5266826 Elections, Board of - Notice of Emergency and Proposed Rulemaking - campaign finance rule amendments
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DISTRICT OF COLUMBIA BOARD OF ELECTIONS
NOTICE OF EMERGENCY AND PROPOSED RULEMAKING
The District of Columbia Board of Elections, pursuant to the authority set forth in The District of Columbia Election Code of 1955, approved August 12, 1955, as amended (69 Stat. 699; D.C. Official Code § 1-1001.05(a)(14) (2012 Repl.)), hereby gives notice of emergency and proposed rulemaking action to adopt amendments to Chapter 30, “Campaign Finance Operations,” Chapter 34, “Campaign Finance Recordkeeping,” Chapter 36, “District of Columbia Senator and Representative,” Chapter 37, “Investigations and Hearings,” Chapter 38, “Legal Defense Committees,” Chapter 39, “Campaign Finance Operations: Inaugural Committees,” Chapter 40, “Campaign Finance Operations: Transition Committees,” and Chapter 41, “Campaign Finance Operations: Exploratory Committees”, of Title 3 (Elections and Ethics) of the District of Columbia Municipal Regulations (DCMR).
These amendments would place the Board’s regulations into conformity with the Campaign Finance Reform and Transparency Act of 2013, effective February 22, 2014 (D.C. Law 20-0079; 61 DCR 153 (January 10, 2014))) (the “Act”). This emergency rulemaking is necessary for the immediate preservation of the public peace and welfare of District residents because the provisions of the Act will become applicable on January 31, 2015.
The Board adopted these emergency rules at its regularly monthly meeting which took place on Wednesday, January 7, 2015, at which time the amendments became effective. The emergency amendments to the rules will expire on Thursday, May 7, 2015, one hundred twenty (120) days after the emergency rulemaking took effect.
The Board gives notice of its intent to take final rulemaking action to adopt these amendments in not less than thirty (30) days from the date of publication of this notice in the D.C. Register.
Chapter 30 of Title 3 DCMR, ELECTIONS AND ETHICS, is amended in its entirety to read as follows:
CHAPTER 30 CAMPAIGN FINANCE OPERATIONS: COMMITTEES, CANDIDATES, CONSTITUENT SERVICE PROGRAMS, STATEHOOD FUNDS
3000 ORGANIZATION OF POLITICAL COMMITTEES, POLITICAL ACTION COMMITTEES, AND INDEPENDENT EXPENDITURE COMMITTEES
3001 MANDATORY TRAINING
3002 CANDIDATE STATUS
3003 EXEMPTION FROM FILING AND REPORTING REQUIREMENTS
3004 CANDIDATE WAIVER FROM FILING AND REPORTING REQUIREMENTS
3005 PRINCIPAL CAMPAIGN COMMITTEE
3006 MANDATORY ELECTRONIC FILING
3007 RESERVED
3008 FINANCIAL REPORTS AND STATEMENTS
3009 REPORTS OF INITIATIVE, REFERENDUM, RECALL, AND PROPOSED CHARTER AMENDMENT COMMITTEES
3010 PETTY CASH FUNDS
3011 LIMITATIONS ON CONTRIBUTIONS
3012 JOINT FUNDRAISING
3013 LIMITATIONS ON THE USE OF CAMPAIGN FUNDS
3014 CONSTITUENT-SERVICE PROGRAM
3015 USE OF SURPLUS FUNDS
3016 TERMINATION OF COMMITTEES, CONSTITUENT-SERVICE PROGRAMS, AND STATEHOOD FUNDS
3017 FILINGS AND DEADLINES
3018 IDENTIFICATION OF CAMPAIGN LITERATURE
3019 PENALTIES
3000 ORGANIZATION OF POLITICAL COMMITTEES, POLITICAL ACTION COMMITTEES AND INDEPENDENT EXPENDITURE COMMITTEES
3000.1 Each political committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
3000.2 A political committee shall be deemed "organized" when any proposer, individual, committee, club, association, organization, or other group of individuals formally agree, orally or in writing, or decide to promote or oppose a political party, the nomination or election of an individual to office, or any initiative, referendum, or recall; or to form an inaugural, transition, or legal defense committee.
3000.3 Each committee controlled by or coordinated with any candidate or public official, or controlled by or coordinated with anyone acting on behalf of a candidate or public official, shall be deemed a political committee.
3000.4 In the absence of a decision to organize as a committee opposing an initiative or referendum measure under § 3000.2, a person who addresses a Board determination regarding the propriety of a proposed measure filed under Chapter 10 of this title shall not be required to file a Statement of Organization, under § 3000.1, or a Report of Receipts and Expenditures (R&E Report), under § 3008.
3000.5 A candidate’s designation of a committee on the candidate’s Statement of Candidacy form filed under § 3002.2 constitutes agreement to form a political committee.
3000.6 Any political committee designated by a candidate on the Statement of Candidacy form filed under § 3002.2 to receive contributions or make expenditures on behalf of the candidate, shall include the name of the candidate for elective office in the District of Columbia in its name.
3000.7 Political committees shall include the following:
(a) Affiliated Political Committees - all authorized committees of the same candidate for the same election, or all committees established, financed, maintained, or controlled by the same corporation, labor or membership organization, cooperative or trade association, or any similar organization, for the purposes stated in § 3000.2;
(b) Delegate Committees – a person, or group of persons, established to support a presidential candidate, which shall include the word "delegate(s)" in its name and may include the name of the presidential candidate whom it supports;
(c) Exploratory Committees - a person, or group of persons, organized for the purpose of examining or exploring, with the consent of the prospective candidate, the feasibility of a qualified individual becoming a candidate for an elective office in the District of Columbia;
(d) Inaugural Committees - a person, or group of persons, organized for the purpose of soliciting, accepting, and spending funds and coordinating activities to celebrate the election of a new Mayor;
(e) Initiative, Referendum, Recall, or Proposed Charter Amendment Committees - a person, or group of persons, organized for the purpose of, or engaged in promoting or opposing initiative, referendum or recall measures or proposed Charter amendments, respectively;
(f) Legal Defense Committees - a person, or group of persons, organized for the purpose of soliciting, accepting, or expending funds to defray the professional fees and costs for a public official’s legal defense to one or more civil, criminal, or administrative proceedings;
(g) Party Committees – a person, or group of persons, organized to represent a political party of the official party structure at the city-wide or ward level;
(h) Principal Campaign Committees – a person, or group of persons, designated and authorized by a candidate or slate of candidates for election as officials of a political party, as the principal campaign committee, in accordance with § 3005; provided, that it shall include the name(s) of the candidate(s) who authorized the committee in its name; and
(i) Transition Committees - a person, or group of persons, organized for the purpose of soliciting, accepting, or expending funds for office and personnel transition on behalf of the Chairman of the Council or the Mayor.
3000.8 Political committees shall not include the following:
(a) Connected Organizations - a corporation, labor or membership organization, cooperative or trade association, or any similar organization that directly or indirectly establishes, administers or financially supports a political committee;
(b) Political Action Committees; and
(c) Independent Expenditure Committees.
3000.9 Each political action committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
3000.10 A political action committee shall be deemed “organized” when any proposer, individual, committee, club, association, organization, or other group of individuals maintained, or controlled by the same corporation, labor or membership organization, cooperative or trade association, or any similar organization, formally agree orally or in writing, or decide to promote or oppose the nomination or election of a person to public office, a political party, or any initiative, referendum, or recall.
3000.11 A political action committee shall not be controlled by or coordinated with any public official or candidate, or any person acting on behalf of a public official or candidate.
3000.12 A political action committee shall not include the name of any candidate for elective office in the District of Columbia in its name.
3000.13 Each independent expenditure committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
3000.14 An independent expenditure committee shall be deemed “organized” when any proposer, individual, committee, club, association, organization, or other group of individuals formally agree orally or in writing, or decide to organize for the principal purpose of making independent expenditures to promote or oppose the nomination or election of a person to public office, a political party, or any initiative, referendum, or recall.
3000.15 An independent expenditure committee shall not be controlled by or coordinated with any public official or candidate, or any person acting on behalf of a public official or candidate.
3000.16 An independent expenditure committee shall not make transfers or contributions of funds to political committees, political action committees, or candidates.
3000.17 An independent expenditure committee shall not include the name of any candidate for elective office in the District of Columbia in its name.
3000.18 Each political action committee and independent expenditure committee shall indicate its intent not to support a candidate during a specific election cycle by:
(a) Declaring its intention on a Notification of Non-Support form; and
(b) Filing the Notification of Non-Support form within ten (10) days of the declaration by the committee of its intention to not support a candidate, or not later than January 31st of each year.
3000.19 Each political action committee and independent expenditure committee shall notify the Director in writing within ten (10) days of its decision to support a candidate, where it has previously filed a Notification of Non-Support, under § 3000.18.
3000.20 Each political committee, political action committee, and independent expenditure committee shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to §§ 3000.1, 3000.9, or 3000.13.
3000.21 When either the office of chairperson or treasurer of a political committee, political action committee, or independent expenditure committee is vacant, the committee shall:
(a) Designate a successor chairperson or treasurer within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
3000.22 No political committee, political action committee, or independent expenditure committee shall accept a contribution or make any expenditure while the office of treasurer is vacant, and no other person has been designated and agreed to perform the functions of treasurer.
3000.23 Each expenditure made for, or on behalf of, a political committee, political action committee and independent expenditure committee shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under §§ 3000.1, 3000.9, and 3000.13.
3000.24 A chairperson shall be required to file:
(a) A Statement of Acceptance of Position of Chairperson form, and a copy of written notification sent to the address of record of the treasurer (and the candidate, in the case of a political committee), within five (5) days of assuming the office; and
(b) A Statement of Withdrawal of Position of Chairperson form, and a copy of written notification sent to the address of record of the treasurer (and the candidate, in the case of a political committee), within five (5) days of vacating the office.
3000.25 A treasurer shall be required to file:
(a) A Statement of Acceptance of Position of Treasurer form, and a copy of written notification sent to the address of record of the chairperson (and the candidate, in the case of a political committee), within forty-eight (48) hours of assuming the office:
(b) All periodic Reports of Receipts and Expenditures (R&E Reports) due to the Director, pursuant to § 3008, during the treasurer’s tenure; provided that the designated agent listed on the Statement of Organization under §§ 3000.1, 3000.9, or 3000.13 may file the R&E Report if the treasurer is unavailable; and
(c) A Statement of Withdrawal of Position of Treasurer form, prescribed by the Director, and a copy of written notification sent to the address of record of the chairperson (and the candidate, in the case of a political committee), within forty-eight (48) hours of vacating the office.
3000.26 A person shall not simultaneously serve as the chairperson and treasurer of any committee, except the following:
(a) A candidate; or
(b) A proposer or opponent of an initiative, referendum, or recall measure, or an opponent of a proposed charter amendment.
3000.27 Each political committee, political action committee, and independent expenditure committee shall amend its Statement of Organization within ten (10) days of any change in the information previously reported on its Statement of Organization.
3000.28 The funds of each political committee, political action committee, or independent expenditure committee shall be segregated from, and may not be commingled with, anyone’s personal funds.
3000.29 Each political committee, political action committee, and independent expenditure committee that accepts contributions or makes expenditures shall:
(a) Designate one or more national banks located in the District of Columbia as the committee’s depository or depositories;
(b) Maintain a checking account or accounts at such depository or depositories; and
(c) Deposit any contribution received by the committee into that account or accounts.
3001 MANDATORY TRAINING
3001.1 Each candidate for public office (with the exception of candidates for Advisory Neighborhood Commissioners (ANC)), and each treasurer of a political committee, political action committee, or independent expenditure committee shall appear in person at the Office of Campaign Finance to attend a training program conducted by the Director.
3001.2 At the discretion of the Director, the Office of Campaign Finance may provide online training materials to supplement the in-person training program.
3001.3 Each candidate for public office shall attend the Office of Campaign Finance training program within fifteen (15) calendar days of submitting the Statement of Candidacy form in accordance with § 3002.
3001.4 Each treasurer of a political committee, political action committee, or independent expenditure committee shall attend the Office of Campaign Finance training program within fifteen (15) calendar days of submitting the Statement of Acceptance of Treasurer form in accordance with § 3000.25(a).
3001.5 Each candidate and treasurer participating in the Office of Campaign Finance training program shall affirm by signature and oath to follow the District’s campaign finance laws at the conclusion of the training program.
3001.6 The Director shall publish the names of all training program participants on the Office of Campaign Finance website for public viewing.
3002 CANDIDATE STATUS
3002.1 An individual shall be considered a candidate when he or she:
(a) Receives a campaign contribution;
(b) Makes a campaign expenditure;
(c) Obtains nominating petitions;
(d) Authorizes any person to perform any of the above acts; or
(e) Fails to disavow in writing to the Director any of the above acts by any other person within ten (10) days after written notification by the Director.
3002.2 With the exception of candidates for Advisory Neighborhood Commission (ANC) member, each candidate shall, within five (5) days after becoming a candidate under § 3002.1, file a Statement of Candidacy form that indicates:
(a) Whether spending is anticipated at less than five hundred dollars ($500); and
(b) Whether a principal campaign committee will be designated.
3002.3 Each candidate who indicates on the Statement of Candidacy that a principal campaign committee will be designated on his or her behalf shall provide the following information on the Statement of Candidacy form:
(a) The name of the principal campaign committee;
(b) The names of any other affiliated committees; and
(c) The names of the national bank(s) located in the District of Columbia that has been designated as the candidate’s campaign depository.
3002.4 The candidate shall commence filing personal R&E Reports in accordance with this chapter unless reporting is otherwise exempted or waived pursuant to § 3004.
3002.5 Each candidate who files the R&E Report shall by oath or affirmation, subject to penalties of perjury, verify the following statements:
(a) The candidate has used all reasonable diligence in the preparation of the report and the report is true and complete to the best of the candidate’s knowledge; and
(b) The candidate has used all reasonable due diligence to ensure that the candidate and the candidate’s committees are in compliance with the Campaign Finance Act, and the committees have advised their contributors of the obligations imposed on those contributors by the Campaign Finance Act.
3002.6 The Summary Financial Statement form of the Candidate for the Office of Member of an Advisory Neighborhood Commission (ANC) shall be filed no later than sixty (60) days after the certification by the Board of Elections (the Board) of the election results by the following individuals:
(a) ANC candidates who qualified for the ballot through the write-in process;
(b) ANC candidates who qualified for the ballot through the nominating petition process;
(c) ANC candidates who accepted contributions or made expenditures and did not qualify for the ballot; and
(d) ANC candidates who qualified as candidates for selection in the ANC vacancy filling process.
3002.7 The Summary Financial Statement form of the Candidate for the Office of Member of an ANC shall be filed electronically with the Director of Campaign Finance at the OCF website, www.ocf.dc.gov, except as provided in § 3002.9. A paper filing of the Summary Financial Statement shall not be accepted and will be considered a failure to file.
3002.8 The Office of Campaign Finance shall provide log-in information, including a Personal Identification Number (PIN), for access to the OCF Electronic Filing and Disclosure System to ANC candidates following the certification of the election results by the Board.
3002.9 The Director of the Office of Campaign Finance may grant an exception to the electronic filing requirement by the ANC candidate in either of the following circumstances:
(a) The filer submits a statement of actual hardship to the OCF no less than fifteen (15) days before the applicable filing deadline; and
(b) The filer submits a statement to the OCF describing an emergency that occurred on or before the filing deadline preventing the electronic filing. The request for an exception based on emergency does not delay any reporting deadlines. If a penalty is imposed for failure to file or timely file, the penalty may be set aside or reduced in accordance with § 3711.2(f).
3002.10 The Director shall review and respond in writing to an application for an exception within three (3) business days after its receipt.
3002.11 With the exception of candidates for the Office of Member of an Advisory Neighborhood Commission, each individual who ceases to become a candidate shall immediately file a Statement of Candidate Withdrawal form upon termination of the candidacy.
3003 EXEMPTION FROM FILING AND REPORTING REQUIREMENTS
3003.1 To invoke the exemption from the filing and reporting requirements, a candidate must anticipate spending less than five hundred dollars ($500) in any one election.
3003.2 A candidate shall be exempt from the filing and reporting requirements of the Act if, on the Statement of Candidacy form, the candidate:
(a) Certifies that he or she anticipates spending less than five hundred dollars ($500) in any one election; and
(b) Excludes the designation of a principal campaign committee.
3003.3 Each exempt candidate shall notify the Director in writing within forty-eight (48) hours from the time he or she spends, or anticipates spending, five hundred dollars ($500) or more.
3003.4 Each exempt candidate shall certify in writing to the Director, on a Report of Exemption for a Candidate Spending Less than Five Hundred Dollars ($500), that he or she has not spent more than five hundred dollars ($500). Such certification shall be filed with the Director by no later than:
(a) The fifteenth (15th) day before the date of the election in which the candidate seeks office; and
(b) The thirtieth (30th) day following the election.
3004 CANDIDATE WAIVER FROM FILING AND REPORTING REQUIREMENTS
3004.1 A candidate who has designated a principal campaign committee may apply, on a Request for Candidate Waiver form, for a waiver from filing reports separate from the candidate’s committee.
3004.2 The Director may grant a waiver of the filing and reporting requirements upon certification by a candidate that, within five (5) days after personally receiving any contribution, the candidate shall surrender possession of the contribution to the principal campaign committee without expending any of the proceeds from the contribution.
3004.3 A candidate who is granted a waiver shall not make any non-reimbursed expenditures for the campaign except in accordance with § 3004.4.
3004.4 A candidate may use personal funds to make an expenditure to the candidate's designated principal campaign committee. The principal campaign committee shall report the expenditure as a contribution received from the candidate and, if accompanied by a written instrument attesting thereto, as a loan pursuant to § 3011.7.
3004.5 The waiver from filing and reporting shall continue in effect as long as the candidate complies with the conditions under which it was granted.
3005 PRINCIPAL CAMPAIGN COMMITTEE
3005.1 With the exception of persons who make independent expenditures under the Act, only a candidate’s designated principal campaign committee and its affiliated committees shall accept contributions or make expenditures on behalf of that candidate.
3005.2 An individual who is a candidate for more than one (1) office shall designate a separate principal campaign committee for each office sought.
