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Alternative Dispute Resolution Case Summaries                                                   January 23, 2008

This table contains only summary information.  For additional details, please consult publicly available documents for each case in the Enforcement Query System (EQS) on the FEC website at http://eqs.fec.gov/eqs/searcheqs .

1.

ADR 346

RESPONDENT:

a.)  Eric Roach for Congress (CA/50) and David Bauer in his official capacity as treasurer

b.)  Mr. V. Eric Roach

SOURCE:

Matter Under Review (MUR) 5725

SUBJECT:

Failure to include adequate disclaimer notices

NEGOTIATED SETTLEMENT:

The matter stemmed from a complaint alleging that the respondents distributed mailers that failed to comply with the Federal Election Campaign Act’s (the Act) disclaimer requirements.  The mailer was distributed while campaigning for a special election held in April of 2006.  The mailer advocated the election of Eric Roach for Congress (CA/50) and resembled a personal note on stationery belonging to the candidate’s wife. 

The respondents claim the inadvertent error was an isolated incident that was corrected immediately. 

The committee agreed to pay a civil penalty of $1,500 and work with Commission staff to terminate.

2.

ADR 347

RESPONDENT:

a.)  Howard Kaloogian for Congress (CA/50) and Betty Presley in her official capacity as treasurer

b.)  Eric Roach for Congress

SOURCE:

MUR 5727

SUBJECT:

Failure to include adequate disclaimers

NEGOTIATED SETTLEMENT:

The matter stemmed from allegations that Howard Kaloogian for Congress and Eric Roach for Congress failed to comply with certain disclaimer provisions of the Act.  In 2006, Mr. Kaloogian and Mr. Roach were both candidates in California’s 50th Congressional District.  The complaint alleges that each committee failed to incorporate either written or oral statements from the candidates that they approved their respective ads.

The Commission dismissed the matter.

3.

ADR 353

RESPONDENT:

Institute of Recycling Industries PAC

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on its 2006 April Monthly Report.  Respondents amended the report, disclosing an additional $56,600 in receipts. 

The Committee acknowledged inadvertent omissions due to database problems and contended they amended the report as soon as they realized the data was corrupted. 

Respondents agreed to pay a $1,000 civil penalty, conduct an audit of the committee’s reports and send a representative to an FEC seminar.

4.

ADR 357

RESPONDENT:

Coronado for Congress (CA/47) and Scott B. MacKenzie in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred Coronado for Congress, the principal campaign committee of 2006 candidate Alexandria Coronado (CA/47), for failing to disclose all financial activity on its 2006 April Quarterly Report.  Respondents amended the report, disclosing an additional $160,765 in outstanding debts, $95,292 in debts incurred during that reporting period and $151,428 in payments made during the reporting period. 

The committee acknowledged an inadvertent violation and contended that the original report was filed while the committee was transitioning between treasurers.  The respondents also noted that the report was amended within eleven days of the original submission. 

Due to the committee’s financial hardship, the Commission issued no civil penalty.

5.

ADR 359

RESPONDENT:

Robinson for Congress (NC/13) and Michelle Smith in her official capacity as treasurer

SOURCE:

MUR 5794

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The complainant alleged Robinson for Congress, the principal campaign committee of Vernon Robinson (NC/13), failed to disclose contributions accurately.  Specifically, the complaint alleged the committee disclosed excessive contributions, inaccurate election designations and inaccurate aggregate contribution totals for some contributors.

Respondents acknowledged some inadvertent reporting errors due to inexperienced staff.

The committee agreed to work with Commission staff to ensure all reports correctly reflect the committee’s financial activity, refund any contributions that exceed net debts outstanding from the primary election and terminate the committee.

6.

ADR 361

RESPONDENT:

Marty Schwimmer Congressional Campaign (CA/45) and Marty Schwimmer in his official capacity as treasurer

SOURCE:

MUR 5763

SUBJECT:

Failure to disclose all financial activity, failure to file reports electronically, failure to file timely 48 Hour Notices

NEGOTIATED SETTLEMENT:

The complainant alleged that the Marty Schwimmer Congressional Campaign, the principal campaign committee of Congressional candidate Marty Schwimmer (CA/45), failed to disclose financial activity prior to the Primary election scheduled for June 6, 2006 in California, although it appeared to the complainant that the committee may have spent as much as $50,000.  The complaint further alleged the committee failed to file reports electronically and failed to submit 48 Hour Notices disclosing last minute contributions.

