2 USC 437g(a)(12)(A): Notification or investigation made under this section of any person without written consent
About This Project
This project uses data compiled by the Sunshine in Government initiative, a coalition of journalism and transparency groups. SGI compiled data from federal agency annual FOIA reports to track how often b(3) exemptions were used. SGI also standardized the exemptions since some agencies used slightly different citations of the same laws. In some cases, agencies listed general laws without specifying a section under which information was withheld. This project does not include information from agencies that use no b(3) exemptions in 2008 or 2009. ProPublica compiled information about FOIA denials.
| Department | Claims |
|---|---|
| Federal Election Commission | 9.0 |
TITLE 2--THE CONGRESS
CHAPTER 14--FEDERAL ELECTION CAMPAIGNS
SUBCHAPTER I--DISCLOSURE OF FEDERAL CAMPAIGN FUNDS
Sec. 437g. Enforcement
(a) Administrative and judicial practice and procedure
(1) Any person who believes a violation of this Act or of chapter 95
or chapter 96 of title 26 has occurred, may file a complaint with the
Commission. Such complaint shall be in writing, signed and sworn to by
the person filing such complaint, shall be notarized, and shall be made
under penalty of perjury and subject to the provisions of section 1001
of title 18. Within 5 days after receipt of a complaint, the Commission
shall notify, in writing, any person alleged in the complaint to have
committed such a violation. Before the Commission conducts any vote on
the complaint, other than a vote to dismiss, any person so notified
shall have the opportunity to demonstrate, in writing, to the Commission
within 15 days after notification that no action should be taken against
such person on the basis of the complaint. The Commission may not
conduct any investigation or take any other action under this section
solely on the basis of a complaint of a person whose identity is not
disclosed to the Commission.
(2) If the Commission, upon receiving a complaint under paragraph
(1) or on the basis of information ascertained in the normal course of
carrying out its supervisory responsibilities, determines, by an
affirmative vote of 4 of its members, that it has reason to believe that
a person has committed, or is about to commit, a violation of this Act
or chapter 95 or chapter 96 of title 26, the Commission shall, through
its chairman or vice chairman, notify the person of the alleged
violation. Such notification shall set forth the factual basis for such
alleged violation. The Commission shall make an investigation of such
alleged violation, which may include a field investigation or audit, in
accordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the
respondent of any recommendation to the Commission by the general
counsel to proceed to a vote on probable cause pursuant to paragraph
(4)(A)(i). With such notification, the general counsel shall include a
brief stating the position of the general counsel on the legal and
factual issues of the case. Within 15 days of receipt of such brief,
respondent may submit a brief stating the position of such respondent on
the legal and factual issues of the case, and replying to the brief of
general counsel. Such briefs shall be filed with the Secretary of the
Commission and shall be considered by the Commission before proceeding
under paragraph (4).
(4)(A)(i) Except as provided in clauses \1\ (ii) and subparagraph
(C), if the Commission determines, by an affirmative vote of 4 of its
members, that there is probable cause to believe that any person has
committed, or is about to commit, a violation of this Act or of chapter
95 or chapter 96 of title 26, the Commission shall attempt, for a period
of at least 30 days, to correct or prevent such violation by informal
methods of conference, conciliation, and persuasion, and to enter into a
conciliation agreement with any person involved. Such attempt by the
Commission to correct or prevent such violation may continue for a
period of not more than 90 days. The Commission may not enter into a
conciliation agreement under this clause except pursuant to an
affirmative vote of 4 of its members. A conciliation agreement, unless
violated, is a complete bar to any further action by the Commission,
including the bringing of a civil proceeding under paragraph (6)(A).
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\1\ So in original. Probably should be ``clause''.
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(ii) If any determination of the Commission under clause (i) occurs
during the 45-day period immediately preceding any election, then the
Commission shall attempt, for a period of at least 15 days, to correct
or prevent the violation involved by the methods specified in clause
(i).
(B)(i) No action by the Commission or any person, and no information
derived, in connection with any conciliation attempt by the Commission
under subparagraph (A) may be made public by the Commission without the
written consent of the respondent and the Commission.
[[Page 298]]
(ii) If a conciliation agreement is agreed upon by the Commission
and the respondent, the Commission shall make public any conciliation
agreement signed by both the Commission and the respondent. If the
Commission makes a determination that a person has not violated this Act
or chapter 95 or chapter 96 of title 26, the Commission shall make
public such determination.
(C)(i) Notwithstanding subparagraph (A), in the case of a violation
of any requirement of section 434(a) of this title, the Commission may--
(I) find that a person committed such a violation on the basis
of information obtained pursuant to the procedures described in
paragraphs (1) and (2); and
(II) based on such finding, require the person to pay a civil
money penalty in an amount determined under a schedule of penalties
which is established and published by the Commission and which takes
into account the amount of the violation involved, the existence of
previous violations by the person, and such other factors as the
Commission considers appropriate.
(ii) The Commission may not make any determination adverse to a
person under clause (i) until the person has been given written notice
and an opportunity to be heard before the Commission.
(iii) Any person against whom an adverse determination is made under
this subparagraph may obtain a review of such determination in the
district court of the United States for the district in which the person
resides, or transacts business, by filing in such court (prior to the
expiration of the 30-day period which begins on the date the person
receives notification of the determination) a written petition
requesting that the determination be modified or set aside.
(5)(A) If the Commission believes that a violation of this Act or of
chapter 95 or chapter 96 of title 26 has been committed, a conciliation
agreement entered into by the Commission under paragraph (4)(A) may
include a requirement that the person involved in such conciliation
agreement shall pay a civil penalty which does not exceed the greater of
$5,000 or an amount equal to any contribution or expenditure involved in
such violation.
(B) If the Commission believes that a knowing and willful violation
of this Act or of chapter 95 or chapter 96 of title 26 has been
committed, a conciliation agreement entered into by the Commission under
paragraph (4)(A) may require that the person involved in such
conciliation agreement shall pay a civil penalty which does not exceed
the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(C) If the Commission by an affirmative vote of 4 of its members,
determines that there is probable cause to believe that a knowing and
willful violation of this Act which is subject to subsection (d) of this
section, or a knowing and willful violation of chapter 95 or chapter 96
of title 26, has occurred or is about to occur, it may refer such
apparent violation to the Attorney General of the United States without
regard to any limitations set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a conciliation
agreement with the Commission under paragraph (4)(A), the Commission may
institute a civil action for relief under paragraph (6)(A) if it
believes that the person has violated any provision of such conciliation
agreement. For the Commission to obtain relief in any civil action, the
Commission need only establish that the person has violated, in whole or
in part, any requirement of such conciliation agreement.
(6)(A) If the Commission is unable to correct or prevent any
violation of this Act or of chapter 95 or chapter 96 of title 26, by the
methods specified in paragraph (4), the Commission may, upon an
affirmative vote of 4 of its members, institute a civil action for
relief, including a permanent or temporary injunction, restraining
order, or any other appropriate order (including an order for a civil
penalty which does not exceed the greater of $5,000 or an amount equal
to any contribution or expenditure involved in such violation) in the
district court of the United States for the district in which the person
against whom such action is brought is found, resides, or transacts
business.
