INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
FEDERAL ELECTION COMMISSION
Report of Receipts and Disbursements for Other than an Authorized Committee (FEC FORM 3X)
(Filed by party committees and political action committees (PACs)) Use FEC FORM 3X to file your report. Listed below are the summary pages and schedules of FEC FORM 3X, with an explanation of what each discloses. FEC FORM 3X: Page 1, Report of Receipts and Disbursements Identifies the committee, the type of report and the reporting period. FEC FORM 3X: Page 2, Summary Page Identifies the committee; discloses the committee's total receipts and disbursements for the reporting period and the calendar year to date. FEC FORM 3X: Pages 3 5, Detailed Summary Page Summarizes receipts and disbursements by type of activity; shows reporting period and calendar year to date totals for each type of activity. FEC FORM 3X: Schedules A: Provides detailed information for each receipt that is required to be itemized. Use a separate Schedule A to support each Line number that appears on the Detailed Summary Page. B: Provides detailed information for each disbursement that is required to be itemized. Use a separate Schedule B to support each Line number that appears on the Detailed Summary Page. C: Shows all loans, endorsements and loan guarantees the committee receives or makes. C-1: Shows all loans and lines of credit made by lending institutions to the committee. D: Shows debts and obligations owed to or by the committee that are required to be disclosed.
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E: Shows all independent expenditures made during the reporting period. Schedule may also be used to separately disclose last-minute independent expenditures of $1,000 or more made between the 20th day and 24 hours before the date of an election. F: Shows all coordinated party expenditures. (Used by party committees only.) H1: Shows method of allocation for allocated federal and nonfederal administrative expenses, exempt activity costs and generic voter drive costs, allocated federal/Levin fund "federal election activity" expenses (for State, district and local party committees only) and allocated public communications that refer only to a party (for PACs only). H2: Shows allocation ratios for other allocated federal and nonfederal activity, including individual fundraising events and direct candidate support appearing on the report. H3: Shows transfers from nonfederal accounts to federal accounts for the purpose of paying allocable expenses. H4: Shows disbursements for allocated federal and nonfederal activity. H5: Shows transfers of Levin funds for allocable federal election activity. H6: Shows disbursements of federal and Levin funds for allocable federal election activity. L: Aggregation page for showing receipt and disbursement of Levin funds. L-A: Memo schedule for itemizing receipts of Levin funds. L-B: Memo schedule for itemizing disbursements of Levin funds. Illegible and Non-FEC Forms Illegible reports and reports submitted on non-FEC forms are not acceptable and must be refiled.
Electronic Filing Political committees must file reports in an electronic format under 11 CFR 104.18 if they either receive contributions or make expenditures in excess of $50,000 during the calendar year, or if they have reason to expect that they will exceed either of those thresholds. If the committee has reached this level of activity, DO NOT FILE THIS FORM ON PAPER. Instead, you must file this form in an electronic format. See the instructions for more information on filing electronically. Computerized Format FEC FORM 3X may be filed by paper filers in a computerized format, but the Commission must approve the computerized format before the report is filed. Submit sample formats to the Reports Analysis Division. Faxing Forms Most reports may not be filed by FAX because original signatures are required. Other Forms and Their Uses The forms listed below are also available. When ordering, please order by form number. FEC FORM 1: Statement of Organization Used by all political committees to register under the federal election law. FEC FORM 1M: Notification of Multicandidate Status Used by PACs and party committees to notify the Commission of their status as a multicandidate committee.
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FEC FORM 7: Report of Communications Costs by Corporations and Membership Organizations Used by corporations and labor organizations to disclose internal partisan communication costs that exceed $2,000 for an election. FEC FORM 8: Debt Settlement Plan Used by terminating committees to disclose the terms of debt settlements. These Forms may be duplicated. To obtain additional forms, call the Information Division at 1800/424-9530 or 202/694-1100 or visit the FEC's Web site at www. fec.gov.
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INSTRUCTIONS FOR SUMMARY PAGE (FEC FORM 3X, PAGES 12)
Who Must File Any political committee which is not an authorized committee is required to file periodic Reports of Receipts and Disbursements on FEC FORM 3X. Note: Political committees must file reports in an electronic format under 11 CFR 104.18 if they have either received contributions or made expenditures in excess of $50,000, or if they have reason to expect that they will exceed either of those thresholds during the calendar year. If the committee has reached this level of activity, DO NOT FILE THIS FORM ON PAPER. Instead, you must file this form in an electronic format. A political committee is considered to have reason to expect it will exceed the electronic filing threshold for the next two calendar years after the calendar year in which it exceeds $50,000 in contributions or expenditures. If it is a new committee, it is considered to have reason to expect it will exceed the electronic filing threshold if it exceeds $12,500 in contributions or expenditures during the first calendar quarter of the calendar year, or $25,000 in contributions or expenditures in the first half of the calendar year. Contact the FEC for more information on filing electronically. ALL POLITICAL COMMITTEES AUTHORIZED IN WRITING BY A CANDIDATE FOR THE OFFICE OF PRESIDENT OR VICE PRESIDENT MUST FILE ON FEC FORM 3P. ALL POLITICAL COMMITTEES AUTHORIZED BY A CANDIDATE FOR THE HOUSE OF REPRESENTATIVES OR SENATE MUST FILE ON FEC FORM 3. When to File All political committees required to file on FEC FORM 3X must file either: election and non-election year reports as specified in (A) below; or monthly reports as specified in (B) below.
