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HOME / LAW & REGULATIONS / COMMISSION REGULATIONS / E&J COMPILATION - MAIN / CITATION INDEX / PART 111

E&J Citation Index
General Regulations: Part 111

The Citation Index lists numerically, then chronologically, all regulations that have a written Explanation and Justification (E&J).

For each regulation listed, the index provides the subject and the year the rule took effect. (For notices prior to April 2005, the page number in the Paper Version of the Compilation is also included.) Be aware that a citation may cover different subjects over the years. The conversion tables trace the periodic reorganization and renumbering of regulations. The Appendix lists previous citations for any current regulation that has been renumbered. Users of this Compilation are referred to the Appendix by an asterisk next to the subject category in this index. If the E&J simply explains an amendment to the regulation, but not a change in Commission policy or citation, only the year and the page are given for the E&J. To locate a particular E&J for a regulation, simply look up the citation, then match up the subject and year, and click on the Year/Link listed.

The PDF files on this web site may be viewed or printed using the Adobe® Acrobat® Reader available from Adobe Systems Incorporated.

 

Part 111: Compliance Procedures

 

Part 111: Compliance Procedures
Subpart A: Enforcement

Citation

Subject

Year/
Link

Paper
Version
Page

111 - Policy: Establishing a Pilot Program for Probable Cause Hearings
-
- - Policy: Commission Action in Matters at the Initial Stage in the Enforcement Process
-
- - Policy: Self-reporting of violations (sua sponte submissions)
-
- - Rules of Agency Organization, Procedure, or Practice:
Procedural Rules for Probable Cause Hearings
-
- - Procedural Rules for Audit Hearings
-
- - Procedural Rules for Audit Hearings (correction)
-
- - Policy: Regarding Placing First General Counsel’s Reports on the Public Record
-
- - Agency Procedure for Disclosure of Documents and Information in the Enforcement Process
-
- - Agency Procedure Following the Submission of Probable Cause Briefs by the Office of General Counsel
-
- - Extension of Administrative Fines Program  

111.1

-

Filing requirements

1975

32

-

-

Compliance regulations-purpose

1977

58

-

-

Scope

1980

131

111.2

-

Filing copies of reports by Presidential and Vice Presidential candidates

1975

32

-

-

Provision for complaint by member of public

1977

58

-

-

Computation of time

1980

131

111.3

-

Filing copies of reports by other federal candidates and committees

1975

33

-

-

Initial processing

1977

58

-

-

Initiation of compliance matters

1980

131

111.4

-

Filing copies of reports by committees supporting Presidential candidates

1975

33

-

-

Notification

1977

59

-

-

Complaints

1980

131

-

-

-

1985

228

-

(a)

Filing a complaint

1985

228

-

(b)

Requirements for Commission action

1980

131

-

(c)

Sufficient information

1980

131

111.5

-

Time and manner of filing copies

1975

33

-

-

Investigation

1977

59

-

-

Initial complaint processing

1980

131

-

(b)

Improper complaint

1980

131

111.6

-

Duty of State officers

1975

33

-

-

Commission processing

1977

59

-

-

Opportunity to demonstrate that no action should be taken on complaint-generated matters

1980

131

111.7

-

Effect of State law

1975

33

-

-

Public notice of mandatory certification period

1977

59

-

-

General Counsel's recommendation on complaint-generated matters

1980

131

111.8

-

Disclosure policy

1977

59

-

-

Internally generated matters; referrals

1980

131

-

-

-

2000

576

-

(c)

Non-filers published

1980

131

-

-

-

1980

136

-

(d)

Review under administrative fines program

2000

576

111.9

-

Civil proceedings

1977

59

-

-

The reason to believe finding; notification

1980

131

- - -
-

111.10

-

Subpoenas and subpoenas duces tecum

1977

59

-

-

Investigation

1980

131

111.11

-

Depositions

1977

59

-

-

Written questions under oath

1980

131

111.12

-

Services of subpoenas and notices of deposition

1977

59

-

-

Subpoenas and subpoenas duces tecum; depositions

1980

131

-

(c)

Review and signing

1980

132

111.13

-

Motions to quash

1977

59

-

-

Service of subpoenas, orders and notifications

1980

132

-

(c)

Proper service on individuals

1980

132

-

(d)

Proper service on other persons

1980

132

111.14

-

Witness fees and mileage

1977

59

-

-

-

1980

132

111.15

-

Ex parte communications

1977

59

-

-

Motions to quash or modify a subpoena

1980

132

-

-

-

1985

228

-

(a)

Motion to quash subpoena

1985

228

-

(c)

Agreement to change place, date or time of deposition

1980

132

111.16

-

The probable cause to believe recommendation; briefing procedures

1980

132

-

-

-

1985

228

- - -
-
- (b) Notification by General Counsel to respondent on probably cause recommendation
-

-

(c)

Filing of respondent's brief

1985

228

- - -
-

-

(d)

Notification by General Counsel to Commission whether to proceed with or withdraw recommendation

1980

132

111.17

-

The probable cause to believe finding; notification

1980

132

- - -
-

111.18

-

Conciliation

1980

132

-

(d)

Conciliation reached before mandatory conciliation period

1980

132

111.19

-

Civil proceedings

1980

132

-

(c)

Conciliation after filing of a civil action

1980

132

111.20

-

Public disclosure of Commission action

1980

132

-

-

-

2000

576

-

(c)

Public disclosure of closed enforcement case

2000

576

111.21

-

Confidentiality

1980

132

-

(a)

Confidentiality until case is closed

1980

132

-

(b)

Confidentiality requirement in conciliation efforts

1980

132

-

(c)

Contact with persons by Office of General Counsel

1980

132

111.22

-

Ex parte communications

1980

132

111.23

-

Representation by counsel: notification

1980

132

- - -
-

111.24

-

Civil penalties

1997

516

-

-

-

2000

576

-

-

-

2003

737

- - -
-
- - -
-
- - -
-

-

(a)(1)

Imposition of civil monetary penalties

2000

576

-

-

-

2003

737

- - Violations that are not knowing and willful
-
- - -
-

-

(a)(2)

Knowing and willful violations

2003

737

- - -
-
- - -
-
- (a)(2)(i) Knowing and willful violations
-
- - -
-
- (a)(2)(ii) Knowing and willful contributions made in the name of another
-
- - -
-
- - -
-
- (b) Violations of confidentiality
-
- - -
-
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Part 111: Compliance Procedures
Subpart B: Administrative Fines

Citation

Subject

Year/
Link

Paper
Version
Page

111.30

-

When will subpart B apply?