(B) In any civil action instituted by the Commission under
subparagraph (A), the court may grant a permanent or temporary
injunction, restraining order, or other order, including a civil penalty
which does not exceed the greater of $5,000 or an amount equal to any
contribution or expenditure involved in such violation, upon a proper
showing that the person involved has committed, or is about to commit
(if the relief sought is a permanent or temporary injunction or a
restraining order), a violation of this Act or chapter 95 or chapter 96
of title 26.
(C) In any civil action for relief instituted by the Commission
under subparagraph (A), if the court determines that the Commission has
established that the person involved in such civil action has committed
a knowing and willful violation of this Act or of chapter 95 or chapter
96 of title 26, the court may impose a civil penalty which does not
exceed the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(7) In any action brought under paragraph (5) or (6), subpenas for
witnesses who are required to attend a United States district court may
run into any other district.
(8)(A) Any party aggrieved by an order of the Commission dismissing
a complaint filed by such party under paragraph (1), or by a failure of
the Commission to act on such complaint during the 120-day period
beginning on the date the complaint is filed, may file a petition with
the United States District Court for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed, in the case
of a dismissal of a complaint
[[Page 299]]
by the Commission, within 60 days after the date of the dismissal.
(C) In any proceeding under this paragraph the court may declare
that the dismissal of the complaint or the failure to act is contrary to
law, and may direct the Commission to conform with such declaration
within 30 days, failing which the complainant may bring, in the name of
such complainant, a civil action to remedy the violation involved in the
original complaint.
(9) Any judgment of a district court under this subsection may be
appealed to the court of appeals, and the judgment of the court of
appeals affirming or setting aside, in whole or in part, any such order
of the district court shall be final, subject to review by the Supreme
Court of the United States upon certiorari or certification as provided
in section 1254 of title 28.
(10) Repealed. Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8,
1984, 98 Stat. 3357.
(11) If the Commission determines after an investigation that any
person has violated an order of the court entered in a proceeding
brought under paragraph (6), it may petition the court for an order to
hold such person in civil contempt, but if it believes the violation to
be knowing and willful it may petition the court for an order to hold
such person in criminal contempt.
(12)(A) Any notification or investigation made under this section
shall not be made public by the Commission or by any person without the
written consent of the person receiving such notification or the person
with respect to whom such investigation is made.
(B) Any member or employee of the Commission, or any other person,
who violates the provisions of subparagraph (A) shall be fined not more
than $2,000. Any such member, employee, or other person who knowingly
and willfully violates the provisions of subparagraph (A) shall be fined
not more than $5,000.
(b) Notice to persons not filing required reports prior to institution
of enforcement action; publication of identity of persons and
unfiled reports
Before taking any action under subsection (a) of this section
against any person who has failed to file a report required under
section 434(a)(2)(A)(iii) of this title for the calendar quarter
immediately preceding the election involved, or in accordance with
section 434(a)(2)(A)(i) of this title, the Commission shall notify the
person of such failure to file the required reports. If a satisfactory
response is not received within 4 business days after the date of
notification, the Commission shall, pursuant to section 438(a)(7) of
this title, publish before the election the name of the person and the
report or reports such person has failed to file.
(c) Reports by Attorney General of apparent violations
Whenever the Commission refers an apparent violation to the Attorney
General, the Attorney General shall report to the Commission any action
taken by the Attorney General regarding the apparent violation. Each
report shall be transmitted within 60 days after the date the Commission
refers an apparent violation, and every 30 days thereafter until the
final disposition of the apparent violation.
(d) Penalties; defenses; mitigation of offenses
(1)(A) Any person who knowingly and willfully commits a violation of
any provision of this Act which involves the making, receiving, or
reporting of any contribution, donation, or expenditure--
(i) aggregating $25,000 or more during a calendar year shall be
fined under title 18, or imprisoned for not more than 5 years, or
both; or
(ii) aggregating $2,000 or more (but less than $25,000) during a
calendar year shall be fined under such title, or imprisoned for not
more than 1 year, or both.
(B) In the case of a knowing and willful violation of section
441b(b)(3) of this title, the penalties set forth in this subsection
shall apply to a violation involving an amount aggregating $250 or more
during a calendar year. Such violation of section 441b(b)(3) of this
title may incorporate a violation of section 441c(b), 441f, or 441g of
this title.
(C) In the case of a knowing and willful violation of section 441h
of this title, the penalties set forth in this subsection shall apply
without regard to whether the making, receiving, or reporting of a
contribution or expenditure of $1,000 or more is involved.
(D) Any person who knowingly and willfully commits a violation of
section 441f of this title involving an amount aggregating more than
$10,000 during a calendar year shall be--
(i) imprisoned for not more than 2 years if the amount is less
than $25,000 (and subject to imprisonment under subparagraph (A) if
the amount is $25,000 or more);
(ii) fined not less than 300 percent of the amount involved in
the violation and not more than the greater of--
(I) $50,000; or
(II) 1,000 percent of the amount involved in the violation;
or
(iii) both imprisoned under clause (i) and fined under clause
(ii).
(2) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, any defendant
may evidence their lack of knowledge or intent to commit the alleged
violation by introducing as evidence a conciliation agreement entered
into between the defendant and the Commission under subsection (a)(4)(A)
of this section which specifically deals with the act or failure to act
constituting such violation and which is still in effect.
(3) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, the court before
which such action is brought shall take into account, in weighing the
seriousness of the violation and in considering the appropriateness of
the penalty to be imposed if the defendant is found guilty, whether--
(A) the specific act or failure to act which constitutes the
violation for which the action was brought is the subject of a
conciliation agreement entered into between the defendant and the
Commission under subparagraph (a)(4)(A);
(B) the conciliation agreement is in effect; and
[[Page 300]]
(C) the defendant is, with respect to the violation involved, in
compliance with the conciliation agreement.
(Pub. L. 92-225, title III, Sec. 309, formerly Sec. 314, as added Pub.
L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1284;
renumbered Sec. 313 and amended Pub. L. 94-283, title I, Secs. 105,
109, May 11, 1976, 90 Stat. 481, 483; renumbered Sec. 309 and amended
Pub. L. 96-187, title I, Secs. 105(4), 108, Jan. 8, 1980, 93 Stat.
1354, 1358; Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8, 1984, 98
Stat. 3357; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub.
L. 106-58, title VI, Sec. 640(a), (b), Sept. 29, 1999, 113 Stat. 476,
477; Pub. L. 107-155, title III, Secs. 312(a), 315(a), (b), Mar. 27,
2002, 116 Stat. 106, 108.)
References in Text
This Act, referred to in subsecs. (a) and (d), means the Federal
Election Campaign Act of 1971, as amended, as defined by section 431 of
this title.
Prior Provisions
Provisions similar to those comprising subsec. (a) of this section
were contained in section 308(d) of Pub. L. 92-225, title III, Feb. 7,
1972, 86 Stat. 18 (section 438(d) of this title), prior to amendment of
section 308 of Pub. L. 92-225 by Pub. L. 93-443.
A prior section 309 of Pub. L. 92-225 was renumbered section 306,
and is classified to section 437c of this title.
Another prior section 309 of Pub. L. 92-225 was renumbered section
308, and was classified to section 437b of this title, prior to repeal
by Pub. L. 96-187.