Respondents contended that the 2006 Pre-Primary Report was timely filed.  They also contended they never met the $50,000 threshold for filing electronically and did not receive any contributions that were required to be disclosed on 48 Hour Notices.

The Commission dismissed the matter.

7.

ADR 362

RESPONDENT:

Craig Romero for Congress (LA/3) and Jeff Landry in his official capacity as treasurer

SOURCE:

MUR 5804

SUBJECT:

Failure to include adequate disclaimer notices

NEGOTIATED SETTLEMENT:

The matter stemmed from a complaint alleging Craig Romero for Congress, the principal campaign committee of Craig Romero (LA/03), failed to include disclaimers on campaign signs. 

The respondents acknowledged an inadvertent violation and argued that as soon as they were notified of the omission, they had a vendor print disclaimers to affix to the signs. 

The Commission admonished the committee for omitting appropriate disclaimers.

8.

ADR 364

RESPONDENT:

a.)  Schakowsky for Congress (IL/9) and Melanie Rovner Cohen in her official capacity as treasurer

b.)  Dan Seals for Congress (IL/10) and Richard A. Berman in his official capacity as treasurer

SOURCE:

MUR 5800

SUBJECT:

Failure to disclose financial activity

NEGOTIATED SETTLEMENT:

The matter stemmed from a complaint alleging the Schakowsky for Congress, the principal campaign committee of Janice Schakowsky (IL/09), made an in-kind contribution to Dan Seals for Congress, the principal campaign committee of Daniel Seals (IL/10) by mailing a letter soliciting contributions on the committee’s behalf.  Neither committee reported an in-kind contribution as a result of the mailing. 

Respondents contended the Seals committee mailed the letter that endorsed Seals after they purchased Schakowsky’s letterhead and envelopes to use for the mailing. 

The Commission closed the file on the matter.

9.

ADR 366

RESPONDENT:

Michigan Republican Party and Carl Meyers in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The matter stemmed from the FEC’s routine review of the Michigan Republican Party’s disclosure reports that revealed the committee failed to disclose all financial activity on their original 2006 May Monthly Report.  The committee filed an amended May Monthly Report that disclosed $147,183 in additional debt.

Respondents acknowledged the inadvertent violation and contended the committee contacted the FEC and amended the report as soon as the error was discovered.  The committee also revised internal procedures to reduce the possibility of future similar errors.

The committee agreed to send representatives to an FEC seminar, designate a compliance specialist and pay a $950 civil penalty.

10/11.

ADRs 367 & 400

RESPONDENT:

Stop Union Political Abuse and Linda Chavez in her official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to properly disclose all financial activity, failure to timely file reports

NEGOTIATED SETTLEMENT:

In ADR 367, the Reports Analysis Division referred the respondents for failing to timely file three 48 Hour Notices totaling $39,117.37 for eight independent expenditures made before the 2006 Senate Primary Election in the State of New York.

In ADR 400, the Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2004 30 Day Post-General Report.  Respondents amended the report twice disclosing an additional $68,550.23 in receipts.  Additionally, respondents failed to timely file two 48 Hour Notices totaling $33,368.14 for five independent expenditures made before the 2006 Primary Election in the State of New York.

The committee contended that misunderstanding of what constituted an independent expenditure as well as miscommunications between committee staff and the vendor preparing reports led to many of the errors and omissions.

Respondents agreed to pay a $5,000 civil penalty, complete an internal audit and develop new procedures to prevent future similar errors.

12.

ADR 369

RESPONDENT:

Spencer for Congress (IA/4) and Judith A. Jackson in her official capacity as treasurer

SOURCE:

MUR 5778

SUBJECT:

Failure to include adequate disclaimers

NEGOTIATED SETTLEMENT:

The complaint alleged Congressional candidate Selden Spencer (IA/04) and his principal campaign committee, Spencer for Congress, distributed lawn signs and campaign literature with inadequate disclaimers. 

Respondents acknowledged the error and contended that all signs lacking proper disclaimers were removed.

