[Code of Federal Regulations]
[Title 11, Volume 1]
[Revised as of January 1, 2009]
From the U.S. Government Printing Office via GPO Access
[CITE: 11CFR111.43]

[Page 199-203]
 
                       TITLE 11--FEDERAL ELECTIONS
 
                 CHAPTER I--FEDERAL ELECTION COMMISSION
 
PART 111_COMPLIANCE PROCEDURE (2 U.S.C. 437g, 437d(a))--
Table of Contents
 
                     Subpart B_Administrative Fines
 
Sec. 111.43  What are the schedules of penalties?

    (a) The civil money penalty for all reports that are filed late or 
not filed, except election sensitive reports and pre-election reports 
under 11 CFR 104.5, shall be calculated as follows:
    (1) For reports due before April 16, 2003:
    (i) Level of activity means the total amount of receipts and 
disbursements for the period covered by the late report. If the report 
is not filed, the level of activity is the estimated level of activity 
as set forth in paragraph (a)(1)(ii) of this section.
    (ii) Estimated level of activity means total receipts and 
disbursements reported in the current two-year election cycle divided by 
the number of reports filed to date covering the activity in the current 
two-year election cycle. If the respondent has not filed a report 
covering activity in the current two-year election cycle, estimated 
level of activity means total receipts and disbursements reported in the 
prior two-year election cycle divided by the number of reports filed 
covering the activity in the prior two-year election cycle.
    (iii) The civil money penalty shall be calculated in accordance with 
the following schedule:

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-24,999.99 \a\..............  [$100 + ($25 x Number   +$900 x [1 +
                                 of days late)] x [1     (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$25,000-49,999.99.............  [$200 + ($50 x Number   $1800 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$50,000-74,999.99.............  [$300 + ($75 x Number   $2700 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$75,000-99,999.99.............  [$400 + ($100 x Number  $3500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$100,000-149,999.99...........  [$600 + ($125 x Number  $4500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$150,000-199,999.99...........  [$800 + ($150 x Number  $5500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$200,000-249,999.99...........  [$1,000 + ($175 x       $6500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$250,000-349,999.99...........  [$1500 + ($200 x        $8000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$350,000-449,999.99...........  [$2000 + ($200 x        $9000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$450,000-549,999.99...........  [$2500 + ($200 x        $9500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$550,000-649,999.99...........  [$3000 + ($200 x        $10,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$650,000-749,999.99...........  [$3500 + ($200 x        $10,500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$750,000-849,999.99...........  [$4000 + ($200 x        $11,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$850,000-949,999.99...........  [$4500 + ($200 x        $11,500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$950,000 or over..............  [$5000 + ($200 x        $12,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.


[[Page 200]]

    (2) For reports due on or after April 16, 2003:
    (i) Level of activity means:
    (A) For an authorized committee, the total amount of receipts and 
disbursements for the period covered by the late report. If the report 
is not filed, the level of activity is the estimated level of activity 
as set forth in paragraph (a)(2)(ii)(A) of this section.
    (B) For an unauthorized committee, the total amount of receipts and 
disbursements for the period covered by the late report minus the total 
of: transfers received from non-Federal account(s) as reported on Line 
18(a) of FEC Form 3X and disbursements for the non-Federal share of 
operating expenditures attributable to allocated Federal/non-Federal 
activity as reported on Line 21(a)(ii) of FEC Form 3X for the period 
covered by the late report. If the report is not filed, the level of 
activity is the estimated level of activity as set forth in paragraph 
(a)(2)(ii)(B) of this section.
    (ii) Estimated level of activity means:
    (A) For an authorized committee, total receipts and disbursements 
reported in the current two-year election cycle divided by the number of 
reports filed to date covering the activity in the current two-year 
election cycle. If the respondent has not filed a report covering 
activity in the current two-year election cycle, estimated level of 
activity for an authorized committee means total receipts and 
disbursements reported in the prior two-year election cycle divided by 
the number of reports filed covering the activity in the prior two-year 
election cycle.
    (B)(1) For an unauthorized committee, estimated level of activity is 
calculated as follows: [(Total receipts and disbursements reported in 
the current two-year cycle)--(Transfers received from non-Federal 
account(s) as reported on either Line 18(a) of FEC Form 3X or Line 18 of 
FEC Form 3X if before March 1, 2003 + Disbursements for the non-Federal 
share of operating expenditures attributable to allocated Federal/non-
Federal activity as Reported on Line 21(a)(ii) of FEC Form 3X)] / Number 
of reports filed to date covering the activity in the current two-year 
election cycle.
    (2) If the unauthorized committee has not filed a report covering 
activity in the current two-year election cycle, the estimated level of 
activity is calculated as follows: [(Total receipts and disbursements 
reported in the prior two-year election cycle)--(Transfers received from 
non-Federal account(s) as reported on either Line 18(a) of FEC Form 3X 
or Line 18 of FEC Form 3X if before March 1, 2003 + Disbursements for 
the non-Federal Share of operating expenditures attributable to 
allocated Federal/non-Federal activity as reported on Line 21(a)(ii) of 
FEC Form 3X)] / Number of reports filed covering the activity in the 
prior two-year election cycle.
    (iii) The civil money penalty shall be calculated in accordance with 
the following schedule:

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-4,999.99 \a\...............  [$25 + ($5 x Number of  $250 x [1 + (.25
                                 days late)] x [1 +      x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)]
$5,000-9,999.99...............  [$50 + ($5 x Number of  $300 x [1 + (.25
                                 days late)] x [1 +      x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)]
$10,000-24,999.99.............  [$100 + ($5 x Number    $500 x [1 + (.25
                                 of days late)] x [1 +   x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)]
$25,000-49,999.99.............  [$200 + ($20 x Number   $900 x [1 + (.25
                                 of days late)] x [1 +   x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)]
$50,000-74,999.99.............  [$300 + ($75 x Number   $2700 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$75,000-99,999.99.............  [$400 + ($100 x Number  $3500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$100,000-149,999.99...........  [$600 + ($125 x Number  $4500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$150,000-199,999.99...........  [$800 + ($150 x Number  $5500 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$200,000-249,999.99...........  [$1,000 + ($175 x       $6500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$250,000-349,999.99...........  [$1500 + ($200 x        $8000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].

[[Page 201]]


$350,000-449,999.99...........  [$2000 + ($200 x        $9000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$450,000-549,999.99...........  [$2500 + ($200 x        $9500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$550,000-649,999.99...........  [$3000 + ($200 x        $10,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$650,000-749,999.99...........  [$3500 + ($200 x        $10,500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$750,000-849,999.99...........  [$4000 + ($200 x        $11,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$850,000-949,999.00...........  [$4500 + ($200 x        $11,500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$950,000 or over..............  [$5000 + ($200 x        $12,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.

    (b) The civil money penalty for election sensitive reports that are 
filed late or not filed shall be calculated as follows:
    (1) For reports due before April 16, 2003:
    (i) Level of activity has the same meaning as paragraph (a)(1)(i) of 
this section.
    (ii) Estimated level of activity has the same meaning as paragraph 
(a)(1)(ii) of this section.
    (iii) The civil money penalty shall be calculated in accordance with 
the following schedule:

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-24,999.99 \a\..............  [$150 + ($25 x Number   $1000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$25,000-49,999.99.............  [$300 + ($50 x Number   $2000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$50,000-74,999.99.............  [$450 + ($75 x Number   $3000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$75,000-99,999.99.............  [$600 + ($100 x Number  $4000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$100,000-149,999.99...........  [$900 + ($125 x Number  $5000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)]
$150,000-199,999.99...........  [$1200 + ($150 x        $6000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$200,000-249,999.99...........  [$1500 + ($175 x        $7500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$250,000-349,999.99...........  [$2250 + ($200 x        $9000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$350,000-449,999.99...........  [$3000 + ($200 x        $10,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$450,000-549,999.99...........  [$3750 + ($200 x        $11,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$550,000-649,999.99...........  [$4500 + ($200 x        $12,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$650,000-749,999.99...........  [$5250 + ($200 x        $13,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$750,000-849,999.99...........  [$6000 + ($200 x        $14,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$850,000-949,999.99...........  [$6750 + ($200 x        $15,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
$950,000 or over..............  [$7500 + ($200 x        $16,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)]
                                 violations)].
------------------------------------------------------------------------
\a\ The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.