Another prior section 309 of Pub. L. 92-225 was renumbered section
312, and is classified to section 439 of this title.
Amendments
2002--Subsec. (a)(5)(B). Pub. L. 107-155, Sec. 315(a)(1), inserted
before period at end ``(or, in the case of a violation of section 441f
of this title, which is not less than 300 percent of the amount involved
in the violation and is not more than the greater of $50,000 or 1,000
percent of the amount involved in the violation)''.
Subsec. (a)(6)(C). Pub. L. 107-155, Sec. 315(a)(2), inserted before
period at end ``(or, in the case of a violation of section 441f of this
title, which is not less than 300 percent of the amount involved in the
violation and is not more than the greater of $50,000 or 1,000 percent
of the amount involved in the violation)''.
Subsec. (d)(1)(A). Pub. L. 107-155, Sec. 312(a), amended subpar. (A)
generally. Prior to amendment, subpar. (A) read as follows: ``Any person
who knowingly and willfully commits a violation of any provision of this
Act which involves the making, receiving, or reporting of any
contribution or expenditure aggregating $2,000 or more during a calendar
year shall be fined, or imprisoned for not more than one year, or both.
The amount of this fine shall not exceed the greater of $25,000 or 300
percent of any contribution or expenditure involved in such violation.''
Subsec. (d)(1)(D). Pub. L. 107-155, Sec. 315(b), added subpar. (D).
1999--Subsec. (a)(4)(A)(i). Pub. L. 106-58, Sec. 640(a)(1),
substituted ``clauses (ii) and subparagraph (C)'' for ``clause (ii)''.
Subsec. (a)(4)(C). Pub. L. 106-58, Sec. 640(a)(2), added subpar.
(C).
Subsec. (a)(6)(A). Pub. L. 106-58, Sec. 640(b), substituted
``paragraph (4)'' for ``paragraph (4)(A)''.
1986--Subsecs. (a)(1), (2), (4)(A)(i), (B)(ii), (5)(A) to (C), (6),
(d)(2), (3). Pub. L. 99-514 substituted ``Internal Revenue Code of
1986'' for ``Internal Revenue Code of 1954'', which for purposes of
codification was translated as ``title 26'' thus requiring no change in
text.
1984--Subsec. (a)(10). Pub. L. 98-620 struck out par. (10) which
provided that any action brought under subsec. (a) be advanced on the
docket of the court in which filed and put ahead of all other actions
(other than other actions brought under this subsec. or under section
437h of this title).
1980--Pub. L. 96-187, Sec. 108, substantially revised provisions of
this section in order to facilitate the Commission's more expeditious
handling of complaints, and implementation of enforcement proceedings.
1976--Subsec. (a). Pub. L. 94-283, Sec. 109, generally revised
provisions of subsec. (a) to reflect enactment of sections 441a to 441j
of this title and repeal of sections 608 and 610 to 617 of title 18 and
to update the operations of the Commission.
Subsecs. (b), (c). Pub. L. 94-283, Sec. 109, reenacted subsec. (b)
without change and added subsec. (c).
Effective Date of 2002 Amendment
Pub. L. 107-155, title III, Sec. 312(b), Mar. 27, 2002, 116 Stat.
106, provided that: ``The amendment made by this section [amending this
section] shall apply to violations occurring on or after the effective
date of this Act [for general effective date of Pub. L. 107-155, see
section 402 of Pub. L. 107-155, set out as an Effective Date of 2002
Amendment; Regulations note under section 431 of this title].''
Pub. L. 107-155, title III, Sec. 315(c), Mar. 27, 2002, 116 Stat.
108, provided that: ``The amendments made by this section [amending this
section] shall apply with respect to violations occurring on or after
the effective date of this Act [for general effective date of Pub. L.
107-155, see section 402 of Pub. L. 107-155, set out as an Effective
Date of 2002 Amendment; Regulations note under section 431 of this
title].''
Effective Date of 1999 Amendment
Pub. L. 106-58, title VI, Sec. 640(c), Sept. 29, 1999, 113 Stat.
477, as amended by Pub. L. 107-67, title VI, Sec. 642, Nov. 12, 2001,
115 Stat. 555; Pub. L. 108-199, div. F, title VI, Sec. 639, Jan. 23,
2004, 118 Stat. 359; Pub. L. 109-115, div. A, title VII, Sec. 721. Nov.
30, 2005, 119 Stat. 2493, provided that: ``The amendments made by this
section [amending this section] shall apply with respect to violations
that relate to reporting periods that begin on or after January 1, 2000,
and that end on or before December 31, 2008.''
Effective Date of 1984 Amendment
Amendment by Pub. L. 98-620 not applicable to cases pending on Nov.
8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date
note under section 1657 of Title 28, Judiciary and Judicial Procedure.
Effective Date of 1980 Amendment
Amendment by Pub. L. 96-187 effective Jan. 8, 1980, see section
301(a) of Pub. L. 96-187, set out as a note under section 431 of this
title.
Effective Date
Section effective Jan. 1, 1975, see section 410(a) of Pub. L. 93-
443, set out as an Effective Date of 1974 Amendment note under section
431 of this title.
(a) Administrative and judicial practice and procedure
(1) Any person who believes a violation of this Act or of chapter 95
or chapter 96 of title 26 has occurred, may file a complaint with the
Commission. Such complaint shall be in writing, signed and sworn to by
the person filing such complaint, shall be notarized, and shall be made
under penalty of perjury and subject to the provisions of section 1001
of title 18. Within 5 days after receipt of a complaint, the Commission
shall notify, in writing, any person alleged in the complaint to have
committed such a violation. Before the Commission conducts any vote on
the complaint, other than a vote to dismiss, any person so notified
shall have the opportunity to demonstrate, in writing, to the Commission
within 15 days after notification that no action should be taken against
such person on the basis of the complaint. The Commission may not
conduct any investigation or take any other action under this section
solely on the basis of a complaint of a person whose identity is not
disclosed to the Commission.
(2) If the Commission, upon receiving a complaint under paragraph
(1) or on the basis of information ascertained in the normal course of
carrying out its supervisory responsibilities, determines, by an
affirmative vote of 4 of its members, that it has reason to believe that
a person has committed, or is about to commit, a violation of this Act
or chapter 95 or chapter 96 of title 26, the Commission shall, through
its chairman or vice chairman, notify the person of the alleged
violation. Such notification shall set forth the factual basis for such
alleged violation. The Commission shall make an investigation of such
alleged violation, which may include a field investigation or audit, in
accordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the
respondent of any recommendation to the Commission by the general
counsel to proceed to a vote on probable cause pursuant to paragraph
(4)(A)(i). With such notification, the general counsel shall include a
brief stating the position of the general counsel on the legal and
factual issues of the case. Within 15 days of receipt of such brief,
respondent may submit a brief stating the position of such respondent on
the legal and factual issues of the case, and replying to the brief of
general counsel. Such briefs shall be filed with the Secretary of the
Commission and shall be considered by the Commission before proceeding
under paragraph (4).