The Commission reached a negotiated settlement with the committee in which they agreed to avoid future similar errors by hiring two communications compliance specialists, issuing written policies on disclaimers for staff and sending a representative to attend an FEC seminar.

13.

ADR 370

RESPONDENT:

Chuck Espy for Congress (MS/2) and Cleveland Moton in his official capacity as treasurer

SOURCE:

MUR 5791

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The complaint alleged that Chuck Espy for Congress, the principal campaign committee of Chuck Espy, a 2006 Congressional candidate (MS/02), failed to report the sources of $24,100 in contributions and accepted an excessive contribution of $2,100 from the candidate’s uncle. 

Respondents stated that they refunded the excessive contribution and would report it on the committee’s next report.  The committee explained that the remaining funds were contributions from the candidate’s personal funds. 

The Commission dismissed the matter.

14.

ADR 372

RESPONDENT:

Johnson for Congress (CT/5) and John Evelth in his official capacity as treasurer

SOURCE:

MUR 5864

SUBJECT:

Failure to include adequate disclaimers

NEGOTIATED SETTLEMENT:

The matter stemmed from a complaint alleging Johnson for Congress, the principal campaign committee of Nancy Johnson (CT/05), failed to include adequate disclaimers on television ads. 

The respondents alleged that they mistakenly used a script from the 2002 cycle, which did not contain the disclaimer that had been required since that cycle.  They further contended that the error was fixed immediately upon discovery and that they reviewed internal procedures to prevent future similar mistakes. 

The Commission admonished the respondents and dismissed the matter.

15.

ADR 373

RESPONDENT:

Hafen for Congress (NV/3) and Maureen Schafer Peckman

SOURCE:

MUR 5868

SUBJECT:

Failure to timely disclose financial activity

NEGOTIATED SETTLEMENT:

The complaint alleged that Hafen for Congress, the principal campaign committee of 2006 Congressional candidate Tessa Michelle Hafen (NV/03) failed to file timely 48-Hour Notices totaling $17,500. 

Respondents contended the omission was an administrative error resulting from miscommunication.

The Commission dismissed the matter.

16.

ADR 374

RESPONDENT:

Denise Majette for Senate (GA) and Roger Levine in his official capacity as treasurer

SOURCE:

FEC Initiated (Audit Division)

SUBJECT:

Failure to properly document all financial activity, failure to comply with $100 cash disbursement limit

NEGOTIATED SETTLEMENT:

The matter stemmed from an FEC Audit of Denise Majette for Senate, the principal campaign committee of Senate candidate and former Representative Denise Majette (GA).  The audit revealed the committee failed to comply with the Act by improperly documenting expenditures, failing to report cash disbursements and making cash disbursements that exceeded $100.

The Committee acknowledged the errors and omissions, but contended they used best efforts to document all financial activity. 

In a negotiated settlement with the FEC, the committee agreed to pay a $12,000 civil penalty and terminate the committee.

17.

ADR 375

RESPONDENT:

Friends of Duane Sand (ND) and Karen Riskey in her official capacity as treasurer

SOURCE:

FEC Initiated (Audit Division)

SUBJECT:

Failure to disclose adequate contributor identification

NEGOTIATED SETTLEMENT:

The matter stemmed from FEC Audit findings that revealed Friends of Duane Sand, the principal campaign committee of Duane Sand (ND), violated the Act by failing to disclose occupation and employer information for 747 itemized contributions totaling $143,367.

Respondents acknowledged errors and omissions, but contended they used best efforts to obtain required contributor information.

The Commission reached a settlement with the committee in which they agreed to pay a $5,300 civil penalty, terminate the committee, hire a compliance specialist and attend an FEC seminar.

18.

ADR 376

RESPONDENT:

Jeff Fortenberry for United States Congress (NE/1) and Steven D. Ralls in his official capacity as treasurer

SOURCE:

MUR 5846

SUBJECT:

Failure to include adequate disclaimers

NEGOTIATED SETTLEMENT:

According to the complaint, Jeff Fortenberry for United States Congress, the principal campaign committee of Jeff Fortenberry (NE/01), posted billboard advertisements that failed to comply with the Act’s disclaimer requirements. 