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Note: State, district and local committees of political parties that are political committees under the Act must disclose receipts and disbursements for Federal election activity. If the committee's aggregate amount of such receipts and disbursement is less than $5,000 in a calendar year, it must report only receipts and disbursements of Federal funds for Federal election activity. If the aggregate amount of such receipts and disbursements during the calendar year equals or exceeds $5,000, the committee must report all receipts and disbursements for Federal election activity. 2 U.S.C. §434(e)(2). The reporting periods for political party committees disclosing receipts and disbursements for Federal election activity are monthly, except for pre-general and post-general election reports. 2 U.S.C. §434(e)(4) (citing 2 U.S.C. §434(a)(4)(B)). Otherwise, political committees that are State, district and local committees of political parties must file quarterly and pre- and post-election reports in election years and semi-annual reports in non-election years for their other activity. 2 U.S.C. §434(a). (A) Election Year and NonElection Year Reports In any calendar year in which there is a "regular" November general election, the following reports are required: ·Quarterly reports must be filed no later than April 15, July 15, October 15 and January 31 of the following calendar year. Each such report must disclose all transactions from the last report filed through the last day of the calendar quarter. A quarterly report is not required to be filed if a Pre-Election report is required to be filed during the period beginning on the 5th day and ending on the 15th day after the close of the calendar quarter. ·Pre-Election reports must be filed no later than the 12th day before any primary or general election in which the committee supports (i.e., makes contributions to or expenditures on behalf of) or opposes a candidate and must include all transactions
from the closing date of the last report filed through the 20th day before the election. A 12-Day Pre-Election Report sent by certified or registered mail must be mailed no later than the 15th day before the election. A Pre-Primary election report is not required where the contribution(s) or expenditure(s) has been disclosed on a previous report. ·All committees must file a 30-Day Post-General Election Report. A 30Day Post-General Election Report must be filed no later than 30-Days after the general election and include all transactions from the closing date of the last report filed through the 20th day after the general election. In any other calendar year, the following reports are required: ·A Mid Year Report must be filed no later than July 31 and include transactions beginning January 1 and ending June 30. ·A Year End Report must be filed no later than January 31 of the following calendar year and include transactions beginning July 1 and ending December 31. (B) Monthly Reports Monthly reports must be filed no later than 20 days after the last day of the month and must disclose all transactions from the last report filed through the last day of the month. In lieu of the monthly reports due in November and December for a year in which there is a "regular" November general election, a 12-Day Pre-General election report must be filed including all transactions from the closing date of the last report filed through the 20th day before the election and a 30Day Post-General election report must be filed including all transactions from the closing date of the Pre-Election report through the 20th day after the general election. A Year End Report must be filed no later than January 31 of the following calendar year and include transactions from the closing date of the Post-General Election Report through the last day of the calendar year. Except for State, district and local party committees required to file monthly under 11 CFR 300.36(c)(1)
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(see above) and national party committees required to file monthly under 11 CFR 104.5(c)(4), a political committee may elect to change the frequency of its reporting from quarterly and semi-annually under (A) to monthly under (B) or vice versa. A committee may change its filing frequency only after notifying the Commission in writing of its intention at the time it files a required report under its current filing frequency. The committee will then be required to file the next required report under its new filing frequency. A committee may change its filing frequency no more than once per calendar year. A document is timely filed upon delivery to the appropriate office (see "Where To File") by the close of the prescribed filing date or upon deposit as registered or certified mail in an established U.S. Post Office and postmarked no later than midnight of the day the report is due, except that Pre-Election Reports so mailed must be postmarked no later than midnight of the 15th day before the date of the election. Reports and statements sent by first class mail must be received by the appropriate office by the close of business of the prescribed filing date to be timely filed. Reports filed electronically are timely filed if the report is received and validated by the Commission's computer system on or before 11:59 p.m. Eastern Standard/Daylight Savings time on the prescribed filing date. Where to File An original and any amendments to an original report must be filed as follows: ·Committees which support or oppose only a candidate(s) for the Senate must file with the Secretary of the Senate, Office of Public Records, 232 Hart Senate Office Building, Washington, D.C. 20510-7116. Mail addressed to the Secretary of the Senate should read: "Office of Public Records, P.O. Box 5109, Alexandria, VA 223010109." ·All other committees must file with the Federal Election Commission,
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999 E Street, N.W., Washington, D.C. 20463. Political committees filing FEC FORM 3X must file with the appropriate officer in Guam and Puerto Rico a copy of that portion of the report applicable to candidates seeking election in those territories (as of March 2006, those territories had not qualified for the Commission's state filing waiver program). Report Preparation ·A political committee may use any recordkeeping or accounting system which will enable it to comply with the Act. ·The Commission recommends that the political committee keep a recordkeeping or accounting system that keeps a separate accounting for each of the various categories of receipts and disbursements on pages 3, 4 and 5 (Detailed Summary Page). This separate accounting will help the political committee fill out the reporting forms, since separate reporting schedules are required for each category. ·The reporting schedules should be filled out so that totals can be derived for each category. ·The total figures should be carried forward to pages 3, 4 and 5 (Detailed Summary Page) and then (where appropriate) from the Detailed Summary Page to page 2 (Summary Page). ·Pages 3, 4 and 5 (Detailed Summary Page) should be filled out before completing page 2 (Summary Page). Treasurer's Responsibilities A copy of this Report must be preserved by the treasurer of the political committee for a period of not less than three years from the date of filing. The treasurer of the political committee is personally responsible for the timely and complete filing of the report and the accuracy of any information contained in it.