3005.3 Notwithstanding § 3005.2, a principal campaign committee supporting the nomination or election of a candidate as an official of a political party may support the nomination or election of more than one (1) candidate as an official of a political party.
3005.4 The principal campaign committee shall process contributions in the following manner:
(a) Contributions received by check, money order, or other written instrument shall be consigned directly to the principal campaign committee; and
(b) The proceeds of any monetary instruments listed in Subsection (a) that have been cashed or redeemed by the candidate pursuant to § 3004.2 shall be disallowed by the principal campaign committee and returned by the candidate to the donor.
3005.5 No contributions shall be commingled with the candidate’s personal funds or accounts.
3005.6 Except as provided in § 4101, an existing committee shall not be designated as the principal campaign committee of a candidate for public office, including the designation of any previously designated principal campaign committee of a candidate, or a slate of candidates for election as officials of a political party, in any future election.
3006 MANDATORY ELECTRONIC FILING
3006.1 All Reports of Receipts and Expenditures filed with the Director of the Office of Campaign Finance shall be filed electronically at the OCF website, www.ocf.dc.gov, except as provided in § 3006.2. A paper filing of an R&E Report shall not be accepted and will be considered a failure to file.
3006.2 The Director may grant an exception to the electronic filing requirement in either of the following circumstances:
(a) The filer submits a statement of actual hardship to the OCF at the time of registration demonstrating that the hardship will continue through the duration of the election cycle;
(b) The filer submits a statement of actual hardship to the OCF no less than fifteen (15) days before the applicable filing deadline; or
(c) The filer submits a statement to the OCF describing an emergency that occurred on or before the filing deadline preventing the electronic filing. The request for an exception based on emergency does not delay any reporting deadlines. If a penalty is imposed for failure to file or timely file, the penalty may be set aside or reduced in accordance with § 3711.2(f).
3006.3 The Director shall review and respond in writing to an application for an exception within three (3) business days after its receipt.
3006.4 The Office of Campaign Finance shall provide log-in information, including a Personal Identification Number (PIN), for access to the OCF Electronic Filing and Disclosure System to the following registrants:
(a) Each candidate who files the Statement of Registration form unless a waiver from the filing and reporting requirements is granted pursuant to § 3004;
(b) The treasurer of each political committee, political action committee, and independent expenditure committee which files the Statement of Organization form pursuant to §§ 3000.1, 3000.9, and 3000.13;
(c) The treasurer of each constituent-service program established by an elected public official who files the Statement of Organization form pursuant to § 3014.20(b);
(d) Each Senator and Representative who establishes a Statehood Fund and files the Statement of Information form, pursuant to §§ 3600.1 and 3600.8; and
(e) Each ANC candidate following the certification of election results by the Board.
3006.5 The filer of the Report of Receipts and Expenditures shall electronically verify each R&E Report through the use of the confidential PIN Number assigned by the Office of Campaign Finance.
3006.6 Each treasurer of a political committee, political action committee, independent expenditure committee, constituent-service program, and Statehood Fund who files the R&E Report shall electronically verify that the filer used all reasonable due diligence in the preparation of the report and to the best of their knowledge, the report is true and complete.
3006.7 Each candidate who files the R&E Report shall electronically verify on each R&E Report the statements contained in § 3002.5.
3006.8 The treasurer of each independent expenditure committee shall electronically certify the following on each R&E Report:
(a) The contributions received and the expenditures made by the committee have not been controlled or directed by any public official or candidate, any political committee, or by any political party; and
(b) The committee has not made a contribution or transfer of funds to any public official or candidate, any political committee, or any political action committee.
3006.9 The treasurer of each political action committee shall electronically certify on each R&E Report that the contributions received and the expenditures made by the committee have not been controlled or directed by any public official or candidate, any political committee, or by any political party.
3007 [RESERVED]
3008 FINANCIAL REPORTS AND STATEMENTS
3008.1 Candidates, committees, constituent-service programs and Statehood Funds and their treasurers shall make best efforts to obtain, report, and maintain the information required under Chapter 34 of this title.
3008.2 With the exception of candidates for the office of ANC member, all contributions, expenditures, debts, contracts, and agreements shall be reported on separate schedules in the following manner:
(a) On the R&E Report form prescribed by the Director; or
(b) In a format consistent with the R&E Report form.
3008.4 Each contribution, rebate, refund, or any other receipt of fifteen dollars ($15) or more shall be reported.
3008.5 Each contribution, receipt, transfer from other authorized committees, dividend or interest receipt, offset to operating expenditures, including rebates and refunds, and in the case of the constituent-service programs, personal property, shall be itemized and reported on the appropriate sub-schedule of Schedule A in accordance with the instructions for preparing the R&E Report.
3008.6 Each receipt for a loan made or guaranteed by the candidate or the committee, or owed by the candidate or the committee, and each loan repayment made by the candidate or the committee, shall be itemized and reported on the appropriate sub-schedule of Schedule E.
3008.7 Partnership contributions, under § 3011.23, shall be itemized and reported on Schedule A, in accordance with the instructions for preparing the R&E Report, in the following manner:
(a) In the name of the partnership; and
(b) In the name of each contributing partner.
3008.8 Each operating expenditure, transfer to other authorized committees, refund of a contribution, independent expenditure, offset to receipts, and in the case of a constituent-service program, personal property, shall be itemized and reported on the appropriate sub-schedule of Schedule B in accordance with the instructions for preparing the R&E Report.
3008.9 Each in-kind contribution, under §§ 3008.5 and 3008.8, shall be assessed at the current local fair market value at the time of the contribution, and shall be itemized and reported on the appropriate sub-schedules of Schedules A and B.
3008.10 Each Bitcoin contribution shall be reported on the R&E report in the following manner:
(a) Bitcoin contributions shall be reported as in-kind contributions in accordance with § 3008.9;
(b) Bitcoin contributions shall be reported received as of the date the contribution is liquidated into US dollars;
(c) The full amount liquidated shall be reported as the contributor’s total contribution;
(d) A refund check for any liquidated amount exceeding the contribution limit shall be issued to the contributor; and
(e) Each service charge incurred or discounted from the public Bitcoin exchange website shall be reported in the same manner as credit card transactions under §§ 3008.15(c) and (d).
3008.11 The net proceeds of each mass sale and collection shall be itemized and reported on Schedule C in accordance with the instructions for preparing the R&E Report, and the supporting documentation for each itemization maintained under § 3401.3 (b).
3008.12 Each debt and obligation, excluding loans, shall be itemized and reported on Schedule D in accordance with the instructions for preparing the R&E Report.
3008.13 Each loan shall be itemized and reported on the appropriate sub-schedule of Schedule E in accordance with the instructions for preparing the R&E Report.
3008.14 The R&E Report shall be complete, under § 3017, as of five (5) days prior to the date of any filing; provided, that any contribution of two hundred dollars ($200) or more received after any deadline for the filing of the last R&E Report required to be filed prior to an election shall be reported within twenty-four (24) hours after its receipt.
3008.15 Financial transactions undertaken by credit card shall be reported on the R&E Report in the following manner:
(a) Contributions shall be reported for the date upon which the authorized transaction is received;
(b) The full amount authorized by the contributor as a contribution shall be reported by the candidate or committee;
(c) Each service charge deducted by the credit card issuer shall be reported as an expenditure made by the candidate or the committee on the date when notified of the deduction; and
(d) Each discount from the normal service charge authorized by the credit card issuer shall constitute an in-kind contribution, under § 3008.5, from the issuer, and shall be reported as an in-kind contribution.
3008.16 Each contribution or expenditure exceeding fifty dollars ($50) made by a person, other than a political committee, independent expenditure committee, political action committee, or candidate, during a calendar year, other than by contribution to a committee or candidate, shall be reported in the following manner:
(a) On a Report of Receipts and Expenditures form prescribed by the Director listing each expenditure; and
(b) At the times specified under § 3017, for the period when the expenditure occurred, unless the value of the independent expenditure totals $1000 or more in a two (2) week period, in which case the report shall be filed within fourteen (14) calendar days of the expenditure.
3008.17 The independent expenditure report filed pursuant to § 3008.16 shall identify the following:
(a) The name and address of the filer;
(b) The affiliated entities of the filer which have also made an independent expenditure;
(c) The amount and object of the independent expenditure; and
(d) The name of each candidate, initiative, referendum, or recall in support of or in opposition to which the independent expenditure is directed.
3008.18 The Summary Financial Statement of Candidate for the Office of Member of an Advisory Neighborhood Commission (ANC), filed under § 3002.6, shall include:
(a) Total receipts collected and expenditures made by the candidate for the campaign;
(b) Certification that the candidate did not receive contributions from any person, other than the candidate, in excess of twenty-five dollars ($25);
(c) Certification that the candidate did not receive any contributions from any person or make any expenditures, including from or by the candidate, to support the candidate's election to office; and
(d) The disposal of surplus contributions, if any.
3008.19 The Summary Financial Statement of an ANC candidate shall be filed in an electronic format at the OCF website, pursuant to § 3002.7, and the contents of the statement electronically certified through the use of a PIN number assigned by the Office of Campaign Finance.
3008.20 Each person who files reports and statements with the Director of Campaign Finance has a continuing obligation to provide the Director with correct and up-to-date information.
3008.21 Contributions from business contributors, under § 3011.26, shall be itemized and reported on Schedule A in accordance with the instructions for preparing the R&E Report, and shall be accompanied by the name and address of each affiliated entity of the business contributor who has made a contribution or expenditure to the filer.
3008.22 The filer of the R&E Report must obtain a certification by each business contributor for each contribution that it made to the filer that none of its affiliate entities have contributed an amount that when aggregated with the contributions of the business contributor, would exceed the contribution limits.
3008.23 No person shall sell or utilize information copied from reports and statements filed with the Office of Campaign Finance for the purpose of commercial use or soliciting contributions.
3009 REPORTS OF INITIATIVE, REFERENDUM, RECALL, AND PROPOSED CHARTER AMENDMENT COMMITTEES
3009.1 Each committee supporting or opposing an initiative, referendum, recall, or proposed charter amendment shall file R&E Reports during the consideration of the placement of the measure on an election ballot.
3009.2 OCF shall prepare the following:
(a) A schedule of dates, based upon the complete period allowed for qualification of a measure for ballot placement, by which R&E Reports are due; and
(b) A revised schedule of dates based upon actual completion of tasks by which R&E Reports are due, if necessary.
3009.3 R&E Reports shall be filed in accordance with the following schedule:
(a) On or before the commencement of the process for initiative, referendum, recall, or proposed charter amendment, or
(b) In the case of an opponent, ten (10) days after making an expenditure or accepting a contribution in opposition to the measure;
(c) On the tenth (l0th) day of the fourth (4th) month preceding the election;
(d) On the tenth (l0th) day of the second (2nd) month preceding the election; and
(e) Eight (8) days prior to the election.
3009.4 For any period prior to the year in which an election is scheduled to be conducted on an initiative, referendum, recall, or proposed charter amendment, each committee organized in support or opposition to the measure shall file reports of receipts and expenditures on January 31 and July 31 of each year until the measure is presented to the electorate.
3009.5 With the exception of contributions to retire debt and expenditures made to wind down a campaign pursuant to § 3016, no committee organized in support of or opposition to the measure shall receive contributions or make expenditures to support or oppose an initiative, referendum, recall, or proposed charter amendment under the following circumstances:
(a) After the election at which the measure is presented to the electorate; or
(b) Upon rejection of the petition with signatures as numerically insufficient by the Board of Elections; and
(c) Subsequent to the exhaustion of any administrative and judicial remedies.
3009.6 Following either the election on an initiative, referendum, recall, or proposed charter amendment, or the failure of such a measure to qualify for ballot access, and the exhaustion of all administrative and judicial remedies, a committee shall continue to file R&E Reports on January 31st and July 31st of each year until all debts and obligations are satisfied.
3009.7 Upon the satisfaction of all debts and obligations, each committee shall immediately file a final R&E Report.
3009.8 In the absence of any debts and obligations, each committee shall, within sixty (60) days following the election:
(a) Disburse any remaining funds in accordance with § 3016; and
(b) File a Termination Report of Receipts and Expenditures.
3009.9 A copy of each R&E Report or statement filed with the Director shall be preserved by the person filing the report or statement for a period of not less than three (3) years from the date of filing.
3009.10 All Reports of Receipts and Expenditures filed with the Director of the Office of Campaign Finance shall be filed electronically at the OCF website www.ocf.dc.gov, except as provided in § 3006.2. A paper filing of an R&E Report shall not be accepted and will be considered a failure to file.
3010 PETTY CASH FUNDS
3010.1 Each candidate, political committee, political action committee, independent expenditure committee, and Statehood Fund may maintain a Petty Cash Fund which shall not exceed three hundred dollars ($300) at any time.
3010.2 All records and transactions shall be recorded in a petty cash journal maintained and authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agents, as listed on the Statement of Organization filed pursuant to § 3000.1.
3010.3 Petty cash funds shall be administered in the following manner:
(a) Cash shall only be received by check drawn on the account of the candidate, committee, or Statehood Fund;
(b) Cash expenditures shall not exceed fifty dollars ($50) to any person in connection with a single purchase or transaction; and
(c) All transactions shall be recorded in the petty cash journal.
3010.4 For each deposit to the petty cash fund, the amount and date shall be recorded in the petty cash journal.
3010.5 For each disbursement, the petty cash journal shall include:
(a) The name and address of each recipient of the disbursement;
(b) The date of the disbursement;
(c) The amount of the disbursement;
(d) The purpose of the disbursement; and
(e) The candidate’s name and the office sought, or the name of the committee or Statehood Fund for which the disbursement is made.
3010.6 All receipts, vouchers, petty cash journals, and other documentation shall be retained by the candidate, committee or Statehood Fund for a period of three (3) years from the date of the filing of the final R&E Report by the candidate, committee, or Statehood Fund.
3011 LIMITATIONS ON CONTRIBUTIONS
3011.1 No person, including a business contributor and its affiliated entities, may make any contribution, and no person may receive any contribution, which, when totaled with all other contributions from the same person, pertaining to an individual’s campaign for nomination as a candidate or election to public office, including both the primary and general elections, or special elections, exceeds the limitations enumerated for each office set forth in § 3011.2.
3011.2 Contributions in support of either individual candidates or their authorized committees, or for the recall of an incumbent, shall be limited to the following:
(a) Mayor, U.S. Senator, and U.S. Representative to Congress – two thousand dollars ($2,000);
(b) Chairman of the Council and the Attorney General – one thousand five hundred dollars ($1,500);
(c) At-large Member of the Council – one thousand dollars ($1,000);
(d) Ward Member of the Council and At-large Member of the State Board of Education– five hundred dollars ($500);
(e) Ward Member of the State Board of Education – two hundred dollars ($200);
(f) Official of a Political Party – two hundred dollars ($200); and
(g) Advisory Neighborhood Commissioner – twenty-five dollars ($25).
3011.3 With the exception of special elections, no person, including a business contributor and its affiliated entities, shall make any contribution in any one primary or general election that, when totaled, exceeds five thousand dollars ($5,000), to any one (1) political action committee, under § 3011.31.
3011.4 No person or business contributor and its affiliated entities shall receive or make a contribution in the form of cash or money order which exceeds one hundred dollars ($100).
3011.5 For the purposes of the contribution limitations of this section, expenditures for candidates for office shall not be considered contributions or expenditures by or on behalf of a candidate when derived from:
(a) Personal funds belonging to candidates; and
(b) Funds from any person, political action committee, or independent expenditure committee advocating the election or defeat of any candidate for office; provided, that the contributions it has received and the expenditures it has made were not controlled by or coordinated with any public official or candidate, anyone acting on their behalf, or by any political committee authorized by the candidate.
3011.6 Each loan or advance from a candidate or member of the immediate family of a candidate shall be evidenced by a written instruction that fully discloses:
(a) The terms of the loan or advance;
(b) The conditions of the loan or advance;
(c) The parties to the loan or advance; and
(d) Documentation regarding the source of the funds when the loan or advance is from the candidate.
3011.7 The amount of each loan or advance from a member of the candidate’s immediate family shall be included in computing and applying the limitations on contributions under § 3011, upon receipt by the authorized political committee of the loan or advance from an immediate family member; provided, that the standards for repayment are consistent with the repayment policies of lending institutions in the District of Columbia.
3011.8 Contributions to a candidate, political committee, political action committee, or an independent expenditure committee shall be attributed to the person actually making the contribution.
3011.9 Contributions from minor children (under eighteen (18) years old) shall be attributed to their parents or legal guardians unless:
(a) The decision to contribute is made knowingly and voluntarily by the minor child; and
(b) The funds, goods, or services contributed are owned or controlled exclusively by the minor child.
3011.10 A connected organization, under § 3000.8, and each committee established, financed, maintained, or controlled by the connected organization share a single contribution limitation.
3011.11 A Bitcoin contribution may be accepted if the value of the Bitcoin contribution at the time of transfer does not exceed the contribution limits established by § 3011.
3011.12 A Bitcoin contribution received during the initial transfer shall be rejected and returned to the contributor if it exceeds the contribution limits established by § 3011.
3011.13 A Bitcoin contribution that does not exceed the contribution limits at the time of transfer shall, within five (5) days of receipt, be liquidated and converted into US dollars on a high volume public Bitcoin exchange website that is open to transactions in the United States.
3011.14 Each committee that receives a Bitcoin contribution shall be responsible for verifying both the accuracy of the contributor information provided and the Bitcoin value determinations as part of the committee’s recordkeeping obligations under § 3400.
3011.15 Each committee that accepts Bitcoin contributions shall require the contributor to affirm on forms soliciting Bitcoin contributions:
(a) That the contributor is a United States citizen or legal permanent resident;
(b) That the contributor’s personal funds were used to purchase the Bitcoin contributed; and
(c) That the contributor is the actual lawful owner of the Bitcoin contributed.
3011.16 No person, including a business contributor, shall make a bundled or cause to make a bundling of contributions from different donors for the purpose of making a single contribution, directly or indirectly, to a candidate or political committee..
3011.17 No candidate or political committee shall accept, directly or indirectly a bundling of contributions from different donors for the purpose of making a single contribution in support of a candidate for public office.