The respondents contended that certain components of the disclaimer were inadvertently omitted from the billboards, but included on other campaign materials. 

The Commission closed the file and took no further action.

19.

ADR 379

RESPONDENT:

Lewis for Senate, Inc. (WV) and Matthew Miller in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred Lewis for Senate, Inc., the principal campaign committee of Hiram Carson Lewis IV (WV), for failing to disclose all financial activity on the committee’s original 2006 April Quarterly Report.  The committee amended the report, disclosing an additional $114,246.39 in disbursements.

Respondents stated that the amended report was filed after an internal audit revealed additional disbursements and that the candidate did not intend to run for office again.

Respondents agreed to pay a civil penalty of $3,500 and work with Commission staff to terminate the committee.

20.

ADR 380

RESPONDENT:

a.)  Action Committee for Rural Electrification and Dena G. Stoner in her official capacity as treasurer

b.)  Basin Electric Power Cooperative Political Action Committee and Sheryl Massey in her official capacity as treasurer

SOURCE:

MUR 446: Self-Reported (sua sponte)

SUBJECT:

Excessive contributions

NEGOTIATED SETTLEMENT:

The Action Committee for Rural Electrification (ACRE) and Basin Electric Power Cooperative Political Action (BEPAC) Committee filed a sua sponte submission with the Commission stating that they made excessive contributions totaling $41,400 from 2000 to 2006.  ACRE and BEPAC made the excessive contributions inadvertently because BEPAC did not realize they were affiliated and shared contribution limits.

In a negotiated settlement with the FEC, respondents agreed to pay a $2,000 civil penalty, examine contributions by affiliated PACs, attend a training program annually, and follow new internal written policy and procedures regarding the approval of contributions.

21.

ADR 381

RESPONDENT:

a.)  Mazak Corporation

b.)  Brian Papke, President

SOURCE:

Self-Reported (sua sponte)

SUBJECT:

Corporate contributions and contributions in the name of another

NEGOTIATED SETTLEMENT:

Respondents filed a sua sponte submission with the Commission acknowledging that they violated the Act by making corporate contributions and contributions in the name of another.  According to the submission, Brian Papke made contributions to political committees totaling $3,500 during the 2001-2002 election cycle and was reimbursed by Mazak Corporation with a $2,500 check authorized by former controller William King.

Respondents stated they discovered the improper reimbursements during an internal review of King and hired outside consultants to conduct a more comprehensive review of compensation and expense reimbursement to Mazak executives.  Papke claimed he was unaware of the prohibition against corporate contributions and that he reimbursed the $2,500 when he became aware of the ban.

Respondents agreed to pay a $350 civil penalty and implement measures to prevent future similar violations.

22.

ADR 382

RESPONDENT:

Friends of Yvonne Rayford Brown (MS/02) and Paul Breazeale in his official capacity as treasurer

SOURCE:

MUR 5880

SUBJECT:

Acceptance of corporate contribution, failure to properly disclose loan information

NEGOTIATED SETTLEMENT:

The complainant alleged Friends of Yvonne Rayford Brown, the principal campaign committee of Congressional candidate Yvonne Rayford Brown (MS/02), violated the Act by accepting a $1,000 contribution from Reliable Appraisal Services, Inc.  The complaint also alleged the respondents failed to properly disclose a loan on their 2006 October Quarterly Report.

Respondents contended they did not realize they had accepted a corporate contribution and stated they would disgorge the $1,000 to the U.S. Treasury.  The committee contended the loan in question was from the candidate and was not secured.  An indication on the report that the loan was secured was an error.

The Commission dismissed the matter.

23.

ADR 383

RESPONDENT:

Idaho State Democratic Party and Stephanie Astorquia in her official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred respondents for failing to disclose all financial activity on their original 2006 June Monthly Report.  The committee amended the report, disclosing an additional $52,200 in receipts.

Respondents stated that they implemented new audit procedures to avoid future similar errors.  They also stated that they have several financial controls in place to facilitate accurate and correct reporting.

Respondents agreed to take steps to prevent future similar omissions, including internal audits and attending FEC training seminars.

24.