(4)(A)(i) Except as provided in clauses \1\ (ii) and subparagraph
(C), if the Commission determines, by an affirmative vote of 4 of its
members, that there is probable cause to believe that any person has
committed, or is about to commit, a violation of this Act or of chapter
95 or chapter 96 of title 26, the Commission shall attempt, for a period
of at least 30 days, to correct or prevent such violation by informal
methods of conference, conciliation, and persuasion, and to enter into a
conciliation agreement with any person involved. Such attempt by the
Commission to correct or prevent such violation may continue for a
period of not more than 90 days. The Commission may not enter into a
conciliation agreement under this clause except pursuant to an
affirmative vote of 4 of its members. A conciliation agreement, unless
violated, is a complete bar to any further action by the Commission,
including the bringing of a civil proceeding under paragraph (6)(A).
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\1\ So in original. Probably should be ``clause''.
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(ii) If any determination of the Commission under clause (i) occurs
during the 45-day period immediately preceding any election, then the
Commission shall attempt, for a period of at least 15 days, to correct
or prevent the violation involved by the methods specified in clause
(i).
(B)(i) No action by the Commission or any person, and no information
derived, in connection with any conciliation attempt by the Commission
under subparagraph (A) may be made public by the Commission without the
written consent of the respondent and the Commission.
[[Page 298]]
(ii) If a conciliation agreement is agreed upon by the Commission
and the respondent, the Commission shall make public any conciliation
agreement signed by both the Commission and the respondent. If the
Commission makes a determination that a person has not violated this Act
or chapter 95 or chapter 96 of title 26, the Commission shall make
public such determination.
(C)(i) Notwithstanding subparagraph (A), in the case of a violation
of any requirement of section 434(a) of this title, the Commission may--
(I) find that a person committed such a violation on the basis
of information obtained pursuant to the procedures described in
paragraphs (1) and (2); and
(II) based on such finding, require the person to pay a civil
money penalty in an amount determined under a schedule of penalties
which is established and published by the Commission and which takes
into account the amount of the violation involved, the existence of
previous violations by the person, and such other factors as the
Commission considers appropriate.
(ii) The Commission may not make any determination adverse to a
person under clause (i) until the person has been given written notice
and an opportunity to be heard before the Commission.
(iii) Any person against whom an adverse determination is made under
this subparagraph may obtain a review of such determination in the
district court of the United States for the district in which the person
resides, or transacts business, by filing in such court (prior to the
expiration of the 30-day period which begins on the date the person
receives notification of the determination) a written petition
requesting that the determination be modified or set aside.
(5)(A) If the Commission believes that a violation of this Act or of
chapter 95 or chapter 96 of title 26 has been committed, a conciliation
agreement entered into by the Commission under paragraph (4)(A) may
include a requirement that the person involved in such conciliation
agreement shall pay a civil penalty which does not exceed the greater of
$5,000 or an amount equal to any contribution or expenditure involved in
such violation.
(B) If the Commission believes that a knowing and willful violation
of this Act or of chapter 95 or chapter 96 of title 26 has been
committed, a conciliation agreement entered into by the Commission under
paragraph (4)(A) may require that the person involved in such
conciliation agreement shall pay a civil penalty which does not exceed
the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(C) If the Commission by an affirmative vote of 4 of its members,
determines that there is probable cause to believe that a knowing and
willful violation of this Act which is subject to subsection (d) of this
section, or a knowing and willful violation of chapter 95 or chapter 96
of title 26, has occurred or is about to occur, it may refer such
apparent violation to the Attorney General of the United States without
regard to any limitations set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a conciliation
agreement with the Commission under paragraph (4)(A), the Commission may
institute a civil action for relief under paragraph (6)(A) if it
believes that the person has violated any provision of such conciliation
agreement. For the Commission to obtain relief in any civil action, the
Commission need only establish that the person has violated, in whole or
in part, any requirement of such conciliation agreement.
(6)(A) If the Commission is unable to correct or prevent any
violation of this Act or of chapter 95 or chapter 96 of title 26, by the
methods specified in paragraph (4), the Commission may, upon an
affirmative vote of 4 of its members, institute a civil action for
relief, including a permanent or temporary injunction, restraining
order, or any other appropriate order (including an order for a civil
penalty which does not exceed the greater of $5,000 or an amount equal
to any contribution or expenditure involved in such violation) in the
district court of the United States for the district in which the person
against whom such action is brought is found, resides, or transacts
business.
(B) In any civil action instituted by the Commission under
subparagraph (A), the court may grant a permanent or temporary
injunction, restraining order, or other order, including a civil penalty
which does not exceed the greater of $5,000 or an amount equal to any
contribution or expenditure involved in such violation, upon a proper
showing that the person involved has committed, or is about to commit
(if the relief sought is a permanent or temporary injunction or a
restraining order), a violation of this Act or chapter 95 or chapter 96
of title 26.
(C) In any civil action for relief instituted by the Commission
under subparagraph (A), if the court determines that the Commission has
established that the person involved in such civil action has committed
a knowing and willful violation of this Act or of chapter 95 or chapter
96 of title 26, the court may impose a civil penalty which does not
exceed the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(7) In any action brought under paragraph (5) or (6), subpenas for
witnesses who are required to attend a United States district court may
run into any other district.
(8)(A) Any party aggrieved by an order of the Commission dismissing
a complaint filed by such party under paragraph (1), or by a failure of
the Commission to act on such complaint during the 120-day period
beginning on the date the complaint is filed, may file a petition with
the United States District Court for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed, in the case
of a dismissal of a complaint
[[Page 299]]
by the Commission, within 60 days after the date of the dismissal.
(C) In any proceeding under this paragraph the court may declare
that the dismissal of the complaint or the failure to act is contrary to
law, and may direct the Commission to conform with such declaration
within 30 days, failing which the complainant may bring, in the name of
such complainant, a civil action to remedy the violation involved in the
original complaint.
(9) Any judgment of a district court under this subsection may be
appealed to the court of appeals, and the judgment of the court of
appeals affirming or setting aside, in whole or in part, any such order
of the district court shall be final, subject to review by the Supreme
Court of the United States upon certiorari or certification as provided
in section 1254 of title 28.
(10) Repealed. Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8,
1984, 98 Stat. 3357.
(11) If the Commission determines after an investigation that any
person has violated an order of the court entered in a proceeding
brought under paragraph (6), it may petition the court for an order to
hold such person in civil contempt, but if it believes the violation to
be knowing and willful it may petition the court for an order to hold
such person in criminal contempt.
(12)(A) Any notification or investigation made under this section
shall not be made public by the Commission or by any person without the
written consent of the person receiving such notification or the person
with respect to whom such investigation is made.
(B) Any member or employee of the Commission, or any other person,
who violates the provisions of subparagraph (A) shall be fined not more
than $2,000. Any such member, employee, or other person who knowingly
and willfully violates the provisions of subparagraph (A) shall be fined
not more than $5,000.
(b) Notice to persons not filing required reports prior to institution
of enforcement action; publication of identity of persons and
unfiled reports
Before taking any action under subsection (a) of this section
against any person who has failed to file a report required under
section 434(a)(2)(A)(iii) of this title for the calendar quarter
immediately preceding the election involved, or in accordance with
section 434(a)(2)(A)(i) of this title, the Commission shall notify the
person of such failure to file the required reports. If a satisfactory
response is not received within 4 business days after the date of
notification, the Commission shall, pursuant to section 438(a)(7) of
this title, publish before the election the name of the person and the
report or reports such person has failed to file.