3011.18 Each political committee shall disclose in a separate sub-schedule of Schedule A, to be prescribed by the Director, of the R&E Report, where two (2) or more contributions are forwarded from one or more persons, by a person who is not acting with actual authority as an agent or principal of a committee, the following information:
(a) The name, address, and employer of each person reasonably known by the committee to have bundled in excess of $10,000 in contributions during the reporting period;
(b) The identity of each instance in which multiple checks or money orders dated on or around the same date were received from contributors who share the same employer; and
(c) For each person, the total amount of the bundling.
3011.19 Limitations on bundled contributions under §§ 3011.16 and 3011.17, shall not apply to hosting a fundraiser, by itself.
3011.20 Any business entity, as that term is defined in § 29-101.02 of the District of Columbia Official Code, may make contributions in the District of Columbia.
3011.21 A corporation, its affiliated entities, including its subsidiaries, and each committee established, financed, maintained, or controlled by the corporation and its affiliated entities share a single contribution limitation.
3011.22 Each business entity is deemed to be a separate entity; provided, that a business entity, which is established, financed, maintained, or controlled (51% or more) by another entity, or shares a controller, whether the controller is another entity or an individual, is considered, for the purposes of the contribution limitations, an affiliated entity of the other business entity.
3011.23 All contributions by a partnership shall be subject to each contributing partner’s individual contribution limitations, under § 3011.
3011.24 Contributions by a partnership shall be attributed to each partner either by:
(a) Instructions from the partnership to the committee or the candidate; or
(b) Agreement of the partners; provided, that the profits of non-contributing partners are not affected.
3011.25 No portion of any contribution under § 3011.22 shall derive from the profits of a corporation that is a partner.
3011.26 Each business entity, as that term is defined in § 29-101.02 of the District of Columbia Official Code, is subject to the limitations on contributions set forth in § 3011.
3011.27 A business contributor consists of:
(a) A business entity that makes a contribution; and
(b) Each of that business entity’s affiliated entities.
3011.28 A business contributor shall certify on a form prescribed by the Director and submitted to the committee for each contribution that it makes that none of its affiliated entities have contributed an amount that, when aggregated with the business contributor’s contribution to that committee, would exceed the limits imposed by the Campaign Finance Act.
3011.29 A business contributor to a political committee, political action committee, or an independent expenditure committee shall provide the committee with the identities of the contributor’s affiliated entities that have also contributed to the committee, the date and amount of each contribution and expenditure made, and the identity of the individual owners of the business contributor and their affiliated entities.
3011.30 A business contributor shall comply with all requests from the Office of Campaign Finance to provide information about its individual owners, the identity of affiliated entities, the individual owners of affiliated entities, the contributions or expenditures made by such entities, and any other information deemed relevant to enforcing the provisions of the Campaign Finance Act.
3011.31 Limitations on contributions under § 3011 shall not apply to initiative or referendum measures.
3011.32 With the exception of contributions received to retire debt, a political committee or a candidate shall not receive or accept contributions after the election or defeat of the candidate for office, or after the candidate notifies the Office of Campaign Finance of the intent to terminate the candidacy.
3011.33 Limitations on contributions under § 3011 shall not apply to political action committees during any calendar year in which the committee is not supporting candidates in either a primary or general election.
3012 JOINT FUNDRAISING
3012.1 Prior to conducting any joint fundraising activities, the participant committees shall:
(a) Create a committee to act as their fundraising representative;
(b) Agree in writing to a formula for allocating proceeds and expenses among themselves; and
(c) Amend their Statements of Organization filed with the Director of Campaign Finance so as to include:
(1) The writing as agreed upon pursuant to § 3012.1(b); and
(2) The fundraising representative’s (committee’s) account as an additional depository; provided, that the fundraising representative shall be an affiliated committee.
3012.2 The fundraising representative (committee) shall be responsible for:
(a) Establishing a depository account for joint fundraising receipts and expenditures; and
(b) Filing a Statement of Organization with the Director.
3012.3 In accordance with this title, the duties of the fundraising representative (committee) shall include:
(a) Screening all contributions to assure that none are in excess of the limitations under § 3011;
(b) Collecting and depositing joint fundraising contributions;
(c) Paying expenses;
(d) Allocating proceeds and expenses to the participants; and
(e) Reporting all joint fundraising receipts and expenditures in the reporting period made or received.
3012.4 Upon allocation of proceeds, the participant committees shall report their shares on the R&E Report in accordance with the financial guidelines and procedures.
3013 LIMITATIONS ON THE USE OF CAMPAIGN FUNDS
3013.1 Campaign funds shall be used solely for the purpose of financing, directly or indirectly, the election campaign of a candidate.
3013.2 Limitations on the use of campaign funds shall include the following:
(a) Payment or reimbursement for a candidate or staff of a campaign committee for travel expenses and necessary accommodations, except when directly related to a campaign purpose;
(b) Payment or reimbursement for the cost of professional services unless those services are directly related to a campaign purpose;
(c) Payment for medical expenses of a candidate; provided, that campaign funds may be used to pay employer costs of health care benefits for employees of a principal campaign committee;
(d) Payment or reimbursement for fines and penalties, unless litigation arises directly out of a candidate's or principal campaign committee's campaign activities;
(e) Payment or reimbursement for judgments or settlements, unless litigation or agency administrative action arises directly out of the campaign activities of a candidate or principal campaign committee;
(f) Attorneys fees, unless legal expenses arise directly out of a candidate’s or a principal campaign committee’s campaign activities;
(g) Payment or reimbursement for the purchase or lease of personal property, unless the legal title resides in, or the lessee is, the principal campaign committee, and the use of the property is directly related to a campaign purpose;
(h) Clothing, except for specialty clothing which is not suitable for everyday use, including, but not limited to, formal wear, if the attire is used in the campaign and is directly related to a campaign purpose;
(i) The purchase or lease of a vehicle, unless the title or lease to the vehicle is held by the campaign committee and not the candidate, and the use of the vehicle is directly related to a campaign purpose; and
(j) Compensation to a candidate for the performance of campaign activities, except for reimbursement of out-of-pocket expenses incurred for campaign purposes.
3013.3 With the exception of expenditures made to retire debt or wind down the campaign operation, campaign funds shall not be expended following the election or defeat of a candidate for office, or after a candidate notifies the Office of Campaign Finance of the intent to withdraw the candidacy for the purpose of financing, directly or indirectly, the election campaign of a candidate.
3014 CONSTITUENT–SERVICE PROGRAMS
3014.1 A constituent-service program shall encompass any activity or program that provides emergency, informational, charitable, scientific, educational, medical, recreational, or other services to the residents of the District of Columbia, and promotes their general welfare.
3014.2 Funds raised by constituent-service programs may be expended only for services, activities, or programs which inure to the primary benefit of the residents of the District of Columbia, in accordance with § 3014.1.
3014.3 Allowable expenditures from constituent-service programs shall include the following:
(a) Funeral arrangements;
(b) Emergency housing and other necessities of life;
(c) Past due utility payments;
(d) Food and refreshments or an in-kind equivalent on infrequent occasions;
(e) Community events sponsored by the constituent-service program or an entity other than the District of Columbia government; and
(f) Community-wide events.
3014.4 Constituent-service programs shall be prohibited from engaging in any of the following activities:
(a) Promoting or opposing, as a primary purpose, a political party or committee;
(b) Promoting or opposing, as a primary purpose, the nomination or election of an individual to public office;
(c) Promoting or opposing, as a primary purpose, any initiative, referendum, or recall measure;
(d) Distributing campaign literature or paraphernalia;
(e) Using any funds for personal purposes of the elected official;
(f) Using any funds to pay fines or penalties inuring to the District of Columbia government;
(g) Making any expenditure of cash;
(h) Making any expenditure for the sponsorship of a political organization; or
(i) Making any mass mailing within the ninety (90) day period immediately preceding a primary, special, or general election by a member of the Council, or the Mayor, who is a candidate for office.
3014.5 A constituent-service program may be maintained only by the following elected public officials:
(a) The Mayor of the District of Columbia; and
(b) The Chairman and Members of the Council of the District of Columbia.
3014.6 A constituent-service program may be operated in the following locations:
(a) In the ward represented by the Member of the Council elected by ward; and
(b) In the ward of the at-large member’s choice.
3014.7 An elected official shall fund the constituent-service program only by:
(a) Transferring any surplus, residue, or unexpended campaign funds to the constituent-service program;
(b) Receiving contributions that do not exceed, in the aggregate, forty thousand dollars ($40,000) in any one (1) calendar year;
(c) Receiving cash contributions from any person which, when aggregated with all other contributions received from the same person, do not exceed five hundred dollars ($500) in any one (1) calendar year; and
(d) Receiving personalty from any person which, when aggregated with all other contributions received from the same person, do not exceed one thousand dollars ($1,000) in any one (1) calendar year.
3014.8 The amount of any transfer of surplus, residue, or unexpended campaign funds by the elected official shall not be subject to the forty thousand dollars ($40,000) contribution limitation under § 3014.7(b).
3014.9 The amount of any funds contributed by the elected official to the official’s constituent-service program shall not be subject to the five hundred dollars ($500) contribution limitation under § 3014.7(c).
3014.10 No person shall receive or make any cash contribution of twenty-five dollars ($25) or more in legal tender to a constituent-service program.
3014.11 A connected organization, under § 3000.8(a), and each affiliated committee established, financed, maintained, or controlled by the connected organization share a single contribution limitation with respect separately to contributors of cash and personalty.
3014.12 Corporations and any business entity as that term is defined in § 29-101.02 of the District of Columbia Official Code may make contributions to a constituent-service program in the District of Columbia.
3014.13 A corporation, its affiliated entities, including its subsidiaries, and each committee established, financed, maintained, or controlled by the corporation and its affiliated entities share a single contribution limitation with respect separately to cash and personalty.
3014.14 Each business entity is deemed to be a separate entity; provided, that a business entity, which is established, financed, maintained, or controlled (51% or more) by another entity, or shares a controller, whether the controller is another entity or an individual, is considered, for the purposes of the contribution limitations, an affiliated entity of the other business entity.
3014.15 All contributions by a partnership shall be subject to each contributing partner’s individual contribution limitations, under § 3014.7.
3014.16 Contributions by a partnership shall be attributed to each partner either by:
(a) Instructions from the partnership to the constituent-service program or the elected official; or
(b) Agreement of the partners; provided, that the profits of non-contributing partners are not affected.
3014.17 No portion of any contribution under § 3014.15 shall derive from the profits of a corporation that is a partner.
3014.18 Each business entity, as that term is defined in § 29-101.02 of the District of Columbia Official Code, is subject to the limitations on contributions set forth in § 3014.7.
3014.19 A business contributor consists of:
(a) A business entity that makes a contribution; and
(b) Each of that business entity’s affiliated entities.
3014.20 The contribution limitations set forth in this section shall apply only to the elected official’s constituent-service program.
3014.21 An elected official shall:
(a) Spend no more than forty thousand ($40,000) in any one (1) calendar year for the constituent-service program;
(b) File a Statement of Organization for a Constituent-Service Program form, prescribed by the Director, within ten (10) days of organization;
(c) Amend the Statement of Organization within ten (10) days of any change in the information previously reported on the Statement of Organization; and
(d) Maintain the same constituent services fund if elected to the office of Chairman of the Council while serving as an at-large member of the Council.
3014.22 Each constituent-service program shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to § 3014.20(b).
3014.23 When either the office of chairperson or treasurer of a constituent-service program is vacant, the constituent-service program shall:
(a) Designate a successor chairperson or treasurer, within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
3014.24 A constituent-service program shall neither accept a contribution nor make an expenditure while the office of treasurer is vacant, and no other person has been designated and has agreed to perform the functions of a treasurer.
3014.25 Each expenditure made for, or on behalf of, a constituent-service program shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under § 3014.20(b) or (c).
3014.26 A chairperson shall be required to file:
(a) A Statement of Acceptance of Position of Chairperson form, prescribed by the Director, and a copy of written notification sent to the address of record of the treasurer, within five (5) days of assuming the office; and
(b) A Statement of Withdrawal of Position of Chairperson form, prescribed by the Director, and a copy of written notification sent to the address of record of the treasurer, within five (5) days of vacating the office.
3014.27 A treasurer shall be required to file:
(a) A Statement of Acceptance of Position of Treasurer form, prescribed by the Director, and a copy of written notification sent to the address of record of the chairperson, within forty-eight (48) hours of assuming the office:
(b) All periodic Reports of Receipts and Expenditures (R&E Reports) due to the Director, pursuant to § 3008, during the treasurer’s tenure; provided that the designated agent listed on the Statement of Organization under § 3014.21 may file the R&E Report if the treasurer is unavailable; and
(c) A Statement of Withdrawal of Position of Treasurer form, prescribed by the Director, and a copy of written notification sent to the address of record of the chairperson, within forty-eight (48) hours of vacating the office.
3014.28 A person shall not simultaneously serve as the chairperson and treasurer of a constituent-services program.
3014.29 A constituent-service program accepting contributions or making expenditures shall:
(a) Designate one or more national banks located in the District of Columbia as the program’s depository or depositories;
(b) Maintain a checking account or accounts at such depository or depositories; and
(c) Deposit any contribution received by the program into that account or accounts.
3014.30 All funds of a constituent-services program shall be segregated from, and may not be commingled with, anyone’s personal funds.
3014.31 A constituent-service program shall neither establish nor maintain a petty cash fund.
3014.32 A Bitcoin contribution may be accepted if the value of the Bitcoin contribution at the time of transfer does not exceed the contribution limits established by § 3014.7.
3014.33 A Bitcoin contribution received during the initial transfer shall be rejected and returned to the contributor if it exceeds the contribution limitations established by § 3014.7.
3014.34 A Bitcoin contribution that does not exceed the contribution limits at the time of transfer shall, within five (5) calendar days of receipt, be liquidated and converted into US dollars on a high volume public Bitcoin exchange website that is open to transactions in the United States.
3014.35 Each constituent-service program that receives a Bitcoin contribution shall be responsible for verifying both the accuracy of the contributor information provided and the Bitcoin value determinations as part of the program’s recordkeeping obligations under § 3400.
3014.36 Each constituent-service program that accepts Bitcoin contributions shall require the contributor to affirm on forms soliciting Bitcoin contributions:
(a) That the contributor is a United States citizen or legal permanent resident;
(b) That the contributor’s personal funds were used to purchase the Bitcoin contributed; and
(c) That the contributor is the actual lawful owner of the Bitcoin contributed.
3014.37 No person, including a business contributor, shall make a bundled or cause to make a bundling of contributions from different donors for the purpose of making a single contribution, directly or indirectly to a constituent-service program.
3014.38 No constituent-service program shall accept, directly or indirectly, a bundling of contributions from different donors for the purpose of making a single contribution in support of a constituent-service program.
3015 USE OF SURPLUS FUNDS
3015.1 Surplus funds of a constituent-service program (except for that of an at-large councilmember who has been elected to the office of Chairman of the Council) or a Statehood Fund shall be disbursed within one hundred twenty (120) days of the date that the elected official:
(a) Vacates the public office held; or
(b) Notifies the Director in writing of any determination that the constituent-service program or Statehood Fund shall no longer receive contributions or make expenditures.
3015.2 Surplus funds of a constituent-service program shall be disbursed only for the following purposes:
(a) To retire the debts of the program; and/or
(b) To donate to a not-for-profit organization, within the meaning of the federal tax laws, that is in good standing in the District of Columbia for a minimum of one (1) calendar year prior to the date of donation.
3015.3 Surplus funds of a Statehood Fund shall be disbursed by a U.S. Senator or Representative to retire debts and obligations for the following:
(a) Salaries;
(b) Office expenses; and
(c) Other expenses necessary to support the purposes and operations of the public office.
3015.4 Upon retirement of debts and obligations, a U.S. Senator or Representative shall donate any remaining funds to a not-for-profit organization within the meaning of the federal tax laws.
3015.5 Surplus funds of a candidate or candidate-elect shall be:
(a) Used to retire the debts of the committee that received the funds;
(b) Returned to donors;
(c) Contributed to a political party for political purposes; and/or
(d) Transferred to a political committee, a charitable organization that meets the requirements of the tax laws of the District of Columbia, or in the case of an elected official, an established constituent-services fund.
3015.6 Surplus funds of a candidate or candidate-elect shall be disbursed under § 3015.5(b) to the donors within six (6) months of one (1) of the following events:
(a) Defeat in an election;
(b) Election to office; or
(c) Withdrawal as a candidate.
3015.7 Surplus funds of a committee formed to collect signatures or advocate the ratification or defeat of any initiative, referendum, or recall measure may be transferred to any charitable, scientific, literary, or educational organization or any other organization that meets the requirements of the tax laws of the District of Columbia.
3015.8 A campaign committee shall continue to function after the election for which the committee was organized, as a political committee, until all debts and obligations are extinguished.
3015.9 A campaign committee, pursuant to § 3015.8, shall:
(a) Dispose of all surplus funds in accordance with § 3015;
(b) Refrain from collecting or spending money to support a candidate in a future election;
(c) Adhere to contribution limitations in accordance with § 3011; and
(d) File R&E Reports in accordance with § 3008.
3015.10 A constituent-service program or a Statehood Fund shall continue to file R&E Reports, pursuant to §§ 3008 and 3017, until all debts are satisfied.
3016 TERMINATION OF COMMITTEES, CONSTITUENT-SERVICE PROGRAMS, AND STATEHOOD FUNDS
3016.1 A final R&E Report and a verified statement of termination, on a form prescribed by the Director, shall be filed upon termination of any committee, constituent-service program (program), or Statehood Fund (fund).
3016.2 An elected official shall terminate a program or fund if the elected official:
(a) Fails to win re-election;
(b) Resigns; or
(c) Becomes ineligible to serve, by operation of law.
3016.3 An authorized committee shall terminate, upon satisfaction of all debts and obligations, when the purpose for which the committee was organized ceases.
3016.4 Any committee, program, or fund may terminate its reporting requirements by filing a final R&E Report; provided that the committee, program, or fund:
(a) Has ceased to receive contributions or make expenditures;
(b) Has extinguished all debts and obligations;
(c) Is not involved in any enforcement, audit, or litigation action with the Office of Campaign Finance; and
(d) Has disbursed all surplus funds in accordance with § 3015.
