How to file a complaint with the FEC

OGC reports each case assigned to an attorney to the Commission and recommends whether or not there is "reason to believe" the respondent has committed or is about to commit a violation of the law or whether the Commission should dismiss the allegation on other grounds. The Commissioners make the final decision by voting for or against OGC’s recommendation. Four affirmative votes are required to go forward with any enforcement action.

In casting their votes, the Commissioners consider the complaint, the respondent's reply, relevant committee reports on the public record, other available information on the public record and the General Counsel's analyses and recommendations. In the initial stages of the process, the Commission will take one of the following actions:

• Find reason to believe;
• Dismiss the matter;
• Dismiss the matter, but send a caution letter; or
• Find no reason to believe.

If the Commission decides there is no "reason to believe" a violation has occurred or is about to occur with respect to all of the allegations, or if the Commission dismisses the matter, the case is closed and the parties involved are notified. If, on the other hand, the Commission finds that there is "reason to believe" the respondent has violated or is about to violate the law, the Commission may either open an investigation or enter directly into conciliation discussions with the respondent.

Early resolution of complaint (pre-probable cause conciliation)

Prior to, or in lieu of, investigation and before the Commission mails the respondent the OGC brief containing probable cause recommendations, the respondent may submit a written request that the matter be resolved through pre-probable cause conciliation negotiations. In some cases, the Commission proposes a written conciliation agreement to resolve the matter at the same time it notifies the respondent of the RTB finding. The respondent must reply to the General Counsel's invitation to enter into such negotiations within seven days of the receipt of the offer. Pre-probable cause discussions, which are generally limited to 60 days (absent an extension), may result in a conciliation agreement between the respondent and the Commission, thereby resolving the matter.

If the General Counsel and the respondent negotiate a conciliation agreement, the written agreement becomes effective once it is approved by the affirmative vote of at least four commissioners and signed by the respondent and the Office of General Counsel. Generally, the agreement includes a description of the facts and the law, admissions of the violations by the respondent, restrictions on future conduct or remedial actions the respondent must take and a provision for the payment of a civil penalty by the respondent. The General Counsel provides a copy of the signed agreement to the respondent and, when the case is closed, to the complainant as well.

If negotiations do not resolve the matter, however, the General Counsel may send the respondent a probable cause brief. The respondent has 15 days to submit a reply brief.

Investigation

At the beginning of an investigation, the Commission notifies the respondent of the RTB finding and provides a Factual and Legal Analysis that sets forth the basis for the Commission’s determination. The notice informs the respondent of the opportunity to submit a written reply and may include questions for the respondent to answer. As part of its investigation, the Commission may issue orders requiring sworn written answers and subpoenas requiring a person to testify to or to produce documents. If necessary, the Commission may ask a federal district court to enforce these orders and subpoenas. The investigation may also include less formal procedures, such as investigative interviews, and may involve parties other than the respondents who may have information pertinent to the complaint. The investigation may include an audit of the respondent.

Post-investigative steps: Conciliation or General Counsel's brief

After the investigation is completed, the General Counsel can recommend that the Commission enter into pre-probable cause conciliation. If it appears that conciliation is not likely to be successful, the General Counsel prepares a brief that explains the factual and legal issues of the case and recommends whether the Commission should find there is probable cause to believe a violation has occurred or is about to occur. The respondent is provided a copy of the brief and has 15 days to file a reply brief explaining the respondent's position.

Probable cause hearing

Respondents in enforcement matters may request a hearing to present oral arguments directly to the Commission prior to a finding of probable cause. Such a hearing may be requested by the respondent in such respondent's reply brief. The request for a hearing is optional, and the respondent's decision to request one will not influence the Commission's decision regarding a probable cause finding.

Vote on violations

After reviewing the briefs of both the General Counsel and the respondent, the Commission votes on whether there is "probable cause to believe" that a violation has occurred or is about to occur. If the commission decides there is "no probable cause to believe," the case is closed and the parties are notified. If the Commission determines that there is "probable cause to believe" the law has been violated, the General Counsel attempts (for at least 30 days) to correct or prevent the violation through a written conciliation agreement with the respondent.

Conciliation agreement

A post-probable cause conciliation agreement is effectively the same as a pre-probable cause conciliation agreement from the administrative standpoint. The written agreement becomes effective once it is approved by the affirmative vote of at least four commissioners and signed by the respondent and the Office of General Counsel and includes the same items that would be set forth in a pre-probable cause agreement.

If conciliation does not result in an agreement after at least 30 days, the Commission may file suit against the respondent in federal district court.

Complainant's recourse

A complainant who disagrees with the Commission's dismissal of a complaint or who believes the Commission failed to act in a timely manner may file a petition in the U.S. District Court for the District of Columbia. In the case of a Commission dismissal, the petition has to be filed within 60 days after the date of dismissal.

Confidentiality

To protect the interests of those involved in a complaint, the law requires that any Commission action on a MUR be kept strictly confidential until the case is resolved. These provisions do not, however, prevent a complainant or respondent from disclosing the substance of the complaint itself or the response to that complaint or from engaging in conduct that leads to the publication of information contained in the complaint. Nevertheless, information about a Commission notification of findings or about a Commission investigation may not be disclosed, unless the respondent waives the right to confidentiality in writing.

Because the public has the right to know the outcome of any enforcement proceeding, a redacted case file is made available to the public in the Press Office and Office of Public Records within 30 days after the parties involved have been notified that the entire case has been closed. Closed case files are also available for review on the Commission's website.

Timeframes