(c) Reports by Attorney General of apparent violations
Whenever the Commission refers an apparent violation to the Attorney
General, the Attorney General shall report to the Commission any action
taken by the Attorney General regarding the apparent violation. Each
report shall be transmitted within 60 days after the date the Commission
refers an apparent violation, and every 30 days thereafter until the
final disposition of the apparent violation.
(d) Penalties; defenses; mitigation of offenses
(1)(A) Any person who knowingly and willfully commits a violation of
any provision of this Act which involves the making, receiving, or
reporting of any contribution, donation, or expenditure--
(i) aggregating $25,000 or more during a calendar year shall be
fined under title 18, or imprisoned for not more than 5 years, or
both; or
(ii) aggregating $2,000 or more (but less than $25,000) during a
calendar year shall be fined under such title, or imprisoned for not
more than 1 year, or both.
(B) In the case of a knowing and willful violation of section
441b(b)(3) of this title, the penalties set forth in this subsection
shall apply to a violation involving an amount aggregating $250 or more
during a calendar year. Such violation of section 441b(b)(3) of this
title may incorporate a violation of section 441c(b), 441f, or 441g of
this title.
(C) In the case of a knowing and willful violation of section 441h
of this title, the penalties set forth in this subsection shall apply
without regard to whether the making, receiving, or reporting of a
contribution or expenditure of $1,000 or more is involved.
(D) Any person who knowingly and willfully commits a violation of
section 441f of this title involving an amount aggregating more than
$10,000 during a calendar year shall be--
(i) imprisoned for not more than 2 years if the amount is less
than $25,000 (and subject to imprisonment under subparagraph (A) if
the amount is $25,000 or more);
(ii) fined not less than 300 percent of the amount involved in
the violation and not more than the greater of--
(I) $50,000; or
(II) 1,000 percent of the amount involved in the violation;
or
(iii) both imprisoned under clause (i) and fined under clause
(ii).
(2) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, any defendant
may evidence their lack of knowledge or intent to commit the alleged
violation by introducing as evidence a conciliation agreement entered
into between the defendant and the Commission under subsection (a)(4)(A)
of this section which specifically deals with the act or failure to act
constituting such violation and which is still in effect.
(3) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, the court before
which such action is brought shall take into account, in weighing the
seriousness of the violation and in considering the appropriateness of
the penalty to be imposed if the defendant is found guilty, whether--
(A) the specific act or failure to act which constitutes the
violation for which the action was brought is the subject of a
conciliation agreement entered into between the defendant and the
Commission under subparagraph (a)(4)(A);
(B) the conciliation agreement is in effect; and
[[Page 300]]
(C) the defendant is, with respect to the violation involved, in
compliance with the conciliation agreement.
(Pub. L. 92-225, title III, Sec. 309, formerly Sec. 314, as added Pub.
L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1284;
renumbered Sec. 313 and amended Pub. L. 94-283, title I, Secs. 105,
109, May 11, 1976, 90 Stat. 481, 483; renumbered Sec. 309 and amended
Pub. L. 96-187, title I, Secs. 105(4), 108, Jan. 8, 1980, 93 Stat.
1354, 1358; Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8, 1984, 98
Stat. 3357; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub.
L. 106-58, title VI, Sec. 640(a), (b), Sept. 29, 1999, 113 Stat. 476,
477; Pub. L. 107-155, title III, Secs. 312(a), 315(a), (b), Mar. 27,
2002, 116 Stat. 106, 108.)
References in Text
This Act, referred to in subsecs. (a) and (d), means the Federal
Election Campaign Act of 1971, as amended, as defined by section 431 of
this title.
Prior Provisions
Provisions similar to those comprising subsec. (a) of this section
were contained in section 308(d) of Pub. L. 92-225, title III, Feb. 7,
1972, 86 Stat. 18 (section 438(d) of this title), prior to amendment of
section 308 of Pub. L. 92-225 by Pub. L. 93-443.
A prior section 309 of Pub. L. 92-225 was renumbered section 306,
and is classified to section 437c of this title.
Another prior section 309 of Pub. L. 92-225 was renumbered section
308, and was classified to section 437b of this title, prior to repeal
by Pub. L. 96-187.
Another prior section 309 of Pub. L. 92-225 was renumbered section
312, and is classified to section 439 of this title.
Amendments
2002--Subsec. (a)(5)(B). Pub. L. 107-155, Sec. 315(a)(1), inserted
before period at end ``(or, in the case of a violation of section 441f
of this title, which is not less than 300 percent of the amount involved
in the violation and is not more than the greater of $50,000 or 1,000
percent of the amount involved in the violation)''.
Subsec. (a)(6)(C). Pub. L. 107-155, Sec. 315(a)(2), inserted before
period at end ``(or, in the case of a violation of section 441f of this
title, which is not less than 300 percent of the amount involved in the
violation and is not more than the greater of $50,000 or 1,000 percent
of the amount involved in the violation)''.
Subsec. (d)(1)(A). Pub. L. 107-155, Sec. 312(a), amended subpar. (A)
generally. Prior to amendment, subpar. (A) read as follows: ``Any person
who knowingly and willfully commits a violation of any provision of this
Act which involves the making, receiving, or reporting of any
contribution or expenditure aggregating $2,000 or more during a calendar
year shall be fined, or imprisoned for not more than one year, or both.
The amount of this fine shall not exceed the greater of $25,000 or 300
percent of any contribution or expenditure involved in such violation.''
Subsec. (d)(1)(D). Pub. L. 107-155, Sec. 315(b), added subpar. (D).
1999--Subsec. (a)(4)(A)(i). Pub. L. 106-58, Sec. 640(a)(1),
substituted ``clauses (ii) and subparagraph (C)'' for ``clause (ii)''.
Subsec. (a)(4)(C). Pub. L. 106-58, Sec. 640(a)(2), added subpar.
(C).
Subsec. (a)(6)(A). Pub. L. 106-58, Sec. 640(b), substituted
``paragraph (4)'' for ``paragraph (4)(A)''.
1986--Subsecs. (a)(1), (2), (4)(A)(i), (B)(ii), (5)(A) to (C), (6),
(d)(2), (3). Pub. L. 99-514 substituted ``Internal Revenue Code of
1986'' for ``Internal Revenue Code of 1954'', which for purposes of
codification was translated as ``title 26'' thus requiring no change in
text.
1984--Subsec. (a)(10). Pub. L. 98-620 struck out par. (10) which
provided that any action brought under subsec. (a) be advanced on the
docket of the court in which filed and put ahead of all other actions
(other than other actions brought under this subsec. or under section
437h of this title).
1980--Pub. L. 96-187, Sec. 108, substantially revised provisions of
this section in order to facilitate the Commission's more expeditious
handling of complaints, and implementation of enforcement proceedings.
1976--Subsec. (a). Pub. L. 94-283, Sec. 109, generally revised
provisions of subsec. (a) to reflect enactment of sections 441a to 441j
of this title and repeal of sections 608 and 610 to 617 of title 18 and
to update the operations of the Commission.
Subsecs. (b), (c). Pub. L. 94-283, Sec. 109, reenacted subsec. (b)
without change and added subsec. (c).
