[Code of Federal Regulations]
[Title 11, Volume 1]
[Revised as of January 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 11CFR9039.3]

[Page 293-294]
 
                       TITLE 11--FEDERAL ELECTIONS
 
                 CHAPTER I--FEDERAL ELECTION COMMISSION
 
PART 9039--REVIEW AND INVESTIGATION AUTHORITY--Table of Contents
 
Sec. 9039.3  Examination and audits; investigations.

    (a) General. (1) The Commission will consider information obtained 
in its continuing review under 11 CFR 9039.2 in making any 
certification, determination or finding under this subchapter. If the 
Commission decides by an affirmative vote of four of its members that 
additional information must be obtained in connection with any such 
certification, determination or finding, it will conduct a further 
inquiry. A decision to conduct an inquiry under this section may be 
based on information that is obtained under 11 CFR 9039.2, received by 
the Commission from outside sources, or otherwise ascertained by the 
Commission in carrying out its supervisory responsibilities under the 
Presidential Primary Matching Payment Account Act and the Federal 
Election Campaign Act.
    (2) An inquiry conducted under this section may be used to obtain 
information relevant to candidate eligibility, matchability of 
contributions and repayments to the United States Treasury. Information 
obtained during such

[[Page 294]]

an inquiry may be used as the basis, or partial basis, for Commission 
certifications, determinations and findings under 11 CFR parts 9033, 
9034, 9036 and 9038. Information thus obtained may also be the basis of, 
or be considered in connection with, an investigation under 2 U.S.C. 
437g and 11 CFR part 111.
    (3) Before conducting an inquiry under this section, the Commission 
will attempt to obtain relevant information under the continuing review 
provisions of 11 CFR 9039.2. Matching payments will not be withheld 
pending the results of an inquiry under this section unless the 
Commission finds patent irregularities suggesting the possibility of 
fraud in materials submitted by, or in the activities of, the candidate 
or his or her authorized committee(s).
    (b) Procedures. (1) The Commission will notify the candidate of its 
decision to conduct an inquiry under this section. The notice will 
summarize the legal and factual basis for the Commission's decision.
    (2) The Commission's inquiry may include, but is not limited to, the 
following:
    (i) A field audit of the candidate's books and records;
    (ii) Field interviews of agents and representatives of the candidate 
and his or her authorized committee(s);
    (iii) Verification of reported contributions by contacting reported 
contributors;
    (iv) Verification of disbursement information by contacting reported 
vendors;
    (v) Written questions under order;
    (vi) Production of documents under subpoena;
    (vii) Depositions.
    (3) The provisions of 2 U.S.C. 437g and 11 CFR part 111 will not 
apply to inquiries conducted under this section except that the 
provisions of 11 CFR 111.12 through 111.15 shall apply to any orders or 
subpoenas issued by the Commission.
    (4) If, at the close of the inquiry, the Commission determines that 
no action or no further action is warranted, the Commission shall so 
notify the candidate. If the inquiry results in an adjustment to the 
amount of certified matching funds, the procedures set forth at 11 CFR 
9036.5 or 9038.1 shall be followed, as appropriate. If the inquiry 
coincides with an audit undertaken pursuant to 11 CFR 9038.1, the 
information obtained in the inquiry will be utilized in making the 
repayment determination. If the inquiry results in an initial or 
additional repayment determination, the procedures set forth at 11 CFR 
9038.2, 9038.4, and 9038.5 shall be followed.

[56 FR 35949, July 29, 1991; 56 FR 42380, Aug. 27, 1991; 60 FR 31888, 
June 16, 1995]