[[Page 202]]

    (2) For reports due on or after April 16, 2003:
    (i) Level of activity has the same meaning as paragraph (a)(2)(i) of 
this section.
    (ii) Estimated level of activity has the same meaning as paragraph 
(a)(2)(ii) of this section.
    (iii) The civil money penalty shall be calculated in accordance with 
the following schedule:

------------------------------------------------------------------------
                                                          Or the report
  If the level of activity in     And the report was     was not filed,
        the report was:          filed late, the civil   the civil money
                                   money penalty is:       penalty is:
------------------------------------------------------------------------
$1-$4,999.99 a................  [$50 + ($10 x Number    $500 x [1 + (.25
                                 of days late)] x [1 +   x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)].
$5,000-$9,999.99..............  [$100 + ($10 x Number   $600 x [1 + (.25
                                 of days late)] x [1 +   x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)].
$10,000-24,999.99.............  [$150 + ($10 x Number   $900 x [1 + (.25
                                 of days late)] x [1 +   x Number of
                                 (.25 x Number of        previous
                                 previous violations)].  violations)].
$25,000-49,999.99.............  [$300 + ($25 x Number   $1,400 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)].
$50,000-74,999.99.............  [$450 + ($75 x Number   $3000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)].
$75,000-99,999.99.............  [$600 + ($100 x Number  $4000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)].
$100,000-149,999.99...........  [$900 + ($125 x Number  $5000 x [1 +
                                 of days late)] x [1 +   (.25 x Number
                                 (.25 x Number of        of previous
                                 previous violations)].  violations)].
$150,000-199,999.99...........  [$1200 + ($150 x        $6000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$200,000-249,999.99...........  [$1500 + ($175 x        $7500 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$250,000-349,999.99...........  [$2250 + ($200 x        $9000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$350,000-449,999.99...........  [$3000 + ($200 x        $10,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$450,000-549,999.99...........  [$3750 + ($200 x        $11,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$550,000-649,999.99...........  [$4500 + ($200 x        $12,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$650,000-749,999.99...........  [$5250 + ($200 x        $13,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$750,000-849,999.99...........  [$6000 + ($200 x        $14,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$850,000-949,999.99...........  [$6750 + ($200 x        $15,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
$950,000 or over..............  [$7500 + ($200 x        $16,000 x [1 +
                                 Number of days late)]   (.25 x Number
                                 x [1 + (.25 x Number    of previous
                                 of previous             violations)].
                                 violations)].
------------------------------------------------------------------------
a The civil money penalty for a respondent who does not have any
  previous violations will not exceed the level of activity in the
  report.

    (c) If the respondent fails to file a required report and the 
Commission cannot calculate the level of activity under paragraph (d) of 
this section, then the civil money penalty shall be $5,500.
    (d) Definitions. For this section only, the following definitions 
will apply:
    Election Sensitive Reports means third quarter reports due on 
October 15th before the general election (for all committees required to 
file this report except committees of candidates who do not participate 
in that general election); monthly reports due October 20th before the 
general election (for all committees required to file this report except 
committees of candidates who do not participate in that general 
election); and pre-election reports for primary, general, and special 
elections under 11 CFR 104.5.
    Number of previous violations mean all prior final civil money 
penalties assessed under this subpart during the current two-year 
election cycle and the prior two-year election cycle.
    (e) For purposes of the schedules of penalties in paragraphs (a) and 
(b) of this section,
    (1) Reports that are not election sensitive reports are considered 
to be filed late if they are filed after their due dates but within 
thirty (30) days of their due dates. These reports are considered to be 
not filed if they are filed after thirty (30) days of their due dates or 
not filed at all.
    (2) Election sensitive reports are considered to be filed late if 
they are filed

[[Page 203]]

after their due dates but prior to four (4) days before the primary 
election for pre-primary reports, prior to four (4) days before the 
special election for pre-special election reports, or prior to four (4) 
days before the general election for all other election sensitive 
reports. These reports are considered to be not filed if they are not 
filed prior to four (4) days before the primary election for pre-primary 
reports, prior to four (4) days before the special election for pre-
special election reports or prior to four (4) days before the general 
election for all other election sensitive reports.

[65 FR 31794, May 19, 2000, as amended at 68 FR 12577, Mar. 17, 2003; 70 
FR 34636, June 15, 2005]