3016.5 A committee, program, or fund that cannot extinguish its outstanding debts and obligations may qualify to terminate its reporting requirements by:
(a) Settling its debts for less than the full amount owed to its creditors; or
(b) Demonstrating that a debt is unpayable.
3016.6 The types of debts that are subject to debt settlement include:
(a) Amounts owed to commercial vendors;
(b) Debts arising from advances by individuals;
(c) Salary owed to committee or program employees; and
(d) Loans owed to committees.
3016.7 The types of debts that are not subject to debt settlement include:
(a) Disputed debts; and
(b) Bank loans.
3016.8 A qualifying committee, program, or fund shall be settled if:
(a) Credit was initially extended in the ordinary course of business;
(b) Reasonable efforts, including, for example, fundraising, reducing overhead costs, and liquidating assets, were undertaken to satisfy the outstanding debt; and
(c) The creditor made the same efforts to collect the debt as those made to collect debts from a non-political debtor in similar circumstances.
3016.9 Once a committee, program, or fund has reached an agreement with a creditor, the treasurer shall file a debt settlement proposal with the Director on a form prescribed by the Director.
3016.10 Following receipt of the debt settlement proposal, the Director shall:
(a) Review each debt settlement proposal for substantial compliance with the Act; and
(b) Notify the committee or program within thirty (30) days of its approval or disapproval.
3016.11 A debt may be considered unpayable, under § 3016.5(b), if:
(a) The debt has been outstanding for at least twenty-four (24) months;
(b) The creditor is out of business, and no other entity has the right to collect the amount owed; and
(c) The creditor cannot be located after best efforts to do so.
3016.12 A committee, program, or fund may apply to the Director to determine whether a specific debt may be unpayable upon a showing that best efforts to locate the creditor have been made.
3016.13 For purposes of this section, the term "Best efforts" shall include the following:
(a) Ascertaining the creditor’s current address and telephone number; and
(b) Contacting the creditor by registered or certified mail, in person, or by telephone.
3016.14 The reporting obligation of a committee, program, or fund ends when the Director notifies the committee, program, or fund that the final Report has been approved, and the official record closed.
3017 FILINGS AND DEADLINES
3017.1 Reports of Receipts and Expenditures (R&E Reports) shall be filed with the Office of Campaign Finance by:
(a) The treasurer of each political committee;
(b) Each candidate required to register pursuant to § 3002.2, unless reporting is otherwise exempted or waived under §§ 3003 and 3004;
(c) The treasurer of each political action committee; and
(d) The treasurer of each independent expenditure committee.
3017.2 All candidates and committees, except as otherwise noted in this chapter, shall file R&E Reports on the following dates:
(a) March 10, June 10, August 10, October 10, and December 10 in the seven (7) months preceding the date on which an election is held for which the candidate seeks office and the committee supports a candidate for office;
(b) January 31, March 10, June 10, August 10, October 10, December 10, and the eighth (8th) day next preceding the date of any election, in any year in which there is held an election for which the candidate seeks office and the committee supports a candidate for office;
(c) January 31 and July 31; provided, that a committee no later than January 31 declares its intention to not support a candidate during an election year under § 3000.18; and
(d) January 31 and July 31, in a non-election year; provided, that a committee no later than July 31 of the non-election year, (January 31) declares its intention to not support a candidate during an election year under § 3000.18.
3017.3 Constituent-service program R&E Reports shall be filed quarterly each year on the first (1st) day of the following months:
(a) January;
(b) April;
(c) July; and
(d) October.
3017.4 Statehood Fund R&E Reports shall be filed quarterly each year on the first (1st) day of the following months:
(a) January;
(b) April;
(c) July; and
(d) October.
3017.5 Except as otherwise provided in this chapter, R&E Reports shall be filed on January 31 and July 31 of each year until all debts and obligations are satisfied by the following:
(a) Political committees pursuant to § 3015.8;
(b) A Statehood Fund when the U.S. Senator or Representative vacates office; and
(c) A constituent-service program when the elected official vacates office.
3017.6 All R&E Reports shall contain all financial transactions through and including the fifth (5th) day preceding the filing deadline for each R&E Report; provided, that the reporting period for the next R&E Report shall commence on the day following the closing date of the prior R&E Report.
3017.7 All contributions of two hundred dollars ($200) or more, received after the filing deadline for the eighth (8th) day preceding the election Report, shall be reported in writing within twenty-four (24) hours of receipt.
3017.8 Where an exception to the mandatory electronic filing requirement is granted, all reports and statements filed in person or by first class mail shall be deemed timely filed when received by 5:30 p.m. of the prescribed filing date.
3017.9 All reports and statements electronically filed shall be deemed timely filed if received by midnight of the prescribed filing deadline.
3017.10 Upon written request submitted by the candidate or committee, on or before the filing deadline, the Director may allow an extension for filing a Report or statement for a reasonable period of time, for good cause shown.
3017.11 Any reference to days in this chapter is to calendar days, unless otherwise indicated.
3018 IDENTIFICATION OF CAMPAIGN LITERATURE
3018.1 All newspaper or magazine advertising, mass mailings, posters, circulars, billboards, handbills, bumper stickers, sample ballots, initiative, referendum, or recall petitions, and other printed matter with reference to or intended for the support or defeat of a candidate (including candidates for the office of Advisory Neighborhood Commission Member), or a group of candidates for nomination or election to any public office, or the support or defeat of any initiative, referendum or recall measure, shall be identified by the words: “PAID FOR BY”, followed by:
(a) The name and address of the payer, the committee, or other person; and
(b) The name of its treasurer on whose behalf the material appears.
3018.2 Each advertisement transmitted electronically by satellite, radio, cable, internet, or mobile communication, telephone bank-robo calls, or any other forms of electronic advertisement shall be subject to the requirements of this section.
3018.3 Each committee and candidate shall include the following notice on the face or front page of all literature and advertisement soliciting funds: “A copy or our report is filed with the Director of Campaign Finance of the District of Columbia Board of Elections”.
3018.4 Any advertisement supporting or opposing a candidate, initiative, referendum, or recall that is disseminated to the public by a committee, political action committee, or independent expenditure committee or any other person shall disclose, in the advertisement, the identity of the advertisement’s sponsor.
3018.5 The notice required by § 3018.1 need not be included on items the size of which makes the inclusion of such notice impractical. Such items include, but are not limited to:
(a) Pens, pencils, and erasers;
(b) Buttons;
(c) Balloons;
(d) Hats;
(e) Noise makers;
(f) Key rings;
(g) Magnets;
(h) Business cards; and
(i) Name tags.
3019 PENALTIES
3019.1 Penalties for any violations of this chapter shall be imposed pursuant to § 3711 of Chapter 37 of this title.
Chapter 34 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 34 CAMPAIGN FINANCE RECORDKEEPING AND AUDITS
3400 RECORDKEEPING PROCEDURES
3401 EXPENDITURES
3402 RECEIPT
3403 AVAILABILITY OF FINANCIAL RECORDS
3404 DESK REVIEWS AND AUDITS
3405 PENALTIES
3400 RECORDKEEPING PROCEDURES
3400.1 To ensure financial accountability, this chapter governs the recordkeeping procedures for the following:
(a) All candidates;
(b) Political Committees;
(c) Political action committees;
(d) Independent expenditure committees;
(e) Constituent-Service Programs; and
(f) Statehood Funds.
3400.2 Each person who is required to file records under § 3400.1 shall obtain and preserve, from the date of registration, detailed records of all contributions and expenditures disclosed in reports and statements filed with the Director, including the following:
(a) Check stubs;
(b) Bank statements;
(c) Canceled checks;
(d) Contributor cards and copies of donor checks;
(e) Credit card contributions, including merchant statements
(f) Deposit slips;
(g) Invoices;
(h) Receipts;
(i) Contracts;
(j) Subcontracts;
(k) Payroll records;
(l) Lease agreements;
(m) Petty cash journals, if applicable;
(n) Ledgers;
(o) Vouchers; and
(p) Loan documents including the source of the funds.
3400.3 Each filer shall also obtain and preserve from each business contributor:
(a) The identities of the business contributor’s affiliated entities that have made contributions or expenditures to the filer;
(b) The date and amount of each contribution and expenditure made by the business contributor’s affiliated entities to the filer;
(c) The identities of the business contributor’s individual owners and that of its affiliated entities; and
(d) A certification with respect to each contribution made that none of the business contributor’s affiliated entities contributed an amount that, when aggregated with the contribution of the business contributor, exceeded the contribution limits.
3400.4 Bank statements may be submitted in lieu of canceled checks to show financial transactions, as long as the bank statements include photocopies of the canceled checks.
3400.5 A contribution received after an election cycle (primary and general) shall be earmarked to indicate that the contribution is for the retirement of the debt of a candidate or political committee.
3400.6 All filers, with the exception of lobbyists, shall maintain the records required under § 3400.2 for a period of three (3) years from the date of the filing of the final Report of Receipts and Expenditures (R&E Report) and the Statement of Committee Termination under § 3016.
3400.7 Each lobbyist shall maintain the records required under § 3400.2 for a period of five (5) years from the date of the filing of the Lobbying Activity Report previously required to be filed with the Office of Campaign Finance.
3401 EXPENDITURES
3401.1 With the exception of petty cash disbursements, each expenditure shall be made by:
(a) A serially pre-numbered check that identifies the required filer on the face of the check; or
(b) A commercial-business type of check that includes spaces for the entry of each check and a brief explanation of the nature of the disbursement.
3401.2 Checks shall be issued by the filer:
(a) In consecutive numerical order; and
(b) Out of the depository account.
3401.3 Checks shall be recorded:
(a) In a cash disbursement journal; and
(b) On the check stub, as provided.
3401.4 Voided or stale-dated checks shall be:
(a) Stamped "void" or made non-negotiable; and
(b) Retained in accordance with § 3400.2.
3401.5 Each expenditure from petty cash shall be made in accordance with the following procedures:
(a) Each disbursement from the petty cash fund shall be supported by a petty cash voucher; and
(b) Each reimbursement out of the petty cash fund shall be accompanied by appropriate documentation including, for example, receipts or invoices.
3401.6 Each expenditure shall be reconciled with the total monthly disbursements, as shown by the following:
(a) Canceled checks; and
(b) Bank statements.
3402 RECEIPTS
3402.1 To fully identify the donor of a contribution, including the Bitcoin, each receipt shall contain:
(a) The donor’s full name;
(b) The donor’s mailing address;
(c) The donor’s occupation and principal place of business, if any;
(d) The date of the contribution;
(e) The amount of the contribution; and
(f) The contribution type (i.e., check, credit card, money order, or cash).
3402.2 Each receipt from a business contributor shall also contain the following:
(a) The identities of the business contributor’s affiliated entities that have made contributions or expenditures to the filer;
(b) The date and amount of each contribution and expenditure made by the business contributor’s affiliated entities to the filer;
(c) The identities of the business contributor’s individual owners and that of its affiliated entities; and
(d) A certification with respect to each contribution made that none of the business contributor’s affiliated entities contributed an amount that, when aggregated with the contribution of the business contributor, exceeded the contribution limits.
3402.3 Each receipt shall be handled in the following manner:
(a) A pre-numbered receipt shall issue for each contribution received; and
(b) Receipts shall be documented by contributor cards and copies of the donor’s check.
3402.4 Each committee shall obtain and preserve:
(a) Each instance in which two (2) or more contributions are forwarded from one or more persons by a person who is not acting with actual authority as an agent or principal of a committee;
(b) The name, address, and employer of each person reasonably known by the committee to have bundled in excess of $10,000 during any reporting period, and;
(c) For each person, the total amount of the bundling.
3402.5 Records of receipts and contributions shall be maintained to show:
(a) Cumulative totals, with the exception of receipts for sales or collections; and
(b) For receipts for sales or collections, a detailed record of receipts and expenditures.
3402.6 Each filer shall separately identify itemized receipts from unitemized receipts (for example, those receipts obtained at fundraising events).
3403 AVAILABILITY OF FINANCIAL RECORDS
3403.1 The Director shall have access to:
(a) All books, records, accounts, reports, surveys, and other documentation deemed necessary by the Director for the administration and enforcement of this title; and
(b) All books, accounts, records, reports, surveys, and any other evidence or documentation within the custody of any organization, including subcontractors, agency, board, commission, department, or any instrumentality of the District of Columbia government, pertaining to the activities of any filer.
3403.2 All records, under this chapter, shall be made available for review and audit no later than ten (10) days after receipt of a written request by the Director, or fifteen (15) days after receipt in the case of a periodic audit, or thirty (30) days after receipt in the case of a full audit.
3404 DESK REVIEWS AND AUDITS
3404.1 The Report Analysis and Audit Division (Audit Division) of the Office of Campaign Finance shall conduct Desk Reviews of each Report of Receipt and Expenditure filed with the Agency to ensure the accurate reporting of financial activity, as shown by the following:
(a) The ending balance from the last report filed is carried forward as the beginning balance for the report under review;
(b) The information on the Summary Page, including both columns A and B, is complete and correct mathematically, and presents an overall view of the financial activities of the filer;
(c) The information on the Detailed Summary Page, including both columns A and B, is complete and correct mathematically, and presents an overall breakdown of the categories of all receipts;
(d) All Schedules A provide complete and detailed information for each receipt, an itemized list of, and which equals, all receipts for each of the categories on the Detailed Summary Page, and that each contribution does not exceed contribution limits;
(e) All Schedules B provide complete and detailed information for each disbursement, an itemized list of, and which equals, all disbursements for each of the categories on the Detailed Summary page, and list valid purposes for each expenditure;
(f) The information on Schedule C is complete and detailed as to all receipts received from sales and collections, including the date and type of event or fundraiser, and the total is carried to the Summary Page;
(g) The information on Schedule D is complete and detailed as to all debts and obligations that are sixty (60) days or more outstanding (excluding loans) owed by or to the filer, and the total is carried to the Summary Page; and
(h) The information on Schedule E is complete and detailed as to all loans made by or to the filer, and the total is carried to the Summary Page.
3404.2 At the conclusion of the Desk Review, the Audit Division will issue a Request for Additional Information (RFAI) letter to each filer whose Report of Receipts and Expenditures was found to contain errors or discrepancies. The RFAI will detail the errors and discrepancies noted during the Desk Review, and will require the filer to respond within fifteen (15) calendar days and provide corrections or file an amended report.
3404.3 In addition, the Audit Division may conduct full field audits and periodic random field audits of the receipts, disbursements, and debts and obligations of candidates, political committees, political action committees, independent expenditure committees, and constituent-service and statehood fund programs.
3404.4 Full Field Audits may be initiated as follows:
(a) Following an election year, the principal campaign committees of candidates newly elected to office may be selected for full field audit in the non-election year occurring thereafter; or
(b) The Director of the Office of Campaign Finance may direct the conduct of full field audits as the result of complaints received for the investigation of alleged violations of the Campaign Finance Act of 2011 from either the OCF or members of the public, or by order of the Board of Elections.
3404.5 Periodic Random Field Audits will be conducted as follows:
(a) For candidates and continuing political committees, the auditees will be selected from the list of timely filers for each January 31st and July 31st report date, following the close of the filing deadline;
(b) For political action committees and independent expenditure committees, the auditees will be selected from the list of timely filers for each January 31st and July 31st report date, following the close of the filing deadline;
(c) For Constituent Service and Statehood Fund Programs, the auditees will be selected commencing with the April 1st report date and every other quarterly filing deadline thereafter, during the calendar year;
(d) For candidates and political committees active during an election cycle, the auditees will be selected from the list of timely filers for each October 10th, March 10th, and August 10th report date, following the close of the filing deadline.
3404.6 The Audit Division must notify the Treasurer of the committee selected for audit in writing of the audit, and request the delivery to OCF by a date certain within fifteen (15) calendar days for periodic random field audits, or within thirty (30) calendar days for full field audits, of the issuance of the letter, of all underlying documentation, including bank statements and records, copies of deposit slips, contributor checks and cards, credit card documentation (including merchant statements), invoices, and loan documents supporting each and every transaction reported during the coverage period.
3404.7 Upon receipt of all financial records, the audit field work shall commence and include the review of all disclosure reports for completeness and mathematical accuracy, the reconciliation of bank account records to the disclosure reports filed, and such other audit procedures as deemed necessary.
3404.8 Once the field work is completed, the Audit Division shall issue a Draft Audit Report, with Findings and Recommendations, and require the submission of a written response, amended report, and/or additional documentation by the committee within thirty (30) calendar days or less after receipt of the Report.
3404.9 The Audit Report will be released and made available to the public following the receipt and review of the committee response for compliance with all outstanding issues.
3404.10 In the event of the failure to provide committee records or to respond to the Draft Audit Report, in whole or in part, or to any other request of the Audit Division, including the Request for Additional Information, the Audit Division will refer the failure to comply to the OCF General Counsel for the initiation of the enforcement process pursuant to § 3700 of this title.
3404.11 It is the policy of the Board of Elections that extensions of time to take action required within a period of time under this chapter will not be routinely granted, without a demonstration that good cause exists for such a request, and the extension shall not exceed fifteen (15) days.
3404.12 During the period of any audit under this chapter, the committee must continue to file any reports of receipts and expenditures which may become due.
3405 PENALTIES
3405.1 Penalties for any violations of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
Chapter 36 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 36 DISTRICT OF COLUMBIA SENATOR AND REPRESENTATIVE
3600 DISTRICT OF COLUMBIA STATEHOOD FUNDS
3601 STATEHOOD FUND PETTY CASH
3602 APPLICABILITY
3603 DISSOLUTION OF STATEHOOD FUND
3604 PENALTIES
3600 DISTRICT OF COLUMBIA STATEHOOD FUNDS
3600.1 The D.C. Senator or Representative (Senator or Representative) may establish a District of Columbia Statehood Fund (Statehood Fund) to support the purposes and operations of the public office of a Senator or Representative, which may include:
(a) Office expenses; and
(b) Staff salaries; provided, that the Senator and Representative shall receive compensation no greater than that of the Chairman of the Council.