2000

576

-

-

-

2001

611

-

-

-

2004

901

- - -
-
- - -
-
- - -
-

111.31

-

Does this subpart replace subpart A of this part for violations of the reporting requirements of 2 USC 434(a)?

2000

576

-

(b)

Application of administrative fines program

2000

576

111.32

-

How will the Commission notify respondents of a reason to believe finding and a proposed civil money penalty?

2000

577

111.33

-

What are the respondent's choices upon receiving the reason to believe finding and the proposed civil money penalty?

2000

577

111.34

-

If the respondent decides to pay the civil money penalty and not to challenge the reason to believe finding, what should the respondent do?

2000

577

111.35

-

If the respondent decides to challenge the alleged violation or proposed civil money penalty, what should the respondent do?

2000

577

- - -
-

-

(b)

Contents of written response

2000

577

-

-

-

2003

833

- - -
-
- (b)(1) "Factual errors" defense
-
- (b)(3) "Best efforts" defense
-

-

(b)(4)

Circumstances not considered extraordinary

2000

577

-

-

-

2003

833

-

(b)(4)(iii)

Staff illness, inexperience or unavailability

2003

834

-

(b)(4)(iv)

Computer failure

2000

578

- (c) Reasonably unforeseen circumstances beyond respondents' control
-
- (d) Circumstances not reasonably unforeseen or beyond respondents' control
-
- (e) Factual basis for challenge
-

111.36

-

Who will review the respondent's written response?

2000

578

-

(b)

Information to be reviewed

2000

578

-

(c)

Format of documents furnished by respondent

2000

579

-

(d)

Information furnished by Commission staff

2000

578

-

(f)

Copy of recommendation to respondent

2000

578

111.37

-

What will the Commission do once it receives the respondent's written response and the reviewing officer's recommendation?

2000

579

- - -
-
- (b) Commission finding that no violation has occurred
-
- (d) Commission statement of reasons in AFP final determinations
-

111.38

-

Can the respondent appeal the Commission's final determination?

2000

580

111.39

-

When must the respondent pay the civil money penalty?

2000

580

111.40

-

What happens if the respondent does not pay the civil money penalty pursuant to 11 CFR 111.34 and does not submit a written response to the reason to believe finding pursuant to 11 CFR 111.35?

2000

580

111.41

-

To whom should the civil money penalty payment be made payable?

2000

580

- - Removed and reserved
-

111.42

-

Will the enforcement file be made available to the public?

2000

580

111.43

-

What are the schedules of penalties?

2000

580

-

-

-

2003

834

- - -
-
- - -
-
- - -

2009

-
- - -
-

-

(a)

Schedule for non-election sensitive reports

2000

581

- - * Schedule for non-election sensitive reports
-
- - -
-

-

(a)(1)

Reports due prior to April 16, 2003

2003

834

- - Removed
-

-

(a)(2)

Reports due on or after April 16, 2003

2003

834

- - -
-
- - Renumbered as 111.43(a)
-

-

(b)

Schedule for election-sensitive reports

2000

581

- - *Schedule for election-sensitive reports
-
- - -
-

-

(b)(1)

Reports due prior to April 16, 2003

2003

834

- - Removed
-

-

(b)(2)

Reports due on or after April 16, 2003

2003

834

- - Renumbered as 111.43(b)
-

-

(c)

Penalty when Commission cannot determine level of activity

2000

581

- - -
-

-

(d)

Definitions

2000

581

- - -
-
- (d)(1) Election sensitive reports
-
- (d)(2) Estimated level of activity
-
- (d)(2)(i) For authorized committee
-
- (d)(2)(ii)(A) For unauthorized committee during current two-year election cycle
-
- (d)(2)(ii)(B) For unauthorized committee that has not filed report covering activity during current two-year election cycle
-
- (d)(3) Level of activity
-
- (d)(3)(i) For authorized committee
-
- (d)(3)(ii) For unauthorized committee
-
- (d)(4) Number of previous violations
-

-

(e)

When reports are considered late

2000

581

111.44

-

What is the schedules of penalties for 48-hour notices that are not filed or are filed late?

2000

581

- - -
-
- - -
-

111.45

-

What actions will be taken to collect unpaid civil money penalties?

2000

581

-

-

-

2003

838

-

-

-

2003

840

- - Removed
-

111.46

-

How will the respondent be notified of actions taken by the Commission and the reviewing officer?

2003

838

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Part 111: Compliance Procedures
Subpart C: Collection of Debts Arising From Enforcement and Administration of Campaign Finance Laws

Citation

Subject

Year/
Link

Paper
Version
Page

111.50

-

Purpose and scope

2010

-

111.51

-

Debts that are covered

2010

-

- - -
-
- (b) Debts that procedures do not apply to
-
111.52 - Administrative collection of claims
-
111.53 - Litigation by the Commission
-
111.54 - Bankruptcy claims
-
111.55 - Interest, penalties and administrative costs
-

 

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