of con-
various categories of receipts and disbursements.                                                  tributions from party committees including any
Some of the figures are taken from the totals                                                      party organizations not registered with the FEC.
listed on the attached Schedules A and B, some                                                     As noted earlier in the chapter, these contribu-
are totals of figures that are not itemized on                                                     tions must be itemized on a Schedule A for this
these schedules and some are combined totals                                                       Line, regardless of amount. 104.3(a)(3)(iii).
of itemized figures from the schedules plus some
unitemized figures. (See example of Detailed                                                       L