ADR 384

RESPONDENT:

Bobby Scott for Congress (VA/3) and Charles Scott in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred Bobby Scott for Congress, the principal campaign committee of Robert Scott (VA/03), for failing to disclose all financial activity on its original 2006 July Quarterly Report.  Respondents amended the reports disclosing an additional $55,880 in receipts.

Respondents acknowledged the inadvertent omissions and claimed they were due to a coding problem in their reporting software.  They also stated that omissions were corrected and reports were amended as soon as they were discovered.

Respondents agreed to take steps to prevent future similar omissions, including the hiring of a compliance specialist and the development of a compliance manual for committee staff.

25.

ADR 385

RESPONDENT:

Republican Leadership Council Federal PAC (formerly It’s My Party) and Ronald Gravino in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2006 July Quarterly Report.  Respondents amended the reports disclosing an additional $150,511.54 in receipts.

The committee stated that the error was due to the use of new reporting software and loss of data during the reporting period in question.  The committee also indicated that they have instituted a number of corrective measures to prevent the reoccurrence of similar errors.

Respondents agreed to pay a $2,500 civil penalty and take steps to prevent future similar violations.

26.

ADR 386

RESPONDENT:

North Dakota Democratic - NonPartisan League Party and Timothy Purdon in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2003 Year End Report.  Respondents amended the report three times disclosing an additional $57,723.83 in disbursements.

The committee acknowledged inadvertent reporting errors and stated that the report was filed by the Executive Director who was inexperienced at filing disclosure reports.  They also stated that the Comptroller who usually filed FEC reports was deployed to Iraq during that time.  The committee contended that as soon as errors were discovered, they contracted with compliance professionals to review and file amended reports.

Respondents agreed to reconcile the committee’s financial records on a monthly basis and conduct and submit to the FEC the results of an annual internal audit for a minimum of two years.

27.

ADR 387

RESPONDENT:

Hastert for Congress (IL/14) and Dallas Ingemunson in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred Hastert for Congress, the principal campaign committee of former Congressman Dennis Hastert (IL/14), for failing to disclose all financial activity on the committee’s original 2006 30 Day Post General Report.  Respondents amended the reports disclosing an additional $146,686.87 in debts.

The committee stated that the error was due to the receipt of an unusually large invoice just prior to the close of books for the reporting period and asked the Commission to note its consistent compliance with the Act.

Respondents agreed to pay a $1,000 civil penalty and work with FEC staff to terminate the committee.

28.

ADR 388

RESPONDENT:

Americans Against Illegal Immigration PAC and John W. Leuthold in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The FEC’s routine review of the American Illegal Immigration PAC’s disclosure reports revealed that the committee failed to disclose all financial activity on its original 2005 Year End Report.  The committee filed an amended Year End Report, disclosing additional receipts totaling $83,571.85, additional disbursements totaling $75,764.62 and additional debt totaling $98,715.26.

The Committee claimed that the omissions occurred because of difficulties with reporting software and explained that the problem was corrected.

In a negotiated settlement with the FEC, respondents agreed to pay a $10,000 civil penalty and take measures to prevent future similar errors.

29.

ADR 389

RESPONDENT:

a.)  Richard Pombo

b.)  Richard Pombo for Congress (CA/11) and David Bauer in his official capacity as treasurer

SOURCE:

MUR 5857

SUBJECT:

Failure to include adequate disclaimers

NEGOTIATED SETTLEMENT:

According to the complaint, former Congressman Richard Pombo (CA/11) and his campaign committee ran advertisements on six broadcast and cable stations in October 2006 that failed to include a written disclaimer at the end of the ad. 

Respondents contended that the commercial had the appropriate disclaimer at one end or the other of the ad during the entire course of air time.  The committee stated that it moved the written disclaimer from the beginning of the ad to the end just two to three days after the initially broadcast.

The Commission dismissed the matter.

30.

ADR 390

RESPONDENT:

Tennessee Republican Party Federal Election Account and Ed Roberson in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their 2004 May Monthly Report.  Respondents amended the report, disclosing an additional $148,074.16 in disbursements.

The committee contended the disclosure of additional disbursements related to transfers from the federal account to the non-federal account.  Respondents stated that the transfers were entered into the software but the transfer code was misinterpreted and the amounts were not properly added to the report.  They further noted that as soon as the omissions were discovered, the committee filed an amended FEC report.