3600.2 The Senator and Representative shall be prohibited from expending monies from the Statehood fund for:
(a) Promoting or opposing any political party or committee; or
(b) Promoting or opposing the nomination, election, or recall of any individual to or from public office.
3600.3 To finance the Statehood Fund, each Senator and Representative may solicit and receive the following contributions:
(a) Services;
(b) Monies;
(c) Gifts;
(d) Endowments;
(e) Donations; and
(f) Bequests.
3600.4 Except for any monies included in annual Congressional appropriations, all contributions shall be deposited in the respective District of Columbia Statehood Fund for each Senator and Representative.
3600.5 Each Senator and Representative shall designate one or more District of Columbia federally chartered depository institutions, including a national bank, which is insured by either:
(a) The Federal Deposit Insurance Corporation;
(b) The Federal Savings and Loan Insurance Corporation; or
(c) The National Credit Union Administration.
3600.6 Each Senator or Representative may establish more than one (1) account at any depository; provided, that at least one (1) checking account shall be maintained at one (1) depository.
3600.7 Each Senator and Representative may designate a financial officer to manage the Statehood fund; provided that the Senator and Representative shall remain solely responsible for the lawful administration of the Statehood Fund.
3600.8 Within ten (10) days of assuming office, each Senator and Representative shall file a Statement of Information (Statement), on a form prescribed by the Director, regarding the Statehood Fund.
3600.9 The statement shall include:
(a) The name, home, and office address of the respective Senator or Representative;
(b) The names and addresses of all Statehood Fund depositories;
(c) The names and account numbers of all Statehood Fund depository accounts;
(d) The names, titles, addresses, and phone numbers of each person authorized to make withdrawals or payments out of Statehood fund accounts;
(e) The name, address, and phone number of the Statehood Fund financial officer, or any designated agent; and
(f) The name, address, and phone number of the custodian of books and records.
3601 STATEHOOD FUND PETTY CASH
3601.1 A Senator or Representative may establish a petty cash fund, the monies for which shall be derived from the Statehood Fund.
3601.2 A Senator or Representative shall maintain the petty cash fund and records in accordance with § 3010 of Chapter 30 of this title.
3602 APPLICABILITY
3602.1 Each Senator and Representative shall electronically file Periodic Reports of Receipts and Expenditures (R&E Reports) for each Statehood Fund in accordance with §§ 3006 and 3008 of Chapter 30 of this title.
3602.3 Each Senator and Representative (or, if the Senator or Representative is unavailable, the designated agent as listed on the Statement of Information filed under § 3600.8) shall electronically verify for each R&E Report by oath or affirmation, subject to penalties of perjury, that reasonable due diligence was exercised in the preparation of the report, and that the report is true and complete to the best of the filer’s knowledge.
3602.3 Each Senator and Representative shall maintain their records in accordance with Chapter 34 of this title.
3602.4 Within this title, each Senator and Representative shall be subject to the following provisions:
(a) Limitations on contributions, pursuant to § 3011 of Chapter 30 of this title;
(b) Limitations on constituent-service programs, pursuant to § 3014 of Chapter 30 of this title; and
(c) Prohibition on use of government resources for campaign-related activities, pursuant to § 3301 of Chapter 33 of this title.
3603 DISSOLUTION OF STATEHOOD FUND
3603.1 A Senator or Representative shall dissolve the respective Statehood Fund in accordance with § 3016 of Chapter 30 of this title.
3603.2 A Senator or Representative shall disburse any surplus funds remaining in the respective Statehood Fund in accordance with § 3015 of Chapter 30 of this title.
3604 PENALTIES
3604.1 Penalties for any violations of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
Chapter 37 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 37 INVESTIGATIONS AND HEARINGS
3700 INVESTIGATIONS IN GENERAL
3701 INITIATION OF INVESTIGATION
3702 INTERNAL INQUIRY
3703 PRELIMINARY INVESTIGATIONS
3704 FULL INVESTIGATIONS
3705 ADMINISTRATIVE DISPOSITION OF INVESTIGATIONS
3706 INSTITUTION OF A CHARGE AND FORMAL HEARING
3707 SUBPOENAS AND DEPOSITIONS
3708 SERVICE OF SUBPOENAS AND NOTICE OF DEPOSITION
3709 INFORMAL HEARING FOR ALLEGED VIOLATIONS OF REPORTING REQUIREMENTS
3710 CEASE AND DESIST ORDERS BASED ON VIOLATIONS
3711 SCHEDULE OF FINES
3712 PROCEDURES REGARDING EXCESSIVE CONTRIBUTIONS
3713 PUBLIC ACCESS TO DOCUMENTS
3714 REPORTS AND STATEMENTS UNDER OATH
3700 INVESTIGATIONS IN GENERAL
3700.1 The provisions of this chapter shall establish the procedures for the conduct of all investigations by the Director of Campaign Finance (Director), and/or his or her designee, of alleged violations of Title III of the Board of Ethics and Government Accountability Establishment and Comprehensive Ethics Reform Amendment Act of 2011, effective April 27, 2012 (D.C. Law 19-124; D.C. Official Code §§ 1-1161.01 et seq.), and Chapters 30 - 41 of this title.
3700.2 Investigations shall be conducted fairly and professionally, and in a manner that protects the rights and reputations of public employees and officials.
3700.3 Investigations shall be identified as one (1) of the following:
(a) Internal Inquiry;
(b) Preliminary Investigation; or
(c) Full Investigation.
3700.4 All proceedings and records of the Office of Campaign Finance (OCF) relating to the initiation or conduct of any investigation shall be confidential and closed to the public, except all orders of the Director issued during investigative proceedings shall be made available to the public at OCF’s website (http://ocf.dc.gov/).
3700.5 The disposition of each investigation shall be made part of the public record.
3701 INITIATION OF INVESTIGATION
3701.1 An investigation may commence upon referral by the Board of Elections (Board) or the filing of a complaint in writing with the Director.
3701.2 Each complaint shall include:
(a) The full name and address of the complainant and the respondent;
(b) A clear and concise statement of facts that alleged to constitute a violation of the Act, or of Chapters 30-41 of this title;
(c) The complainant’s signature;
(d) A verification of the complaint under oath; and
(e) Supporting documentation, if any.
3702 INTERNAL INQUIRY
3702.1 An internal inquiry shall involve an examination by the Director of a possible violation of the Act, when the possible violation comes to the attention of the Director.
3702.2 The Director may initiate an internal inquiry through the following sources:
(a) Information obtained through the media; or
(b) Documents filed with the OCF.
3702.3 Within a reasonable time after examination of an internal inquiry, the Director shall determine whether to initiate a preliminary investigation.
3703 PRELIMINARY INVESTIGATIONS
3703.1 A preliminary investigation shall entail an inquiry by the Director to determine whether there is reasonable cause to believe that a violation has occurred.
3703.2 Preliminary investigations may be initiated by any one (1) of the following means:
(a) Referral by the Board of Elections;
(b) Complaint by any employee or resident of the District of Columbia; or
(c) Complaint generated by the OCF.
3703.3 A preliminary investigation conducted by OCF shall be strictly investigatory, non-adversarial, and non-adjudicatory.
3703.4 Within thirty (30) days of initiation of a preliminary investigation, the Director shall determine whether a full investigation is necessary.
3703.5 Within ten (10) days after initiation of a preliminary investigation, the Director shall notify, in writing, the person (respondent) who is the subject of the preliminary investigation.
3703.6 Notification to the respondent shall consist of the following:
(a) A copy of the complaint;
(b) Explanation of the existence of the investigation and the general nature of the alleged violation; and
(c) An offer to the subject affording the opportunity to respond to the allegation(s).
3704 FULL INVESTIGATIONS
3704.1 A full investigation regarding any alleged violation of the Act or Chapters 30-41 of this title shall commence upon a finding of reasonable cause by the Director, and notice to the respondent that a full investigation has commenced.
3704.2 The full investigation shall be conducted by evidence gathered and explored by the following:
(a) Subpoena;
(b) Depositions;
(c) Interrogatories;
(d) Interviews;
(e) Audits;
(f) Affidavits;
(g) Documents; and
(h) Other means deemed appropriate.
3704.3 The Director may require any person to submit in writing certain reports and answers to questions, as prescribed by the Director, relating to the administration and enforcement of the Act, and Chapters 30-41 of this title.
3704.4 Any person required by the Director to submit in writing certain reports or to answer questions under oath shall submit such reports and/or answers within seven (7) calendar days after receipt of the request.
3704.5 If any person required by the Director to submit in writing certain reports or to answer questions fails to submit such reports or answers within seven (7) calendar days after receipt of the request, the Director shall issue a subpoena in accordance with § 3707.
3704.6 All submissions of reports or answers shall be made under oath; provided, that the person is not represented by counsel.
3704.7 Within ninety (90) days of receipt of any complaint, the Director shall:
(a) Cause evidence to be presented to the Board, if sufficient evidence exists constituting an apparent violation, pursuant to § 3706;
(b) Dismiss the complaint, if insufficient evidence exists to present the matter, pursuant to § 3705; or
(c) Impose civil penalties, pursuant to § 3711, upon a determination that a violation of the reporting and disclosure requirements prescribed by the Act and/or Chapters 30-41 of this title has occurred.
3704.8 The Director may seek, upon a showing of good cause, an extension of time as reasonably necessary to complete an investigation.
3705 ADMINISTRATIVE DISPOSITION OF INVESTIGATIONS
3705.1 The Director may dismiss any case administratively for any of the following reasons:
(a) Insufficient evidence exists to support a violation;
(b) Stipulation of the parties;
(c) Inability to serve process on respondent;
(d) Lack of jurisdiction over respondent; or
(e) Lack of subject matter jurisdiction.
3705.2 The Director shall report to the Board any dismissal issued under § 3705.1 by order with written findings of facts and conclusions of law.
3705.3 The order issued under § 3705.2 shall be served upon all parties or their representatives.
3705.4 Any party adversely affected by any order of the Director issued under § 3705.2 may obtain review of the order by filing a request with the Board of Elections pursuant to § 3709.12.
3706 INSTITUTION OF A CHARGE AND FORMAL HEARING
3706.1 Upon belief that sufficient evidence exists constituting an apparent violation of the Act and/or of Chapters 30-41 of this title, the Director shall institute a formal charge or complaint against the alleged violator pursuant to Chapter 4 of this title.
3706.2 The complaint shall include:
(a) The basis for the Director’s jurisdiction over the alleged violation(s);
(b) A recitation of the facts alleged to be violations of the Act and/or regulations;
(c) Proposed sanctions; and
(d) A prayer for relief.
3706.3 The Director shall present evidence of the violation to the Board in an adversarial and open hearing.
3707 SUBPOENAS AND DEPOSITIONS
3707.1 The Director shall have the power to require, by subpoena, the attendance and testimony of witnesses and the production of documentary evidence.
3707.2 Except as provided in § 3704.7, each subpoena issued by the Director shall include:
(a) The name of the respondent;
(b) The title of the action;
(c) A specification of the time allowed for compliance with the subpoena; and
(d) A command to the person to whom it is directed to:
(1) Attend and give testimony at a time and place specified in the subpoena; and/or
(2) Produce and permit inspection and copying of the books, papers, documents, or tangible things designated in the subpoena.
3707.3 A complainant may request the Director to subpoena particular persons or evidence; provided, that the subpoena shall not be obtained as a matter of right to the complainant.
3707.4 Any person to whom a subpoena is directed may, prior to the time specified in the subpoena for compliance, file a motion to request that the Director quash or modify the subpoena.
3707.5 Any application to quash a subpoena shall be accompanied by a brief statement of the reasons supporting the motion to quash.
3707.6 The Director may quash or modify the subpoena upon a showing of good cause.
3707.7 Upon written notice, the Director may, in any proceeding or investigation, order testimony to be taken by deposition, under oath, before any person who is designated by the Director.
3707.8 A deposition may be scheduled at a time and place convenient to the parties.
3707.9 A respondent or witness may be represented by counsel at a deposition.
3707.10 A transcript of a deposition may be requested and furnished at reasonable cost to the requestor.
3708 SERVICE OF SUBPOENAS AND NOTICE OF DEPOSITION
3708.1 A subpoena or a notice of a deposition shall be served upon a person by delivering a copy of the subpoena or notice to the named person, pursuant to this section.
3708.2 If a person is represented by counsel in a proceeding, a subpoena or a notice may be served upon counsel.
3708.3 Service of a subpoena or a notice of deposition and fees to an individual may be made by any of the following means:
(a) Handing the subpoena or notice to the person;
(b) Leaving the subpoena or notice at the person’s office with the person in charge of the office;
(c) Leaving the subpoena or notice at the person’s dwelling place or usual place of abode with some person of suitable age and discretion residing in that dwelling place or abode;
(d) Mailing the subpoena or notice by registered or certified mail to the person at the person’s last known address with return receipt requested; or
(e) Any other method whereby actual notice is given to the person.
3708.4 When the person to be served is not an individual, a copy of the subpoena or notice of the deposition and fees shall be delivered by one (1) of the following means:
(a) Handing the subpoena or notice to a bona fide registered agent;
(b) Handing the subpoena or notice to any office, director, or agent in charge of any office of that entity;
(c) Mailing the subpoena or notice by registered or certified mail to a representative or agent of the entity at his or her last known address with return receipt requested; or
(d) Any method whereby actual notice is given to an agent or representative of the entity.
3709 INFORMAL HEARING FOR ALLEGED VIOLATIONS OF REPORTING AND DISCLOSURE REQUIREMENTS
3709.1 The Director may institute or conduct an informal hearing, including an order to show cause, on alleged violations of the reporting and disclosure requirements, prescribed by the Act and Chapters 30-41 of this title.
3709.2 The reporting and disclosure requirements shall apply to the following documents:
(a) Statement of Acceptance of Position of Chairperson;
(b) Statement of Acceptance of Position of Treasurer;
(c) Identification of Campaign Literature;
(d) Notification of Non-Support;
(e) Report of Exemption for a Candidate Spending Less Than $500;
(f) Report of Receipts and Expenditures;
(g) Request for Candidate Waiver;
(h) Request for Additional Information;
(i) Statement of Candidacy;
(j) Statement of Candidate Withdrawal;
(k) Statement of Committee Termination;
(l) Statement of Information;
(m) Statement of Organization;
(n) Summary Financial Statement for Advisory Neighborhood Commission (ANC);
(o) Verified Statement of Contribution Report;
(p) Withdrawal of Chairperson;
(q) Withdrawal of Treasurer; and
(r) 24-Hour Report of Receipts for Candidates and Committees
(s) Schedule of Bundled Contributions
(t) 14-Day Report of Independent Expenditures by Individuals
(u) Certification of Attendance at In-Person Training for Candidate and Treasurer
(v) Designation of Campaign Depository
3709.3 Notice of an informal hearing shall be issued in writing at least ten (10) days prior to the hearing; provided that the ten (10) day period may be waived for good cause shown as long as the party is given a sufficient opportunity to prepare for the hearing.
3709.4 In the notice, an alleged violator of the reporting requirements shall be informed of:
(a) The nature of the alleged violation;
(b) The authority on which the hearing is based;
(c) The time and place of the hearing;
(d) The right to be represented by legal counsel;
(e) The fact that the alleged violator’s failure to appear may be considered an admission of the allegation; and
(f) The fact that service of process shall be by regular mail.
3709.5 The Director shall regulate the course of the informal hearing and the conduct of the parties and their counsel.
3709.6 The respondent, or his or her counsel, may present the respondent’s case and evidence to the Director.
3709.7 The Director may wait a reasonable period of time for the respondent to appear before beginning the informal hearing.
3709.8 If the respondent fails to appear after a reasonable period of time, the Director shall:
(a) Reschedule the informal hearing;
(b) Issue notice of the rescheduled informal hearing; and
(c) Serve the respondent both by certified and regular mail.
3709.9 If the respondent fails to appear after an informal hearing has been rescheduled under § 3709.8, the Director may proceed with the informal hearing by making a record of the proceeding.
3709.10 Following the conduct of each informal hearing, the Director shall:
(a) Determine whether a violation has occurred; and
(b) Issue a written order with findings of facts and conclusions of law.
3709.11 Any party adversely affected by any order of the Director may obtain review of the order by filing, with the Board of Elections, a request for a hearing de novo.
3709.12 The request for a hearing de novo pursuant to § 3709.12 shall be filed:
(a) Within fifteen (15) days from the issuance by the Director of an order; and
(b) In accordance with Chapter 4 of this title.
3709.13 Within five (5) days after receipt of an order of the Director where a fine has been imposed, a respondent may file a Motion for Reconsideration to address issues considered mitigating that were not presented during the hearing.
3709.14 The Motion shall not address issues that were not the subject of the alleged violation for which the penalty was assessed.
3709.15 The Director shall respond to the Motion within five (5) days after its receipt by issuing a new order which either:
(a) Modifies or vacates the original order, providing clearly articulated reasons; or
(b) Denies the Motion and affirms the original order, providing clearly articulated reasons.
3709.16 The filing of the Motion shall toll the appeal period for requesting a hearing de novo before the Board of Elections, or the payment of the fine.
3709.17 The appeal period shall be recalculated from the date of issuance of the subsequent order of the Director in the matter, if appropriate.
3710 CEASE AND DESIST ORDERS BASED ON VIOLATIONS
3710.1 Upon a determination that a violation has occurred, the Director may issue an order to the offending party to cease and desist the violation within the five (5) day period immediately following the issuance of the order.
3710.2 A cease and desist order shall contain the specific violation which occurred, and shall be delivered to the offending party personally or by certified mail.
3710.3 Should the offending party or parties fail to comply with the order, the Director shall present evidence of such noncompliance to the Board in an adversarial and open hearing, pursuant to Chapter 4 of this title.
3710.4 After the hearing under § 3710.3, the Board may either dismiss the action, or refer the matter to the United States Attorney for the District of Columbia pursuant to Section 302(c) of the Act.
3711 SCHEDULE OF FINES
3711.1 Upon a determination, pursuant to §§ 3704 or 3709, that a violation has occurred, the Director may ministerially impose fines upon the candidate, treasurer, committee, designated agent under § 3000.12, or any other person, in the following manner:
(a) Each allegation shall constitute a separate violation; and
(b) A fine shall attach for each day of non-compliance for each violation.