Effective Date of 2002 Amendment
Pub. L. 107-155, title III, Sec. 312(b), Mar. 27, 2002, 116 Stat.
106, provided that: ``The amendment made by this section [amending this
section] shall apply to violations occurring on or after the effective
date of this Act [for general effective date of Pub. L. 107-155, see
section 402 of Pub. L. 107-155, set out as an Effective Date of 2002
Amendment; Regulations note under section 431 of this title].''
Pub. L. 107-155, title III, Sec. 315(c), Mar. 27, 2002, 116 Stat.
108, provided that: ``The amendments made by this section [amending this
section] shall apply with respect to violations occurring on or after
the effective date of this Act [for general effective date of Pub. L.
107-155, see section 402 of Pub. L. 107-155, set out as an Effective
Date of 2002 Amendment; Regulations note under section 431 of this
title].''
Effective Date of 1999 Amendment
Pub. L. 106-58, title VI, Sec. 640(c), Sept. 29, 1999, 113 Stat.
477, as amended by Pub. L. 107-67, title VI, Sec. 642, Nov. 12, 2001,
115 Stat. 555; Pub. L. 108-199, div. F, title VI, Sec. 639, Jan. 23,
2004, 118 Stat. 359; Pub. L. 109-115, div. A, title VII, Sec. 721. Nov.
30, 2005, 119 Stat. 2493, provided that: ``The amendments made by this
section [amending this section] shall apply with respect to violations
that relate to reporting periods that begin on or after January 1, 2000,
and that end on or before December 31, 2008.''
Effective Date of 1984 Amendment
Amendment by Pub. L. 98-620 not applicable to cases pending on Nov.
8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date
note under section 1657 of Title 28, Judiciary and Judicial Procedure.
Effective Date of 1980 Amendment
Amendment by Pub. L. 96-187 effective Jan. 8, 1980, see section
301(a) of Pub. L. 96-187, set out as a note under section 431 of this
title.
Effective Date
Section effective Jan. 1, 1975, see section 410(a) of Pub. L. 93-
443, set out as an Effective Date of 1974 Amendment note under section
431 of this title.
(a) Administrative and judicial practice and procedure
(1) Any person who believes a violation of this Act or of chapter 95
or chapter 96 of title 26 has occurred, may file a complaint with the
Commission. Such complaint shall be in writing, signed and sworn to by
the person filing such complaint, shall be notarized, and shall be made
under penalty of perjury and subject to the provisions of section 1001
of title 18. Within 5 days after receipt of a complaint, the Commission
shall notify, in writing, any person alleged in the complaint to have
committed such a violation. Before the Commission conducts any vote on
the complaint, other than a vote to dismiss, any person so notified
shall have the opportunity to demonstrate, in writing, to the Commission
within 15 days after notification that no action should be taken against
such person on the basis of the complaint. The Commission may not
conduct any investigation or take any other action under this section
solely on the basis of a complaint of a person whose identity is not
disclosed to the Commission.
(2) If the Commission, upon receiving a complaint under paragraph
(1) or on the basis of information ascertained in the normal course of
carrying out its supervisory responsibilities, determines, by an
affirmative vote of 4 of its members, that it has reason to believe that
a person has committed, or is about to commit, a violation of this Act
or chapter 95 or chapter 96 of title 26, the Commission shall, through
its chairman or vice chairman, notify the person of the alleged
violation. Such notification shall set forth the factual basis for such
alleged violation. The Commission shall make an investigation of such
alleged violation, which may include a field investigation or audit, in
accordance with the provisions of this section.
(3) The general counsel of the Commission shall notify the
respondent of any recommendation to the Commission by the general
counsel to proceed to a vote on probable cause pursuant to paragraph
(4)(A)(i). With such notification, the general counsel shall include a
brief stating the position of the general counsel on the legal and
factual issues of the case. Within 15 days of receipt of such brief,
respondent may submit a brief stating the position of such respondent on
the legal and factual issues of the case, and replying to the brief of
general counsel. Such briefs shall be filed with the Secretary of the
Commission and shall be considered by the Commission before proceeding
under paragraph (4).
(4)(A)(i) Except as provided in clauses \1\ (ii) and subparagraph
(C), if the Commission determines, by an affirmative vote of 4 of its
members, that there is probable cause to believe that any person has
committed, or is about to commit, a violation of this Act or of chapter
95 or chapter 96 of title 26, the Commission shall attempt, for a period
of at least 30 days, to correct or prevent such violation by informal
methods of conference, conciliation, and persuasion, and to enter into a
conciliation agreement with any person involved. Such attempt by the
Commission to correct or prevent such violation may continue for a
period of not more than 90 days. The Commission may not enter into a
conciliation agreement under this clause except pursuant to an
affirmative vote of 4 of its members. A conciliation agreement, unless
violated, is a complete bar to any further action by the Commission,
including the bringing of a civil proceeding under paragraph (6)(A).
---------------------------------------------------------------------------
\1\ So in original. Probably should be ``clause''.
---------------------------------------------------------------------------
(ii) If any determination of the Commission under clause (i) occurs
during the 45-day period immediately preceding any election, then the
Commission shall attempt, for a period of at least 15 days, to correct
or prevent the violation involved by the methods specified in clause
(i).
(B)(i) No action by the Commission or any person, and no information
derived, in connection with any conciliation attempt by the Commission
under subparagraph (A) may be made public by the Commission without the
written consent of the respondent and the Commission.
[[Page 298]]
(ii) If a conciliation agreement is agreed upon by the Commission
and the respondent, the Commission shall make public any conciliation
agreement signed by both the Commission and the respondent. If the
Commission makes a determination that a person has not violated this Act
or chapter 95 or chapter 96 of title 26, the Commission shall make
public such determination.
(C)(i) Notwithstanding subparagraph (A), in the case of a violation
of any requirement of section 434(a) of this title, the Commission may--
(I) find that a person committed such a violation on the basis
of information obtained pursuant to the procedures described in
paragraphs (1) and (2); and
(II) based on such finding, require the person to pay a civil
money penalty in an amount determined under a schedule of penalties
which is established and published by the Commission and which takes
into account the amount of the violation involved, the existence of
previous violations by the person, and such other factors as the
Commission considers appropriate.
(ii) The Commission may not make any determination adverse to a
person under clause (i) until the person has been given written notice
and an opportunity to be heard before the Commission.
(iii) Any person against whom an adverse determination is made under
this subparagraph may obtain a review of such determination in the
district court of the United States for the district in which the person
resides, or transacts business, by filing in such court (prior to the
expiration of the 30-day period which begins on the date the person
receives notification of the determination) a written petition
requesting that the determination be modified or set aside.
(5)(A) If the Commission believes that a violation of this Act or of
chapter 95 or chapter 96 of title 26 has been committed, a conciliation
agreement entered into by the Commission under paragraph (4)(A) may
include a requirement that the person involved in such conciliation
agreement shall pay a civil penalty which does not exceed the greater of
$5,000 or an amount equal to any contribution or expenditure involved in
such violation.