Respondents agreed to pay a $10,000 civil penalty and develop new procedures to prevent future similar errors.

31-34.

ADRs 393, 394, 395 and 396

RESPONDENT:

a.) Beaufort County South Carolina Republican Party and Norma G. Stewart in her official capacity as treasurer (393)

b.)  Jasper County Democratic Party and Freddie Brantley in his official capacity as treasurer (394)

c.)  Democratic Club of Beaufort County, South of Broad and David Henson in his official capacity as treasurer (395)

d.)  Beaufort Democratic Party (396)

SOURCE:

MUR 5891 (393)

MUR 5892 (394)

MUR 5893 (395)

MUR 5894 (396)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The complainant alleged the Beaufort County South Carolina Republican Party (BCSCRP), Jasper County Democratic Party (JCDP), Democratic Club of Beaufort County, South of Broad (DCBC-SOB) and Beaufort Democratic Party (BDP) each failed to disclose certain federal election activity advocating the election of Congressman Joe Wilson or Congressional candidate Michael Ellisor (SC/02) and that each organization’s communications lacked adequate written disclaimers.  The complainant also alleged BDP made a contribution to Ellisor from its state account.

BCSCRP, JCDP, DCBS-SOB and BDP each asserted that the cost of the communications attributable to the federal candidate was well below the $1,000 threshold for registering with the FEC.

The commission dismissed the matters.

35.

ADR 398

RESPONDENT:

International Association of Firefighters

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on its 2006 12 Day Pre-General Report.  Respondents amended the report, disclosing an additional $94,226 in communications costs. 

The Committee acknowledged inadvertent omissions and contended that efforts were made to amend the report as soon as the omissions were noted. 

Respondents agreed to pay a $1,500 civil penalty and develop new procedures to prevent future similar errors.

36.

ADR 399

RESPONDENT:

Patrick Murphy for Congress (PA/8) and Vanya Tyrell in her official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred Patrick Murphy for Congress (PA/08) for failing to disclose all financial activity on its original 2006 12 Day Pre-General Report.  Respondents amended the report twice, disclosing an additional $112,171.06 in disbursements. 

The committee acknowledged inadvertent omissions and contended that predominately volunteer staff members ran the first campaign and were overwhelmed by last minute activity before the election.

Respondents agreed to pay a $4,000 civil penalty and develop new procedures to prevent future similar errors.

37.

ADR 401

RESPONDENT:

Growth and Prosperity Political Action Committee and Joey Dobbs in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2006 August Monthly and October Monthly Reports.  Respondents amended the reports on multiple occasions to disclose an additional $173,622.28 in disbursements. 

The committee acknowledged the reporting omissions and contended the individual responsible had been replaced by an experienced financial specialist.

Respondents agreed to pay a $2,000 civil penalty and develop new procedures to prevent future similar errors.

38.

ADR 403

RESPONDENT:

Joseph Shannon for Congress (IL/13) and Joseph A. Gyaramathy in his official capacity as treasurer

SOURCE:

MUR 5873

SUBJECT:

Failure to file timely reports, failure to include adequate disclaimers, acceptance of prohibited contribution

NEGOTIATED SETTLEMENT:

The complaint alleged Joseph Shannon for Congress, the principal campaign committee of 2006 Congressional candidate Joseph Shannon (IL/13), violated multiple provisions of the Act including: the failure to timely register with the FEC, failure to file notification of exceeding the threshold amount of the candidate’s personal funds, failure to include adequate disclaimers on public communications, the acceptance of prohibited contributions and various reporting errors.

The committee contended that many of the allegations were incorrect and that reporting errors were discovered and corrected in amended reports.  The committee also claimed that the failure to include disclaimers on certain communications was corrected as soon as the committee became aware of the problem.  Finally, the committee claimed the candidate did not exceed the personal spending threshold that would require additional reporting. 

The Commission dismissed the matter.

39.