3711.2 Except for fines imposed under § 3711.3 for violations of the regulations and statutory provisions governing Constituent Services Programs, fines shall be imposed as follows:
(a) Accepting a contribution or making an expenditure while office of treasurer is vacant: fifty dollars ($50) per day;
(b) Failure to designate a principal campaign committee: fifty dollars ($50) per day;
(c) Failure to designate a campaign depository: fifty dollars ($50) per day;
(d) Failure to file a Statement of Organization for a political committee, political action committee and independent expenditure committee: fifty dollars ($50) per day;
(e) Failure to file a Statement of Candidacy: fifty dollars ($50) per day;
(f) Failure to file a Report of Receipts & Expenditures: fifty dollars ($50) per day;
(g) Failure to file an Exemption for a Candidate spending less than $500: fifty dollars ($50) per day;
(h) Accepting legal tender or a money order of one hundred dollars ($100) or more: five hundred dollars ($500);
(i) Using Statehood Funds for political activities: four thousand dollars ($4,000);
(j) Making a contribution deposit into an account not designated as a campaign depository: one thousand dollars ($1,000);
(k) Failure to place identification notice/identity of a sponsor on campaign literature: five hundred dollars ($500);
(l) Accepting a contribution in excess of contribution limitations: four thousand dollars ($4,000);
(m) Making a contribution in excess of contribution limitations: four thousand dollars ($4,000);
(n) Accepting a contribution made by one person in the name of another person: four thousand dollars ($4,000);
(o) Making a contribution in the name of another person: four thousand dollars ($4,000);
(p) Failure to timely dispose of surplus campaign funds: fifty dollars ($50) per day;
(q) Failure to file additional information requested by the Director: fifty dollars ($50) per day;
(r) Failure to disclose/amend required information on reports and statements: fifty dollars ($50) per day;
(s) Failure to file ANC Summary Financial Report: fifty dollars ($50) per day;
(t) Failure to file a Statement of Acceptance of Position of Chairperson: fifty dollars ($50) per day;
(u) Failure to file a Statement of Acceptance of Position of Treasurer: fifty dollars ($50) per day;
(v) Making an expenditure in excess of expenditure limitations: four thousand dollars ($4,000);
(w) Using District of Columbia government resources for campaign-related activities: four thousand dollars ($4,000);
(x) Failure to designate an exploratory committee: fifty dollars ($50) per day;
(y) Accepting a contribution in excess of aggregate limitations: four thousand dollars ($4,000);
(z) Failure to maintain records required under § 3400.2: four thousand dollars ($4,000);
(aa) Failure to file a Statement of Information: fifty dollars ($50) per day;
(bb) Failure to designate a Statehood Fund depository: fifty dollars ($50) per day;
(cc) Failure to disclose bundled contributions in excess of ten thousand dollars ($10,000): four thousand dollars ($4,000);
(dd) Selling or utilizing information copied from reports and statements for the purpose of soliciting contributions: four thousand dollars ($4,000);
(ee) Selling or utilizing information copied from reports and statements for the purpose of commercial use: four thousand dollars ($4,000);
(ff) Failure to timely liquidate a Bitcoin contribution: fifty dollars ($50) per day;
(gg) Failure to attend mandatory in-person training: fifty dollars ($50) per day;
(hh) Failure to disclose affiliated entities of a business contributor who also made contributions to the same committee: one thousand dollars ($1,000);
(ii) Making a contribution or transfer of funds if an independent expenditure committee: five hundred dollars ($500);
(jj) Failure to file a Statement of Withdrawal of Candidate, Treasurer or Chairperson: fifty dollars ($50) per day; and
(kk) Failure to file a Statement of Committee Termination: fifty dollars ($50) per day.
3711.3 Fines for violations of the regulations and statutory provisions governing Constituent Services Programs shall be imposed, as follows:
(a) Failure to designate a constituent-service program depository: fifty dollars ($50) per day;
(b) Failure to file a Statement of Acceptance of Position of Chairperson: fifty dollars ($50) per day;
(c) Failure to file a Statement of Acceptance of Position of Treasurer: fifty dollars ($50) per day;
(d) Accepting a contribution or making an expenditure while office of treasurer is vacant: fifty dollars ($50) per day;
(e) Failure to file additional information requested by the Director: fifty dollars ($50) per day;
(f) Failure to disclose required information on reports and statements: fifty dollars ($50) per day;
(g) Accepting a contribution made by one person in the name of another person: five thousand dollars ($5,000);
(h) Making a contribution in the name of another person: five thousand dollars ($5,000);
(i) Accepting a contribution in excess of the constituent-services program contribution limitation: five thousand dollars ($5,000);
(j) Making a contribution in excess of the constituent-services program contribution limitation: five thousand dollars ($5,000);
(k) Conducting campaign activities in the constituent-services program: five thousand dollars ($5,000);
(l) Making an expenditure in excess of expenditure limitations: five thousand dollars ($5,000);
(m) Accepting a contribution in excess of aggregate limitations: five thousand dollars ($5,000);
(n) Failure to maintain records required under § 3400.2: five thousand dollars ($5,000);
(o) Promoting or opposing, as a primary purpose, a political party, committee, candidate, or issue: five thousand dollars ($5,000);
(p) Making any expenditure for the payment of penalties and fines inured to the District of Columbia: five thousand dollars ($5,000);
(q) Making any expenditures of cash from constituent service program funds: five thousand dollars ($5,000);
(r) Making expenditures for sponsorships for political organizations: five thousand dollars ($5,000);
(s) Conducting mass mailings within the ninety (90)-day period immediately preceding a primary, special, or general election by a member of the Council, or the Mayor, who is a candidate for office: five thousand dollars ($5,000).
(t) Failure to disclose affiliated entities of a business contributor who have also made contributions to the same committee: one thousand dollars ($1,000); and
(u) Failure to timely liquidate a Bitcoin contribution: fifty dollars ($50) per day.
3711.4 The aggregate of the penalties imposed under the Director's authority, pursuant to §§ 3711.2 and 3711.3, may not exceed four thousand dollars ($4,000) for each violation, except or unless otherwise authorized.
3711.5 In calculating the time period for delinquencies, Saturdays, Sundays, and holidays shall not be included.
3711.6 Any fine imposed by the Director, pursuant to §§ 3711.2 and 3711.3, shall become effective on the sixteenth (16th) day following the issuance of a decision and order; provided, that, the respondent does not request a hearing pursuant to § 3709.11.
3711.7 The Director may modify, rescind, dismiss, or suspend any fine imposed, pursuant to §§ 3711.2 and 3711.3, for good cause shown; provided, that fines imposed for failure to file an eight (8) day pre-election report shall be mandatory, unless a written extension for filing the report, pursuant to Chapter 30 of this title, is granted by the Director.
3711.8 Fines imposed pursuant to this chapter shall be paid within ten (10) days of the effective date of the issuance of an Order of the Director. Payment by check or money order shall be payable to the D.C. Treasurer, and directed to the Office of Campaign Finance, Frank D. Reeves Municipal Building, 2000 14th Street, N.W., Washington, D.C., 20009.
3711.9 If a party fails to pay the ordered fine, the Director may petition for enforcement of its order before the Board in an adversarial and open hearing, pursuant to Chapter 4 of this title, within sixty (60) days of the expiration of the period provided for payment of the fine.
3712 PROCEDURES REGARDING EXCESSIVE CONTRIBUTIONS
3712.1 The Director shall determine whether a contribution made to a person was in excess of the aggregate maximum to which the person was entitled.
3712.2 Upon a determination that an excessive contribution has been made, the Director shall, in writing, notify the recipient of the excessive contribution of:
(a) The amount of the excessive contribution;
(b) The requirement that an amount equal to the excess contribution shall be repaid to the contributor; and
(c) The requirement that such repayment shall be accomplished within fifteen (15) days of the notice.
3712.3 Any person required by the Director to repay an excess contribution may apply in writing to the Director for an extension of time in which to repay the excess contribution.
3712.4 The Director may grant an extension for a reasonable amount of additional time for good cause to any person who files an application in accordance with § 3712.3.
3712.5 If the person who has been determined to have received an excessive contribution disputes the Director’s determination, the person shall so advise the Director in writing within seven (7) days upon receipt of the notice issued under § 3712.2.
3712.6 Within ten (10) days after receiving notice of the existence of the dispute pursuant to § 3712.5, the Director shall schedule and conduct an informal hearing in accordance with § 3709.
3713 PUBLIC ACCESS TO DOCUMENTS
3713.1 All reports and statements required to be filed with the Director under § 3709.2 shall be public documents.
3713.2 Public documents shall be available for inspection and copying at OCF within forty-eight (48) hours after receipt.
3713.3 Public documents may be received in the OCF without charge.
3713.4 Any person may request copies of documents by making written application to the Director.
3713.5 Copies of documents may be produced at a cost of fifteen cents (15¢) per page in order to recover the direct cost of reproduction.
3713.6 Documents may be copied and inspected each business day, excluding District of Columbia legal holidays, between the hours of 9:00 a.m. and 4:00 p.m.
3714 REPORTS AND STATEMENTS UNDER OATH
3714.1 All reports and statements filed pursuant to the Act shall be verified by the oath or affirmation of the person filing such reports or statements in accordance with Chapter 30 of this title.
3714.2 During regular business days and hours, the Director shall maintain a notary public to administer the oaths; provided, that in the absence of the notary public, an Affirmation Statement, on a form prescribed by the Director, shall suffice.
Chapter 38 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 38 LEGAL DEFENSE COMMITTEES
3800 LEGAL DEFENSE COMMITTEES, GENERALLY
3801 ORGANIZATION OF LEGAL DEFENSE COMMITTEES
3802 FILING AND REPORTING REQUIREMENTS
3803 LEGAL DEFENSE COMMITTEE CONTRIBUTION LIMITATIONS
3804 LIMITATIONS ON THE USE OF LEGAL DEFENSE COMMITTEE FUNDS
3805 USE OF SURPLUS FUNDS
3806 PENALTIES
3800 LEGAL DEFENSE COMMITTEES, GENERALLY
3800.1 A legal defense committee is a person, or group of persons, organized for the purpose of soliciting, accepting, or expending funds to defray the professional fees and costs for a public official’s legal defense to one or more civil, criminal, or administrative proceedings.
3800.2 One legal defense committee and one legal defense checking account may be established and maintained for the purpose set forth in § 3800.1.
3800.3 No committee, fund, entity, or trust may be established to defray professional fees and costs except pursuant to this chapter.
3801 ORGANIZATION OF LEGAL DEFENSE COMMITTEES
3801.1 A legal defense committee shall be deemed "organized" when any person, or group of persons, formally agree, orally or in writing, to solicit, accept, or expend funds to defray the professional fees and costs for a public official’s legal defense to one or more civil, criminal, or administrative proceedings.
3801.2 Each legal defense committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
3801.3 A legal defense committee shall amend its Statement of Organization within ten (10) days of any change in the information previously reported on its Statement of Organization.
3801.4 If a legal defense committee that has filed at least one (1) Statement of Organization disbands or determines that it will no longer receive contributions or make expenditures during a calendar year, it must so notify the Director immediately and file a final Report of Receipts & Expenditures (R&E Report).
3801.5 A legal defense committee shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to § 3801.2.
3801.6 No person may simultaneously serve as the chairperson and treasurer of a legal defense committee.
3801.7 A chairperson shall be required to file a Statement of Acceptance of Position of Chairperson form with the Director within five (5) days of assuming the office.
3801.8 A chairperson shall be required to file a Statement of Withdrawal of Position of Chairperson form with the Director within five (5) days of vacating the office.
3801.9 A treasurer shall be required to file a Statement of Acceptance of Position of Treasurer form with the Director within forty-eight (48) hours of assuming the office.
3801.10 A treasurer shall be required to appear in person at the Office of Campaign Finance to attend a training program pursuant to § 3001 of Chapter 30 within fifteen (15) calendar days of submitting the Statement of Acceptance of Treasurer form in accordance with § 3801.9, or as otherwise scheduled by OCF.
3801.11 A treasurer shall be required to file a Statement of Withdrawal of Position of Treasurer form with the Director within forty-eight (48) hours of vacating the office.
3801.12 When either the office of chairperson or treasurer is vacant, the legal defense committee shall:
(a) Designate a successor chairperson or treasurer within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
3801.13 The treasurer of a legal defense committee shall obtain and preserve receipted bills and records in accordance with Chapter 34 of this title.
3801.14 A legal defense committee shall neither accept a contribution nor make an expenditure while the office of treasurer is vacant and no other person has been designated and agreed to perform the functions of treasurer.
3801.15 Each expenditure made for, or on behalf of, a legal defense committee shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under § 3801.3.
3801.16 No expenditures may be made by a legal defense committee except by check drawn payable to the person to whom the expenditure is being made on the account at a bank designated by the legal defense committee as its depository in its Statement of Organization.
3801.17 A detailed account of each contribution of fifty dollars ($50) or more for or on behalf of a legal defense committee shall be submitted to the treasurer of such committee within five (5) days of the receipt of the contribution upon the treasurer’s demand.
3801.18 The detailed account submitted pursuant to § 3801.17 shall include:
(a) The amount of the contribution or expenditure;
(b) The name and address (including the occupation and principal place of business, if any) of the contributor or the person (including a business entity) to whom the expenditure was made;
(c) The date of the contribution; and
(d) In the case of an expenditure, the office sought by the candidate on whose behalf the expenditure was made, if applicable.
3801.19 All funds of a legal defense committee shall be segregated from, and may not be commingled with, any campaign funds, or anyone’s personal funds.
3802 FILING AND REPORTING REQUIREMENTS
3802.1 The treasurer of each legal defense committee shall electronically file Reports of Receipts and Expenditures (R&E Reports), in accordance with §§ 3006 and 3008 of Chapter 30, on forms prescribed by the Director, within thirty (30) days after the committee’s organization and every thirty (30) days thereafter until dissolution.
3802.2 The treasurer (or, if the treasurer is unavailable, the designated agent as listed on the Statement of Organization filed under § 3801.2) shall electronically verify with respect to each R&E Report by oath or affirmation, subject to penalties of perjury, that reasonable due diligence was exercised in the preparation of the report, and that the report is true and complete to the best of the filer’s knowledge.
3802.3 R&E Reports must disclose:
(a) The amount of cash on hand at the beginning of the reporting period;
(b) The full name and mailing address, including occupation and principal place of business, if any, of each person, including a business contributor, who has made one or more contributions to or for the committee within the calendar year in an aggregate amount or value in excess of fifty dollars ($50) or more, together with the amount and date of the contributions;
(c) The name and address of each affiliated entity of a business contributor which has also made a contribution to the committee;
(d) The name, address, and employer of each person reasonably known by the committee to have submitted a bundled contribution in excess of $10,000 to the committee during the reporting period, and the total amount of the bundling;
(e) The total sum of individual contributions made to or for the committee during the reporting period that is not reported under § 3802.2(b);
(f) Each loan to or from any person within the calendar year in an aggregate amount or value of fifty ($50) or more, together with the full names and mailing addresses (including the occupation and the principal place of business, if any) of the lender and endorsers, if any, and the date and amount of the loans;
(g) The total sum of all receipts by or for the committee during the reporting period;
(h) The full name and mailing address, including the occupation and the principal place of business, if any, of each person to whom expenditures have been made by or on behalf of the committee within the calendar year in an aggregate amount or value of ten dollars ($10) or more;
(i) The total sum of expenditures made by the committee during the calendar year;
(j) The amount and nature of debts and obligations owed by or to the committee, in a form as the Director of Campaign Finance may prescribe; and
(k) Other information as may be required by the Director of Campaign Finance.
3802.4 R&E Reports must be complete no later than five (5) days before the prescribed filing deadline.
3802.5 The treasurer of a legal defense fund, and each beneficiary of such a fund, shall keep a detailed and exact account of:
(a) Each contribution made by any person, including a business contributor, to or for the legal defense committee;
(b) The full name and address (including the occupation and principal place of business, if any) of each person, including a business contributor, that made a contribution of at least fifty dollars ($50) or more, and the date and amount of such contribution;
(c) The name and address of any affiliated entity of each business contributor which made a contribution to the committee, the date and the amount of the contribution, and the names and addresses of all shared owners of the business contributor and the affiliated entity;
(d) The name, address, and employer of each person reasonably known by the committee to have submitted a bundled contribution in excess of $10,000 to the committee during the reporting period, and the total amount of the bundling;
(e) Each expenditure made by or on behalf of the legal defense committee; and
(f) The full name and address (including the occupation and principal place of business, if any) of each person to whom an expenditure was made, and the name, address, and the office held or sought, or the position held, by the public official, whichever is applicable.
3803 LEGAL DEFENSE COMMITTEE CONTRIBUTION LIMITATIONS
3803.1 Contributions in support of a legal defense committee shall be received or made in accordance with § 3009 of Chapter 30 of this title, except that no person, including a business contributor, shall make any contribution to or for a legal defense committee which, when aggregated with all other contributions received from such person, exceeds ten thousand dollars ($10,000) in an aggregate amount.
3803.2 Notwithstanding § 3803.1, the legal defense committee contribution limitations shall not apply to contributions made by the public official for the purpose of funding his or her own legal defense committee within the District of Columbia.
3803.3 A legal defense committee shall not accept a contribution from a lobbyist or a person acting on behalf of a lobbyist or registrant.
3803.4 A lobbyist or registrant or a person acting on behalf of a lobbyist or registrant shall be prohibited from making a contribution to a legal defense committee.
3804 LIMITATIONS ON THE USE OF LEGAL DEFENSE COMMITTEE FUNDS
3804.1 The legal defense committee shall be prohibited from expending monies from the Legal Defense Fund for the following purposes:
(a) Expenses for fundraising, media, political consulting fees, mass mailing, or other advertising;
(b) Payment or reimbursement for a fine, penalty, judgment, or settlement; or
(c) A payment to return or disgorge contributions made to any other committee controlled by the candidate or officer.
3804.2 Legal defense funds shall be used solely for the purpose of defraying attorney fees and other related legal costs associated with a public official’s legal defense to one or more civil, criminal, or administrative proceedings.