(B) If the Commission believes that a knowing and willful violation
of this Act or of chapter 95 or chapter 96 of title 26 has been
committed, a conciliation agreement entered into by the Commission under
paragraph (4)(A) may require that the person involved in such
conciliation agreement shall pay a civil penalty which does not exceed
the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(C) If the Commission by an affirmative vote of 4 of its members,
determines that there is probable cause to believe that a knowing and
willful violation of this Act which is subject to subsection (d) of this
section, or a knowing and willful violation of chapter 95 or chapter 96
of title 26, has occurred or is about to occur, it may refer such
apparent violation to the Attorney General of the United States without
regard to any limitations set forth in paragraph (4)(A).
(D) In any case in which a person has entered into a conciliation
agreement with the Commission under paragraph (4)(A), the Commission may
institute a civil action for relief under paragraph (6)(A) if it
believes that the person has violated any provision of such conciliation
agreement. For the Commission to obtain relief in any civil action, the
Commission need only establish that the person has violated, in whole or
in part, any requirement of such conciliation agreement.
(6)(A) If the Commission is unable to correct or prevent any
violation of this Act or of chapter 95 or chapter 96 of title 26, by the
methods specified in paragraph (4), the Commission may, upon an
affirmative vote of 4 of its members, institute a civil action for
relief, including a permanent or temporary injunction, restraining
order, or any other appropriate order (including an order for a civil
penalty which does not exceed the greater of $5,000 or an amount equal
to any contribution or expenditure involved in such violation) in the
district court of the United States for the district in which the person
against whom such action is brought is found, resides, or transacts
business.
(B) In any civil action instituted by the Commission under
subparagraph (A), the court may grant a permanent or temporary
injunction, restraining order, or other order, including a civil penalty
which does not exceed the greater of $5,000 or an amount equal to any
contribution or expenditure involved in such violation, upon a proper
showing that the person involved has committed, or is about to commit
(if the relief sought is a permanent or temporary injunction or a
restraining order), a violation of this Act or chapter 95 or chapter 96
of title 26.
(C) In any civil action for relief instituted by the Commission
under subparagraph (A), if the court determines that the Commission has
established that the person involved in such civil action has committed
a knowing and willful violation of this Act or of chapter 95 or chapter
96 of title 26, the court may impose a civil penalty which does not
exceed the greater of $10,000 or an amount equal to 200 percent of any
contribution or expenditure involved in such violation (or, in the case
of a violation of section 441f of this title, which is not less than 300
percent of the amount involved in the violation and is not more than the
greater of $50,000 or 1,000 percent of the amount involved in the
violation).
(7) In any action brought under paragraph (5) or (6), subpenas for
witnesses who are required to attend a United States district court may
run into any other district.
(8)(A) Any party aggrieved by an order of the Commission dismissing
a complaint filed by such party under paragraph (1), or by a failure of
the Commission to act on such complaint during the 120-day period
beginning on the date the complaint is filed, may file a petition with
the United States District Court for the District of Columbia.
(B) Any petition under subparagraph (A) shall be filed, in the case
of a dismissal of a complaint
[[Page 299]]
by the Commission, within 60 days after the date of the dismissal.
(C) In any proceeding under this paragraph the court may declare
that the dismissal of the complaint or the failure to act is contrary to
law, and may direct the Commission to conform with such declaration
within 30 days, failing which the complainant may bring, in the name of
such complainant, a civil action to remedy the violation involved in the
original complaint.
(9) Any judgment of a district court under this subsection may be
appealed to the court of appeals, and the judgment of the court of
appeals affirming or setting aside, in whole or in part, any such order
of the district court shall be final, subject to review by the Supreme
Court of the United States upon certiorari or certification as provided
in section 1254 of title 28.
(10) Repealed. Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8,
1984, 98 Stat. 3357.
(11) If the Commission determines after an investigation that any
person has violated an order of the court entered in a proceeding
brought under paragraph (6), it may petition the court for an order to
hold such person in civil contempt, but if it believes the violation to
be knowing and willful it may petition the court for an order to hold
such person in criminal contempt.
(12)(A) Any notification or investigation made under this section
shall not be made public by the Commission or by any person without the
written consent of the person receiving such notification or the person
with respect to whom such investigation is made.
(B) Any member or employee of the Commission, or any other person,
who violates the provisions of subparagraph (A) shall be fined not more
than $2,000. Any such member, employee, or other person who knowingly
and willfully violates the provisions of subparagraph (A) shall be fined
not more than $5,000.
(b) Notice to persons not filing required reports prior to institution
of enforcement action; publication of identity of persons and
unfiled reports
Before taking any action under subsection (a) of this section
against any person who has failed to file a report required under
section 434(a)(2)(A)(iii) of this title for the calendar quarter
immediately preceding the election involved, or in accordance with
section 434(a)(2)(A)(i) of this title, the Commission shall notify the
person of such failure to file the required reports. If a satisfactory
response is not received within 4 business days after the date of
notification, the Commission shall, pursuant to section 438(a)(7) of
this title, publish before the election the name of the person and the
report or reports such person has failed to file.
(c) Reports by Attorney General of apparent violations
Whenever the Commission refers an apparent violation to the Attorney
General, the Attorney General shall report to the Commission any action
taken by the Attorney General regarding the apparent violation. Each
report shall be transmitted within 60 days after the date the Commission
refers an apparent violation, and every 30 days thereafter until the
final disposition of the apparent violation.
(d) Penalties; defenses; mitigation of offenses
(1)(A) Any person who knowingly and willfully commits a violation of
any provision of this Act which involves the making, receiving, or
reporting of any contribution, donation, or expenditure--
(i) aggregating $25,000 or more during a calendar year shall be
fined under title 18, or imprisoned for not more than 5 years, or
both; or
(ii) aggregating $2,000 or more (but less than $25,000) during a
calendar year shall be fined under such title, or imprisoned for not
more than 1 year, or both.
(B) In the case of a knowing and willful violation of section
441b(b)(3) of this title, the penalties set forth in this subsection
shall apply to a violation involving an amount aggregating $250 or more
during a calendar year. Such violation of section 441b(b)(3) of this
title may incorporate a violation of section 441c(b), 441f, or 441g of
this title.
(C) In the case of a knowing and willful violation of section 441h
of this title, the penalties set forth in this subsection shall apply
without regard to whether the making, receiving, or reporting of a
contribution or expenditure of $1,000 or more is involved.
(D) Any person who knowingly and willfully commits a violation of
section 441f of this title involving an amount aggregating more than
$10,000 during a calendar year shall be--
(i) imprisoned for not more than 2 years if the amount is less
than $25,000 (and subject to imprisonment under subparagraph (A) if
the amount is $25,000 or more);
(ii) fined not less than 300 percent of the amount involved in
the violation and not more than the greater of--
(I) $50,000; or
(II) 1,000 percent of the amount involved in the violation;
or
(iii) both imprisoned under clause (i) and fined under clause
(ii).
(2) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, any defendant
may evidence their lack of knowledge or intent to commit the alleged
violation by introducing as evidence a conciliation agreement entered
into between the defendant and the Commission under subsection (a)(4)(A)
of this section which specifically deals with the act or failure to act
constituting such violation and which is still in effect.