ADR 404

RESPONDENT:

Musgrave for Congress (CO/4) and Brent Eskew in his official capacity as treasurer

SOURCE:

MUR 5901

SUBJECT:

Failure to conduct best efforts to obtain contributor identification, failure to file 48-Hour Notices

NEGOTIATED SETTLEMENT:

According to the complaint, Musgrave for Congress, the principal campaign committee of Representative Marilyn Musgrave (CO/04), failed to conduct best efforts to obtain contributor identification and failed to file 48-Hour Notices for contributions of $1,000 or more received more than 48-hours, but fewer than 20 days before the election.

Respondents provided a detailed description of the committee’s best efforts to obtain contributor information and admitted they erroneously failed to file five 48-Hour Notices.  Additionally, the committee asserted that new procedures were implemented to increase efficiency and accuracy in reporting to the Commission.

The FEC dismissed the matter.

40.

ADR 405

RESPONDENT:

Lincoln Diaz-Balart for Congress (FL/21) and Jose Riesco in his official capacity as treasurer

SOURCE:

MUR 5902

SUBJECT:

Failure to properly disclose financial activity

NEGOTIATED SETTLEMENT:

The complainant alleged Lincoln Diaz-Balart for Congress, the principal campaign committee of Congressman Lincoln Diaz-Balart (FL/21), failed to disclose contributions accurately.  Specifically, the complaint alleged the committee failed to itemize contributions for 32 individuals in the committee’s 2006 Pre-General Report.

Respondents acknowledged the inadvertent reporting error and stated that the committee amended the report two months after the original filing on its own initiative.

The Commission dismissed the matter.

41.

ADR 408

RESPONDENT:

Matt Brown for U.S. Senate (RI) and Timothy Patterson in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2006 April Quarterly and July Quarterly Reports.  Respondents amended the reports twice disclosing an additional $149,505.01 in disbursements. 

The committee stated it they took steps to correct the filings and amended reports on its own before receiving communication from the Commission.

Respondents agreed to pay a $1,100 civil penalty and work with FEC staff to terminate the committee.

42.

ADR 410

RESPONDENT:

American Veterinary Medical Association PAC and Dr. John de Jong in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2006 30 Day Post General Report.  Respondents amended the report, disclosing an additional $52,221 in receipts. 

The committee stated that they took steps to correct the filings.

Respondents agreed to pay a $1,000 civil penalty and take steps to prevent future similar errors.

43.

ADR 411

RESPONDENT:

Citizens for Sherman Parker (MO/2) and Joshua T. Campbell in his official capacity as treasurer

SOURCE:

FEC Initiated (Reports Analysis Division)

SUBJECT:

Failure to disclose all financial activity

NEGOTIATED SETTLEMENT:

The Reports Analysis Division referred the respondents for failing to disclose all financial activity on their original 2006 July Quarterly Report.  Respondents amended the report twice to disclose an aggregate of $74,423.30 in additional disbursements.

The committee acknowledged the inadvertent omission of expenditures and stated that the omission occurred when the then-candidate, Sherman Parker (MO/02), failed to timely disclose some disbursements to the treasurer.

Respondents agreed to pay a $1,000 civil penalty and work with FEC staff to terminate the committee.

44.

ADR 414

RESPONDENT:

Larry Kissell for Congress (NC/8) and Walter Ingram Butch Jenkins in his official capacity as treasurer

SOURCE:

MUR 5929

SUBJECT:

Failure to properly disclose all financial activity

NEGOTIATED SETTLEMENT:

The complaint alleged that disclosure reports filed by Kissell for Congress, the principal campaign committee of 2006 Congressional candidate Larry Kissell (NC/08), contained discrepancies, omissions and errors.

Respondents contended that some inadvertent errors were made by inexperienced staff, but the committee amended reports to correct the record.  They also noted that they hired an experienced compliance specialist to assist the committee.

The Commission dismissed the matter.

DOCUMENTS ON PUBLIC RECORD:

Documents from these matters are available from the Commission’s web site at http://www.fec.gov by entering the case number in the Enforcement Query System.  They are also available in the FEC’s Public Records Office at 999 E St. NW in Washington.

The Federal Election Commission (FEC) is an independent regulatory agency that administers and enforces federal campaign finance laws. The FEC has jurisdiction over the financing of campaigns for the U.S. House, the U.S. Senate, the Presidency and the Vice Presidency. Established in 1975, the FEC is composed of six Commissioners who are nominated by the President and confirmed by the U.S. Senate.

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