3805 USE OF SURPLUS FUNDS
3805.1 Any remaining funds of a legal defense committee shall be transferred only to either:
(a) A non-profit organization within the meaning of Section 501(c) of the Internal Revenue Code operating in good standing in the District of Columbia for a minimum of one calendar year prior to the date of any transfer; or
(b) A Constituent Service Program.
3806 PENALTIES
3806.1 Penalties for any violation of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
Chapter 39 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 39 CAMPAIGN FINANCE OPERATIONS: INAUGURAL COMMITTEES
3900 INAUGURAL COMMITTEES, GENERALLY
3901 ORGANIZATION OF INAUGURAL COMMITTEES
3902 FILING AND REPORTING REQUIREMENTS
3903 PETTY CASH FUNDS
3904 INAUGURAL COMMITTEE CONTRIBUTION LIMITATIONS
3905 LIMITATIONS ON THE USE OF INAUGURAL COMMITTEE FUNDS
3906 DURATION OF INAUGURAL COMMITTEES
3907 USE OF SURPLUS FUNDS
3908 PENALTIES
3900 INAUGURAL COMMITTEES, GENERALLY
3900.1 An inaugural committee is a person, or group of persons, organized for the purpose of soliciting, accepting, and spending funds and coordinating activities to celebrate the election of a new Mayor.
3901 ORGANIZATION OF INAUGURAL COMMITTEES
3901.1 An inaugural committee shall be deemed "organized" when any person, or group of persons, formally agree, orally or in writing, to solicit, accept, and spend funds and coordinate activities to celebrate the election of a new Mayor.
3901.2 Each inaugural committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
3901.3 An inaugural committee shall amend its Statement of Organization within ten (10) days of any change in the information previously reported on its Statement of Organization.
3901.4 If an inaugural committee that has filed at least one (1) Statement of Organization disbands or determines that it will no longer receive contributions or make expenditures during a calendar year, it must so notify the Director immediately and file a final Report of Receipts & Expenditures (R&E Report).
3901.5 An inaugural committee shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to § 3901.2.
3901.6 No person may simultaneously serve as the chairperson and treasurer of an inaugural committee.
3901.7 A chairperson shall be required to file a Statement of Acceptance of Position of Chairperson form with the Director within five (5) days of assuming the office.
3901.8 A chairperson shall be required to file a Statement of Withdrawal of Position of Chairperson form with the Director within five (5) days of vacating the office.
3901.9 A treasurer shall be required to file a Statement of Acceptance of Position of Treasurer form with the Director within forty-eight (48) hours of assuming the office.
3901.10 A treasurer shall be required to appear in person at the Office of Campaign Finance to attend a training program pursuant to § 3001 of Chapter 30 within fifteen (15) calendar days of submitting the Statement of Acceptance of Treasurer form in accordance with § 3901.9, or as otherwise scheduled by OCF.
3901.11 A treasurer shall be required to file a Statement of Withdrawal of Position of Treasurer form with the Director within forty-eight (48) hours of vacating the office.
3901.12 When either the office of chairperson or treasurer is vacant, the inaugural committee shall:
(a) Designate a successor chairperson or treasurer within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
3901.13 The treasurer of an inaugural committee shall obtain and preserve receipted bills and records in accordance with § 3400.2 of Chapter 34 of this title.
3901.14 An inaugural committee shall neither accept a contribution nor make an expenditure while the office of treasurer is vacant, and no other person has been designated and agreed to perform the functions of treasurer.
3901.15 Each expenditure made for, or on behalf of, an inaugural committee shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under § 3901.2.
3901.16 No expenditures may be made by an inaugural committee except by check drawn payable to the person to whom the expenditure is being made on the account at a bank designated by the inaugural committee as its depository in its Statement of Organization.
3901.17 A detailed account of each contribution or expenditure of fifty dollars ($50) or more for or on behalf of an inaugural committee shall be submitted to the treasurer of such committee within five (5) days of the receipt of the contribution or the making of the expenditure upon the treasurer’s demand.
3901.18 The detailed account submitted pursuant to § 3901.16 shall include:
(a) The amount of the contribution or expenditure;
(b) The name and address (including the occupation and principal place of business, if any) of the contributor or the person (including a business entity) to whom the expenditure was made;
(c) The date of the contribution; and
(d) In the case of an expenditure, the office sought by the candidate on whose behalf the expenditure was made, if applicable.
3901.19 All funds of an inaugural committee shall be segregated from, and may not be commingled with, any campaign funds, or anyone’s personal funds.
3901.20 Each inaugural committee accepting contributions or making expenditures shall:
(a) Designate one or more national banks located in the District of Columbia as the committee’s depository or depositories;
(b) Maintain a checking account or accounts at such depository or depositories; and
(c) Deposit any contribution received by the committee into that account or accounts.
3902 FILING AND REPORTING REQUIREMENTS
3902.1 The treasurer of each inaugural committee shall electronically file Reports of Receipts and Expenditures (R&E Report), in accordance with §§ 3006 and 3008 of Chapter 30, on forms prescribed by the Director on the following dates:
(a) The 10th day of March, June, August, October, and December in the 7 months preceding the date on which, and in each year during which, an election is held for the office sought, and on the 8th day next preceding the date on which said election is held, and also by the 31st day of January of each year. In addition, the reports shall be filed on the 31st day of July of each year in which there is no election.
(b) The reports shall be complete as of the date prescribed by the Director, which shall not be more than 5 days before the date of filing, except that any contribution of $200 or more received after the closing date prescribed by the Director for the last report required to be filed before the election shall be reported within 24 hours after its receipt.
3902.2 The treasurer (or, if the treasurer is unavailable, the designated agent as listed on the Statement of Organization filed under § 3901.2) shall electronically verify with respect to each R&E Report by oath or affirmation, subject to penalties of perjury, that reasonable due diligence was exercised in the preparation of the report, and that the report is true and complete to the best of the filer’s knowledge.
3902.3 R&E reports required by this section must be filed in accordance with § 3017 of Chapter 30 of this title.
3902.4 R&E Reports must disclose:
(a) The amount of cash on hand at the beginning of the reporting period;
(b) The full name and mailing address, including occupation and principal place of business, if any, of each person, including a business contributor, who has made one or more contributions to or for the inaugural committee, including the purchase of tickets for events such as dinners, luncheons, rallies, and similar fundraising events, within the calendar year in an aggregate amount or value in excess of fifty dollars ($50) or more, together with the amount and date of the contributions;
(c) The name and address of each affiliated entity of a business contributor which has also made a contribution to the committee;
(d) The name, address, and employer of each person reasonably known by the committee to have bundled and forwarded two (2) or more contributions in excess of $10,000 during the reporting period to the committee without actual authority as an agent or principal of the committee, and the total of the bundling;
(e) The total sum of individual contributions made to or for the inaugural committee during the reporting period;
(f) Each loan to or from any person within the calendar year in an aggregate amount or value of fifty dollars ($50) or more, together with the full names and mailing addresses (including the occupation and the principal place of business, if any) of the lender and endorsers, if any, and the date and amount of the loans;
(g) The net amount of proceeds from:
(1) The sale of tickets to each dinner, luncheon, rally, and other fundraising events organized by the inaugural committee;
(2) Collections made at events; and
(3) Sales by the inaugural committee of items such as political campaign pins, buttons, badges, flags, emblems, hats, banners, literature, and similar materials;
(h) Each contribution, rebate, refund, or other receipt of fifty dollars ($50) or more not otherwise listed under paragraphs (b) through (e) of this subsection;
(i) The total sum of all receipts by or for the inaugural committee during the reporting period;
(j) The full name and mailing address, including the occupation and the principal place of business, if any, of each person to whom expenditures have been made by or on behalf of the committee within the calendar year in an aggregate amount or value of ten dollars ($10) or more;
(k) The amount, date, and purpose of each expenditure;
(l) The total sum of expenditures made by the inaugural committee during the calendar year;
(m) The amount and nature of debts and obligations owed by or to the inaugural committee, listed in such form as the Director of Campaign Finance may prescribe; and
(n) Other information as may be required by the Director of Campaign Finance.
3902.4 R&E Reports must be complete within five (5) days before the prescribed filing deadline.
3903 PETTY CASH FUNDS
3903.1 An inaugural committee may maintain a Petty Cash Fund that shall not exceed three hundred dollars ($300) at any time.
3903.2 All records and transactions shall be recorded in a petty cash journal maintained and authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agents, as listed on the Statement of Organization filed under § 3901.2.
3903.3 Petty cash funds shall be administered in the following manner:
(a) Cash shall only be received by check drawn on the account of the inaugural committee;
(b) Cash expenditures shall not exceed fifty dollars ($50) to any person in connection with a single purchase or transaction; and
(c) All transactions shall be recorded in the petty cash journal.
3903.4 For each deposit to the petty cash fund, the amount and date shall be recorded in the petty cash journal.
3903.5 For each disbursement, the petty cash journal shall include:
(a) The name and address of each recipient;
(b) The date of the disbursement;
(c) The amount of the disbursement;
(d) The purpose of the disbursement; and
(e) The candidate’s name and the office sought, or the name of the inaugural committee for which the disbursement is made.
3903.6 All receipts, vouchers, petty cash journals, and other documentation shall be retained by the inaugural committee for a period of three (3) years from the date of the filing of the final R&E Report by the inaugural committee.
3904 INAUGURAL COMMITTEE CONTRIBUTION LIMITATIONS
3904.1 Contributions in support of an inaugural committee shall be received or made in accordance with § 3009 of Chapter 30 of this title, except that no person, including a business contributor, shall make any contribution to an inaugural committee, and the Mayor shall not receive any contribution from any person, including a business contributor, which, when aggregated with all other contributions received from such person, exceeds ten thousand dollars ($10,000) in an aggregate amount.
3904.2 Notwithstanding § 3904.1, the ten thousand dollar ($10,000) inaugural committee contribution limitation shall not apply to contributions made by the Mayor-elect for the purpose of funding his or her own inaugural committee.
3905 LIMITATIONS ON THE USE OF INAUGURAL COMMITTEE FUNDS
3905.1 Inaugural committee funds shall be used solely for the purpose of financing activities to celebrate the election of a new Mayor.
3905.2 The provisions of § 3013 of Chapter 30 of this title, concerning impermissible uses of campaign funds, shall apply to inaugural committees unless the expenditures stated therein are solely related to activities to celebrate the election of a new Mayor.
3905.3 No person, including a business contributor, shall make or facilitate the making of a bundled contribution directly or indirectly to an inaugural committee.
3905.4 No inaugural committee shall accept, directly or indirectly, a bundled contribution.
3906 DURATION OF INAUGURAL COMMITTEES
3906.1 An inaugural committee shall terminate no later than forty-five (45) days from the beginning of the term of the new Mayor, except that the inaugural committee may continue to accept contributions necessary to retire the debts of the committee.
3906.2 When terminating, inaugural committees shall adhere to the applicable provisions of § 3016 of Chapter 30 of this title.
3907 USE OF SURPLUS FUNDS
3907.1 Any remaining funds of an inaugural committee shall be transferred only to either:
(a) A non-profit organization within the meaning of Section 501(c) of the Internal Revenue Code operating in good standing in the District of Columbia for a minimum of one calendar year prior to the date of any transfer; or
(b) A constituent-service program.
3908 PENALTIES
3908.1 Penalties for any violation of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
Chapter 40 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 40 CAMPAIGN FINANCE OPERATIONS: TRANSITION COMMITTEES
4000 TRANSITION COMMITTEES, GENERALLY
4001 ORGANIZATION OF TRANSITION COMMITTEES
4002 FILING AND REPORTING REQUIREMENTS
4003 PETTY CASH FUNDS
4004 TRANSITION COMMITTEE CONTRIBUTION LIMITATIONS
4005 LIMITATIONS ON THE USE OF TRANSITION COMMITTEE FUNDS
4006 DURATION OF TRANSITION COMMITTEES
4007 USE OF SURPLUS FUNDS
4008 PENALTIES
4000 TRANSITION COMMITTEES, GENERALLY
4000.1 A transition committee is a person, or group of persons, organized for the purpose of soliciting, accepting, or expending funds for office and personnel transition on behalf of the Chairman of the Council or the Mayor.
4001 ORGANIZATION OF TRANSITION COMMITTEES
4001.1 A transition committee shall be deemed "organized" when any person, or group of persons, formally agree, orally or in writing, to solicit, accept, or expend funds for office and personnel transition on behalf of the Chairman of the Council or the Mayor.
4001.2 No transition committee may be organized if an appropriation pursuant to Section 446 of the Home Rule Act has been made for transition purposes.
4001.3 Each transition committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
4001.4 A transition committee shall amend its Statement of Organization within ten (10) days of any change in the information previously reported on its Statement of Organization.
4001.5 If a transition committee that has filed at least one (1) Statement of Organization disbands or determines that it will no longer receive contributions or make expenditures during a calendar year, it must so notify the Director immediately and file a final Report of Receipts & Expenditures (R&E Report).
4001.6 A transition committee shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to § 4001.3.
4001.7 No person may simultaneously serve as the chairperson and treasurer of a transition committee.
4001.8 A chairperson shall be required to file a Statement of Acceptance of Position of Chairperson form with the Director within five (5) days of assuming the office.
4001.9 A chairperson shall be required to file a Statement of Withdrawal of Position of Chairperson form with the Director within five (5) days of vacating the office.
4001.10 A treasurer shall be required to file a Statement of Acceptance of Position of Treasurer form with the Director within forty-eight (48) hours of assuming the office.
4001.11 A treasurer shall be required to appear in person at the Office of Campaign Finance to attend a training program pursuant to § 3001 of Chapter 30 within fifteen (15) calendar days of submitting the Statement of Acceptance of Treasurer form in accordance with § 4001.10, or as otherwise scheduled by OCF.
4001.12 A treasurer shall be required to file a Statement of Withdrawal of Position of Treasurer form with the Director within forty-eight (48) hours of vacating the office.
4001.13 When either the office of chairperson or treasurer is vacant, the transition committee shall:
(a) Designate a successor chairperson or treasurer within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
4001.14 The treasurer of a transition committee shall obtain and preserve receipted bills and records in accordance with § 3400.2 of Chapter 34 of this title.
4001.15 A transition committee shall neither accept a contribution nor make an expenditure while the office of treasurer is vacant, and no other person has been designated and agreed to perform the functions of treasurer.
4001.16 Each expenditure made for, or on behalf of, a transition committee shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under § 4001.3.
4001.17 No expenditures may be made by a transition committee except by check drawn payable to the person to whom the expenditure is being made on the account at a bank designated by the transition committee as its depository in its Statement of Organization.
4001.18 A detailed account of each contribution or expenditure of fifty dollars ($50) or more for or on behalf of a transition committee shall be submitted to the treasurer of such committee within five (5) days of the receipt of the contribution or the making of the expenditure upon the treasurer’s demand.
4001.19The detailed account submitted pursuant to § 4001.18 shall include:
(a) The amount of the contribution or expenditure;
(b) The name and address (including the occupation and principal place of business, if any) of the contributor or the person (including a business entity) to whom the expenditure was made;
(c) The date of the contribution; and
(d) In the case of an expenditure, the office sought by the candidate on whose behalf the expenditure was made, if applicable.
4001.20 All funds of a transition committee shall be segregated from, and may not be commingled with, any campaign funds, or anyone’s personal funds.
4001.21 Each transition committee accepting contributions or making expenditures shall:
(c) Designate one or more national banks located in the District of Columbia as the committee’s depository or depositories;
(d) Maintain a checking account or accounts at such depository or depositories; and
(c) Deposit any contribution received by the committee into that account or accounts.
4002 FILING AND REPORTING REQUIREMENTS
4002.1 The treasurer of each transition committee shall electronically file Reports of Receipts and Expenditures (R&E Reports), in accordance with §§ 3006 and 3008 of Chapter 30, on forms prescribed by the Director, on the following dates:
(a) The 10th day of March, June, August, October, and December in the 7 months preceding the date on which, and in each year during which, an election is held for the office sought, and on the 8th day next preceding the date on which said election is held, and also by the 31st day of January of each year. In addition, the reports shall be filed on the 31st day of July of each year in which there is no election.
(b) The reports shall be complete as of the date prescribed by the Director, which shall not be more than 5 days before the date of filing, except that any contribution of $200 or more received after the closing date prescribed by the Director for the last report required to be filed before the election shall be reported within 24 hours after its receipt.
4002.2 The treasurer (or, if the treasurer is unavailable, the designated agent as listed on the Statement of Organization filed under § 4001.3) shall electronically verify with respect to each R&E Report by oath or affirmation, subject to penalties of perjury, that reasonable due diligence was exercised in the preparation of the report, and that the report is true and complete to the best of the filer’s knowledge.
4002.3 R&E reports required by this section must be filed in accordance with § 3017.
4002.4 R&E Reports must disclose:
(a) The amount of cash on hand at the beginning of the reporting period;
(b) The full name and mailing address, including occupation and principal place of business, if any, of each person, including a business contributor, who has made one or more contributions to or for the transition committee, including the purchase of tickets for events such as dinners, luncheons, rallies, and similar fundraising events, within the calendar year in an aggregate amount or value in excess of fifty dollars ($50) or more, together with the amount and date of the contributions;
(c) The name and address of each affiliated entity of a business contributor which has also made a contribution to the committee;
(d) The name, address, and employer of each person reasonably known by the committee to have submitted a bundled contribution in excess of $10,000 during the reporting period to the committee, and the total amount of the bundling;
(e) The total sum of individual contributions made to or for the transition committee during the reporting period;
(f) Each loan to or from any person within the calendar year in an aggregate amount or value of fifty dollars ($50) or more, together with the full names and mailing addresses (including the occupation and the principal place of business, if any) of the lender and endorsers, if any, and the date and amount of the loans
(g) The net amount of proceeds from:
(1) The sale of tickets to each dinner, luncheon, rally, and other fundraising events organized by the transition committee;
(2) Collections made at events; and
(3) Sales by a transition committee of items such as political campaign pins, buttons, badges, flags, emblems, hats, banners, literature, and similar materials;
(h) Each contribution, rebate, refund, or other receipt of fifty dollars ($50) or more not otherwise listed under paragraphs (b) through (e) of this subsection;
(i) The total sum of all receipts by or for the transition committee during the reporting period;
(j) The full name and mailing address, including the occupation and the principal place of business, if any, of each person to whom expenditures have been made by or on behalf of the transition committee within the calendar year in an aggregate amount or value of ten dollars ($10) or more;
(k) The amount, date, and purpose of each expenditure;
(l) The total sum of expenditures made by the transition committee during the calendar year;
(m) The amount and nature of debts and obligations owed by or to the committee, listed in such form as the Director of Campaign Finance may prescribe; and
(n) Other information as may be required by the Director of Campaign Finance.