(3) In any criminal action brought for a violation of any provision
of this Act or of chapter 95 or chapter 96 of title 26, the court before
which such action is brought shall take into account, in weighing the
seriousness of the violation and in considering the appropriateness of
the penalty to be imposed if the defendant is found guilty, whether--
(A) the specific act or failure to act which constitutes the
violation for which the action was brought is the subject of a
conciliation agreement entered into between the defendant and the
Commission under subparagraph (a)(4)(A);
(B) the conciliation agreement is in effect; and
[[Page 300]]
(C) the defendant is, with respect to the violation involved, in
compliance with the conciliation agreement.
(Pub. L. 92-225, title III, Sec. 309, formerly Sec. 314, as added Pub.
L. 93-443, title II, Sec. 208(a), Oct. 15, 1974, 88 Stat. 1284;
renumbered Sec. 313 and amended Pub. L. 94-283, title I, Secs. 105,
109, May 11, 1976, 90 Stat. 481, 483; renumbered Sec. 309 and amended
Pub. L. 96-187, title I, Secs. 105(4), 108, Jan. 8, 1980, 93 Stat.
1354, 1358; Pub. L. 98-620, title IV, Sec. 402(1)(A), Nov. 8, 1984, 98
Stat. 3357; Pub. L. 99-514, Sec. 2, Oct. 22, 1986, 100 Stat. 2095; Pub.
L. 106-58, title VI, Sec. 640(a), (b), Sept. 29, 1999, 113 Stat. 476,
477; Pub. L. 107-155, title III, Secs. 312(a), 315(a), (b), Mar. 27,
2002, 116 Stat. 106, 108.)
References in Text
This Act, referred to in subsecs. (a) and (d), means the Federal
Election Campaign Act of 1971, as amended, as defined by section 431 of
this title.
Prior Provisions
Provisions similar to those comprising subsec. (a) of this section
were contained in section 308(d) of Pub. L. 92-225, title III, Feb. 7,
1972, 86 Stat. 18 (section 438(d) of this title), prior to amendment of
section 308 of Pub. L. 92-225 by Pub. L. 93-443.
A prior section 309 of Pub. L. 92-225 was renumbered section 306,
and is classified to section 437c of this title.
Another prior section 309 of Pub. L. 92-225 was renumbered section
308, and was classified to section 437b of this title, prior to repeal
by Pub. L. 96-187.
Another prior section 309 of Pub. L. 92-225 was renumbered section
312, and is classified to section 439 of this title.
Amendments
2002--Subsec. (a)(5)(B). Pub. L. 107-155, Sec. 315(a)(1), inserted
before period at end ``(or, in the case of a violation of section 441f
of this title, which is not less than 300 percent of the amount involved
in the violation and is not more than the greater of $50,000 or 1,000
percent of the amount involved in the violation)''.
Subsec. (a)(6)(C). Pub. L. 107-155, Sec. 315(a)(2), inserted before
period at end ``(or, in the case of a violation of section 441f of this
title, which is not less than 300 percent of the amount involved in the
violation and is not more than the greater of $50,000 or 1,000 percent
of the amount involved in the violation)''.
Subsec. (d)(1)(A). Pub. L. 107-155, Sec. 312(a), amended subpar. (A)
generally. Prior to amendment, subpar. (A) read as follows: ``Any person
who knowingly and willfully commits a violation of any provision of this
Act which involves the making, receiving, or reporting of any
contribution or expenditure aggregating $2,000 or more during a calendar
year shall be fined, or imprisoned for not more than one year, or both.
The amount of this fine shall not exceed the greater of $25,000 or 300
percent of any contribution or expenditure involved in such violation.''
Subsec. (d)(1)(D). Pub. L. 107-155, Sec. 315(b), added subpar. (D).
1999--Subsec. (a)(4)(A)(i). Pub. L. 106-58, Sec. 640(a)(1),
substituted ``clauses (ii) and subparagraph (C)'' for ``clause (ii)''.
Subsec. (a)(4)(C). Pub. L. 106-58, Sec. 640(a)(2), added subpar.
(C).
Subsec. (a)(6)(A). Pub. L. 106-58, Sec. 640(b), substituted
``paragraph (4)'' for ``paragraph (4)(A)''.
1986--Subsecs. (a)(1), (2), (4)(A)(i), (B)(ii), (5)(A) to (C), (6),
(d)(2), (3). Pub. L. 99-514 substituted ``Internal Revenue Code of
1986'' for ``Internal Revenue Code of 1954'', which for purposes of
codification was translated as ``title 26'' thus requiring no change in
text.
1984--Subsec. (a)(10). Pub. L. 98-620 struck out par. (10) which
provided that any action brought under subsec. (a) be advanced on the
docket of the court in which filed and put ahead of all other actions
(other than other actions brought under this subsec. or under section
437h of this title).
1980--Pub. L. 96-187, Sec. 108, substantially revised provisions of
this section in order to facilitate the Commission's more expeditious
handling of complaints, and implementation of enforcement proceedings.
1976--Subsec. (a). Pub. L. 94-283, Sec. 109, generally revised
provisions of subsec. (a) to reflect enactment of sections 441a to 441j
of this title and repeal of sections 608 and 610 to 617 of title 18 and
to update the operations of the Commission.
Subsecs. (b), (c). Pub. L. 94-283, Sec. 109, reenacted subsec. (b)
without change and added subsec. (c).
Effective Date of 2002 Amendment
Pub. L. 107-155, title III, Sec. 312(b), Mar. 27, 2002, 116 Stat.
106, provided that: ``The amendment made by this section [amending this
section] shall apply to violations occurring on or after the effective
date of this Act [for general effective date of Pub. L. 107-155, see
section 402 of Pub. L. 107-155, set out as an Effective Date of 2002
Amendment; Regulations note under section 431 of this title].''
Pub. L. 107-155, title III, Sec. 315(c), Mar. 27, 2002, 116 Stat.
108, provided that: ``The amendments made by this section [amending this
section] shall apply with respect to violations occurring on or after
the effective date of this Act [for general effective date of Pub. L.
107-155, see section 402 of Pub. L. 107-155, set out as an Effective
Date of 2002 Amendment; Regulations note under section 431 of this
title].''
Effective Date of 1999 Amendment
Pub. L. 106-58, title VI, Sec. 640(c), Sept. 29, 1999, 113 Stat.
477, as amended by Pub. L. 107-67, title VI, Sec. 642, Nov. 12, 2001,
115 Stat. 555; Pub. L. 108-199, div. F, title VI, Sec. 639, Jan. 23,
2004, 118 Stat. 359; Pub. L. 109-115, div. A, title VII, Sec. 721. Nov.
30, 2005, 119 Stat. 2493, provided that: ``The amendments made by this
section [amending this section] shall apply with respect to violations
that relate to reporting periods that begin on or after January 1, 2000,
and that end on or before December 31, 2008.''
Effective Date of 1984 Amendment
Amendment by Pub. L. 98-620 not applicable to cases pending on Nov.
8, 1984, see section 403 of Pub. L. 98-620, set out as an Effective Date
note under section 1657 of Title 28, Judiciary and Judicial Procedure.
Effective Date of 1980 Amendment
Amendment by Pub. L. 96-187 effective Jan. 8, 1980, see section
301(a) of Pub. L. 96-187, set out as a note under section 431 of this
title.
Effective Date
Section effective Jan. 1, 1975, see section 410(a) of Pub. L. 93-
443, set out as an Effective Date of 1974 Amendment note under section
431 of this title.