4002.5 R&E Reports must be complete within five (5) days before the prescribed filing deadline.
4003 PETTY CASH FUNDS
4003.1 A transition committee may maintain a Petty Cash Fund that shall not exceed three hundred dollars ($300) at any time.
4003.2 All records and transactions shall be recorded in a petty cash journal maintained and authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agents, as listed on the Statement of Organization filed under § 4001.3.
4003.3 Petty cash funds shall be administered in the following manner:
(a) Cash shall only be received by check drawn on the account of the transition committee;
(b) Cash expenditures shall not exceed fifty dollars ($50) to any person in connection with a single purchase or transaction; and
(c) All transactions shall be recorded in the petty cash journal.
4003.4 For each deposit to the petty cash fund, the amount and date shall be recorded in the petty cash journal.
4003.5 For each disbursement, the petty cash journal shall include:
(a) The name and address of each recipient;
(b) The date of the disbursement;
(c) The amount of the disbursement;
(d) The purpose of the disbursement; and
(e) The candidate’s name and the office sought, or the name of the transition committee for which the disbursement is made.
4003.6 All receipts, vouchers, petty cash journals, and other documentation shall be retained by the transition committee for a period of three (3) years from the date of the filing of the final R&E Report by the transition committee.
4004 TRANSITION COMMITTEE CONTRIBUTION LIMITATIONS
4004.1 Contributions in support of a transition committee shall be received or made in accordance with § 3009 of Chapter 30 of this title, except that:
(a) No person, including a business contributor, shall make any contribution to a Mayoral transition committee, and the Mayor shall not receive any contribution from any person which, when aggregated with all other contributions received from such person, exceeds two thousand dollars ($2,000) in an aggregate amount; and
(b) No person, including a business contributor, shall make any contribution to a Council Chairman transition committee, and the Council Chairman shall not receive any contribution from any person which, when aggregated with all other contributions received from such person, exceeds one thousand dollars ($1,000) in an aggregate amount.
4004.2 Notwithstanding § 4004.1, the transition committee contribution limitations shall not apply to contributions made by the Mayor or the Chairman of the Council for the purpose of funding their respective transition committees within the District of Columbia.
4004.3 No person, including a business contributor, shall make or facilitate the making of a bundled contribution directly or indirectly to a Mayoral or Council Chairman transition committee.
4004.4 No transition committee shall accept, directly or indirectly, a bundled contribution.
4005 LIMITATIONS ON THE USE OF TRANSITION COMMITTEE FUNDS
4005.1 Transition committee funds shall be used solely for the purpose of facilitating the office and personnel transition on behalf of either the Chairman of the Council, or the Mayor.
4005.2 The provisions of § 3013 of Chapter 30 of this title, concerning impermissible uses of campaign funds, shall apply to transition committees, unless the expenditures stated therein are solely related to activities necessary to facilitate the office and personnel transition on behalf of the newly elected official.
4006 DURATION OF TRANSITION COMMITTEES
4006.1 A transition committee shall terminate no later than forty-five (45) days from the beginning of the term of the new Mayor or Council Chairman, except that the transition committee may continue to accept contributions necessary to retire the debts of the committee.
4006.2 When terminating, transition committees shall adhere to the applicable provisions of § 3016 of Chapter 30 of this title.
4007 USE OF SURPLUS FUNDS
4007.1 Any remaining funds of a transition committee shall be transferred only to either:
(a) A non-profit organization within the meaning of Section 501(c) of the Internal Revenue Code operating in good standing in the District of Columbia for a minimum of one (1) calendar year prior to the date of any transfer; or
(b) A Constituent Service Program.
4008 PENALTIES
4008.1 Penalties for any violation of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
Chapter 41 of Title 3 DCMR is amended in its entirety to read as follows:
CHAPTER 41 CAMPAIGN FINANCE OPERATIONS: EXPLORATORY COMMITTEES
4100 EXPLORATORY COMMITTEES, GENERALLY
4101 DESIGNATION OF AN EXPLORATORY COMMITTEE AS A PRINCIPAL CAMPAIGN COMMITTEE
4102 ORGANIZATION OF EXPLORATORY COMMITTEES
4103 FILING AND REPORTING REQUIREMENTS
4104 PETTY CASH FUNDS
4105 EXPLORATORY COMMITTEE CONTRIBUTION LIMITATIONS
4106 LIMITATIONS ON THE USE OF EXPLORATORY COMMITTEE FUNDS
4107 DURATION OF EXPLORATORY COMMITTEES
4108 USE OF SURPLUS FUNDS
4109 PENALTIES
4100 EXPLORATORY COMMITTEES, GENERALLY
4100.1 An exploratory committee is a person, or group of persons, organized for the purpose of examining or exploring, with the consent of the prospective candidate, the feasibility of a qualified individual becoming a candidate for an elective office in the District of Columbia.
4100.2 An exploratory committee may include, but not be limited to, the following:
(a) Draft Committees; and
(b) “Testing the Waters” Committees.
4100.3 Each exploratory committee shall include in its name the name of the prospective candidate and the office sought.
4100.4 Exploratory committee activity to determine whether an individual should become a candidate may include, but not be limited to, the following:
(a) Public opinion polling;
(b) Travel;
(c) Telephone calls;
(d) Media expenses;
(e) Office space; and
(f) Administrative costs.
4101 DESIGNATION OF AN EXPLORATORY COMMITTEE AS A PRINCIPAL CAMPAIGN COMMITTEE
4101.1 In the event that an individual on whose behalf an exploratory committee was organized becomes a candidate, that exploratory committee may be designated as that candidate’s principal campaign committee, pursuant to § 3005 of Chapter 30 of this title.
4101.2 If an exploratory committee is designated as a principal campaign committee:
(a) All funds previously raised and spent by the exploratory committee shall be reported as contributions and expenditures, pursuant to § 3008 of Chapter 30 of this title;
(b) The exploratory committee shall account for all financial transactions including, but not limited to, contributions, expenditures, and loans, retroactive to the formation of the exploratory committee as defined in Chapter 99 of this title; and
(c) The exploratory committee shall:
(1) Determine whether persons making contributions previously received by or on behalf of the candidate or by the principal campaign committee before designation may have exceeded the relevant limits, pursuant to § 3011 of Chapter 30 of this title; and
(2) Refund any contributions to donors who may have exceeded the contribution limitations by no later than 30 days after such determination is made.
4101.3 To ascertain individual donor compliance with the contribution limitations, contributions to an exploratory committee, or to a pre-designated principal campaign committee, shall be attributed in aggregate by donor name.
4102 ORGANIZATION OF EXPLORATORY COMMITTEES
4102.1 An exploratory committee shall be deemed "organized" when any person, or group of persons, formally agree, orally or in writing, and with the consent of the prospective candidate, to examine or explore the feasibility of becoming a candidate for an elective office in the District of Columbia.
4102.2 Each exploratory committee shall file a Statement of Organization form, prescribed by the Director of the Office of Campaign Finance (the Director) (OCF), within ten (10) days of organization.
4102.3 An exploratory committee shall amend its Statement of Organization within ten (10) days of any change in the information previously reported on its Statement of Organization.
4102.4 If an exploratory committee that has filed at least one (1) Statement of Organization disbands or determines that it will no longer receive contributions or make expenditures during a calendar year, it must so notify the Director immediately and file a final Report of Receipts & Expenditures (R&E Report).
4102.5 An exploratory committee shall have a chairperson and a treasurer, and may elect to list a designated agent, in the Statement of Organization filed pursuant to § 4102.2.
4102.6 No person may simultaneously serve as the chairperson and treasurer of an exploratory committee.
4102.7 A chairperson shall be required to file a Statement of Acceptance of Position of Chairperson form with the Director within five (5) days of assuming the office.
4102.8 A chairperson shall be required to file a Statement of Withdrawal of Position of Chairperson form with the Director within five (5) days of vacating the office.
4102.9 A treasurer shall be required to file a Statement of Acceptance of Position of Treasurer form with the Director within forty-eight (48) hours of assuming the office.
4102.10 A treasurer shall be required to appear in person at the Office of Campaign Finance to attend a training program pursuant to § 3001 of Chapter 30 within fifteen (15) days of submitting the Statement of Acceptance of Treasurer form in accordance with § 4102.9.
4102.11 A treasurer shall be required to file a Statement of Withdrawal of Position of Treasurer form with the Director within forty-eight (48) hours of vacating the office.
4102.12 When either the office of chairperson or treasurer is vacant, the exploratory committee shall:
(a) Designate a successor chairperson or treasurer within five (5) days of the vacancy; and
(b) Amend its Statement of Organization within ten (10) days of the designation of the successor; provided, that the successor officer agrees to accept the position.
4102.13 The treasurer of an exploratory committee shall obtain and preserve receipted bills and records in accordance with § 3400.2 of Chapter 34 of this title.
4102.14 An exploratory committee shall neither accept a contribution nor make an expenditure while the office of treasurer is vacant, and no other person has been designated and agreed to perform the functions of treasurer.
4102.15 Each expenditure made for, or on behalf of, an exploratory committee shall be authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agent, as listed on the Statement of Organization filed under § 4102.2.
4102.16 No expenditures may be made by an exploratory committee except by check drawn payable to the person to whom the expenditure is being made on the account at a bank designated by the exploratory committee as its depository in its Statement of Organization.
4102.17 A detailed account of each contribution or expenditure of fifty ($50) or more for or on behalf of an exploratory committee shall be submitted to the treasurer of such committee within five (5) days of the receipt of the contribution or the making of the expenditure upon the treasurer’s demand.
4102.18The detailed account submitted pursuant to § 4102.16 shall include:
(a) The amount of the contribution or expenditure;
(b) The name and address (including the occupation and principal place of business, if any) of the contributor or the person (including the business entity) to whom the expenditure was made;
(c) The date of the contribution; and
(d) In the case of an expenditure, the office sought by the candidate on whose behalf the expenditure was made, if applicable.
4102.19 All funds of an exploratory committee shall be segregated from, and may not be commingled with, anyone’s personal funds.
4102.20 Each exploratory committee accepting contributions or making expenditures shall:
(a) Designate one or more national banks located in the District of Columbia as the committee’s depository or depositories;
(b) Maintain a checking account or accounts at such depository or depositories; and
(c) Deposit any contribution received by the committee into that account or accounts.
4103 FILING AND REPORTING REQUIREMENTS
4103.1 The treasurer of each exploratory committee must file Reports of Receipts and Expenditures (R&E Reports) on forms prescribed by the Director on the following dates:
(a) The 10th day of March, June, August, October, and December in the 7 months preceding the date on which, and in each year during which, an election is held for the office sought, and on the 8th day next preceding the date on which said election is held, and also by the 31st day of January of each year. In addition, the reports shall be filed on the 31st day of July of each year in which there is no election.
(b) The reports shall be complete as of the date prescribed by the Director, which shall not be more than 5 days before the date of filing, except that any contribution of $200 or more received after the closing date prescribed by the Director for the last report required to be filed before the election shall be reported within 24 hours after its receipt.
4103.2 The treasurer (or, if the treasurer is unavailable, the designated agent as listed on the Statement of Organization filed under § 4102.2) shall electronically verify with respect to each R&E Report by oath or affirmation, subject to penalties of perjury, that reasonable due diligence was exercised in the preparation of the report, and that the report is true and complete to the best of the filer’s knowledge.
4103.3 R&E reports required by this section must be filed in accordance with § 3017 of Chapter 30 of this title.
4103.4 R&E Reports must disclose:
(a) The amount of cash on hand at the beginning of the reporting period;
(b) The full name and mailing address, including occupation and principal place of business, if any, of each person who has made one or more contributions to or for the exploratory committee, including the purchase of tickets for events such as dinners, luncheons, rallies, and similar fundraising events, within the calendar year in an aggregate amount or value in excess of fifty dollars ($50) or more, together with the amount and date of the contributions;
(c) The name and address of any affiliated entity of each business contributor which made a contribution to the committee;
(d) The total sum of individual contributions made to or for the exploratory committee during the reporting period;
(e) Each loan to or from any person within the calendar year in an aggregate amount or value of fifty dollars ($50) or more, together with the full names and mailing addresses (including the occupation and the principal place of business, if any) of the lender and endorsers, if any, and the date and amount of the loans;
(f) The net amount of proceeds from:
(1) The sale of tickets to each dinner, luncheon, rally, and other fundraising events organized by the exploratory committee;
(2) Collections made at events; and
(3) Sales by an exploratory committee of items such as political campaign pins, buttons, badges, flags, emblems, hats, banners, literature, and similar materials;
(g) Each contribution, rebate, refund, or other receipt of fifty dollars ($50) or more not otherwise listed under paragraphs (b) through (e) of this subsection;
(h) The total sum of all receipts by or for the exploratory committee during the reporting period;
(i) The full name and mailing address, including the occupation and the principal place of business, if any, of each person to whom expenditures have been made by or on behalf of the exploratory committee within the calendar year in an aggregate amount or value of ten dollars ($10) or more;
(j) The amount, date, and purpose of each expenditure;
(k) The total sum of expenditures made by the exploratory committee during the calendar year;
(l) The amount and nature of debts and obligations owed by or to the exploratory committee, listed in such form as the Director of Campaign Finance may prescribe; and
(m) Other information as may be required by the Director of Campaign Finance.
4103.5 R&E Reports must be complete within five (5) days before the prescribed filing deadline.
4104 PETTY CASH FUNDS
4104.1 An exploratory committee may maintain a Petty Cash Fund, which shall not exceed three hundred dollars ($300) at any time.
4104.2 All records and transactions shall be recorded in a petty cash journal maintained and authorized by either:
(a) The chairperson;
(b) The treasurer; or
(c) Their designated agents, as listed on the Statement of Organization filed under § 4102.2.
4104.3 Petty cash funds shall be administered in the following manner:
(a) Cash shall only be received by check drawn on the account of the exploratory committee;
(b) Cash expenditures shall not exceed fifty dollars ($50) to any person in connection with a single purchase or transaction; and
(c) All transactions shall be recorded in the petty cash journal.
4104.4 For each deposit to the petty cash fund, the amount and date shall be recorded in the petty cash journal.
4104.5 For each disbursement, the petty cash journal shall include:
(a) The name and address of each recipient;
(b) The date of the disbursement;
(c) The amount of the disbursement;
(d) The purpose of the disbursement; and
(e) The candidate’s name and the office sought, or the name of the exploratory committee for which the disbursement is made.
4104.6 All receipts, vouchers, petty cash journals, and other documentation shall be retained by the exploratory committee for a period of three (3) years from the date of the filing of the final R&E Report by the exploratory committee.
4105 EXPLORATORY COMMITTEE CONTRIBUTION LIMITATIONS
4105.1 Contributions in support of an exploratory committee shall be received or made in accordance with § 3009 of Chapter 30 of this title, except that individual and aggregate contributions shall be limited for the following exploratory committees to the amounts specified:
(a) Mayor - $2,000 individual, and $200,000 aggregate;
(b) Chairman of the Council - $1,500 individual, and $150,000 aggregate;
(c) At-large Member of the Council - $1,000 individual, and $100,000 aggregate;
(d) Ward Member of the Council or At-large Member of the State Board of Education - $500 individual, and $50,000 aggregate; and
(e) Member of the State Board of Education - $200 individual, and $20,000 aggregate.
4106 LIMITATIONS ON THE USE OF EXPLORATORY COMMITTEE FUNDS
4106.1 Exploratory committee funds shall be used solely for the purpose of financing, directly or indirectly, an examination of the feasibility of becoming a candidate for an elective office in the District of Columbia.
4106.2 The provisions of § 3013 of Chapter 30 of this title, concerning impermissible uses of campaign funds, shall apply to exploratory committees unless the expenditures stated therein are solely related to exploratory activities.
4107 DURATION OF EXPLORATORY COMMITTEES
4107.1 The life of an exploratory committee for any office shall not exceed eighteen (18) months.
4107.2 When the duration of an exploratory committee reaches eighteen (18) months, one of the following acts shall occur:
(a) The exploratory committee shall terminate; or
(b) The named individual who is the prospective candidate of the exploratory committee shall become a candidate in accordance with § 3001 of Chapter 30 of this title.
4107.3 When the named individual of an exploratory committee becomes a candidate, the individual must:
(a) File a Statement of Candidacy Form and declare their candidacy, pursuant to § 3002 of Chapter 30 of this title;
(b) Form a principal campaign committee, pursuant to § 4101; and
(c) Apply all contributions received during the life of the exploratory committee to the campaign contribution limitations for the specific candidate, pursuant to § 3011 of Chapter 30 of this title.
4107.4 When terminating, exploratory committees shall adhere to the applicable provisions of § 3016 of Chapter 30 of this title.
4108 USE OF SURPLUS FUNDS
4108.1 Any remaining funds of an exploratory committee shall be transferred only to either:
(a) An established principal campaign or political committee; or
(b) A charitable organization that meets the requirements of tax laws of the District of Columbia.
4108.2 All contributions and fund balances of any exploratory committee shall not be deemed the personal funds of any individual, including the prospective candidate of the exploratory committee.
4109 PENALTIES
4109.1 Penalties for any violation of this chapter shall be imposed pursuant to § 3711.2 of Chapter 37 of this title.
All persons desiring to comment on the subject matter of this rulemaking should file written comments by no later than thirty (30) days after the date of publication of this notice in the D.C. Register. Comments should be filed with the Office of the General Counsel, Board of Elections, 441 4th Street, N.W., Suite 270N, Washington, D.C. 20001. Please direct any questions or concerns to the Office of the General Counsel at 202-727-2194 or ogc@dcboee.org. Copies of the proposed rules may be obtained at cost from the above address, Monday through Friday, between the hours of 9:00 a.m. and 4:00 p.m.
Document Information
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