Line-by-Line Instructions for Page 2 (Summary Page) LINE 1. Enter the complete name and mailing address of your committee. LINE 2. Enter the FEC Identification Number assigned to the committee. LINE 3. If this is an original report, check the "NEW" box. If this is an amendment to a previous report, check the "AMENDED" box. LINE 4. Check the appropriate box for "Type of Report". If the report is a 12-Day Pre-Election or 30-Day Post-General election report, supply the type of election (primary, general, convention, special or run-off), the date of the election, and the State in which the election is held. LINE 5. Enter the coverage dates for this report. All activity from the ending coverage date of the last report filed must be included. LINE 6(a). Enter the total amount of cash on hand at the beginning of the calendar year. The term "cash on hand" includes: currency; balance on deposit in banks, savings and loan institutions, and other depository institutions; traveler's checks owned by the committee; certificates of deposit, treasury bills and other committee investments valued at cost. LINE 6(b). Enter the total amount of cash on hand at the beginning of the reporting period. LINE 6(c). Transfer the amounts from Column A and Column B of Line 19 to the corresponding Columns on Line 6(c). LINE 6(d). Add Lines 6(b) and 6(c) to derive the figure for Column A, and add Lines 6(a) and 6(c) to derive the figure for Column B. LINE 7. Transfer the amounts from Column A and Column B of Line 31 to the corresponding Columns on Line 7. LINE 8. For both Column A and Column B subtract Line 7 from Line
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6(d) to derive the figure (which should be the same for both columns) for cash on hand at the close of the reporting period of Line 8. LINE 9. Transfer the total amount of debts and obligations owed TO the committee from Schedule C or D. LINE 10. Transfer the total amount of debts and obligations owed BY the committee from Schedule C or D. Multicandidate Committee Status Check box if the political committee has qualified as a "multicandidate committee" and has filed FORM 1M. A committee qualifies as a "multicandidate committee" when it: (i) has been registered with the Commission or Secretary of the Senate for at least six months; (ii) has received contributions for federal elections from more than 50 persons; and (iii) (except for any State political party organization) has made contributions to five or more federal candidates; or satisfies requirements (i)-(iii) by affiliation with another committee.
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR DETAILED SUMMARY PAGE (FEC FORM 3X, PAGES 3, 4 AND 5)
A political committee must report the total amount of receipts and disbursements during the reporting period and during the calendar year for each category of receipts and disbursements on FEC FORM 3X. The committee's full name and the coverage dates of the report must be entered in the appropriate blocks. If there are no receipts or disbursements for a particular category for a reporting period or calendar year, enter "0". To derive the "Calendar Year-toDate" figure for each category, the political committee should add the "Calendar Year-to-Date" total from the previous report to the "Total This Period" from Column A for the current report. For the first report filed for a calendar year, the "Calendar Year-to-Date" figure is equal to the "Total This Period" figure. LINE 11(a)(i). Itemized Contributions from Individuals/Persons Other Than Political Committees. Enter the total amount of contributions (other than loans) from individuals, partnerships, and other persons who are not political committees that are required to be itemized on Schedule A. For each such person who has made one or more contributions during the calendar year aggregating in excess of $200, the committee must itemize on Schedule A and provide the identification (full name, mailing address, occupation and name of employer) of the person, date and amount of each contribution aggregating in excess of $200 and the aggregate year-to-date total. LINE 11(a)(ii). Unitemized Contributions from Individuals/Persons Other Than Political Committees. Enter the total amount of all contributions from individuals/persons other than political committees not required to be itemized on Schedule A.
LINE 11(a)(iii). Total Contributions from Individuals/Persons Other Than Political Committees. Add Lines 11(a)(i) and 11(a)(ii) to derive the figure for Column A. For the Column B figure, see above instructions on how to calculate the Calendar Year-toDate figure. LINE 11(b). Contributions from Political Party Committees. For political committees (other than political party committees), enter the total amount of contributions (other than loans) from political party committees on Line 11(b). These contributions must be itemized on Schedule A, regardless of the amount. For each contribution, provide the identification (full name and address) of the committee, date and amount of the contribution and the aggregate year-to-date total. Political party committees should use Line 12. LINE 11(c). Contributions from Other Political Committees (such as PACs). Enter the total amount of contributions (other than loans) from other political committees on Line 11(c). These contributions must be itemized on Schedule A, regardless of the amount. For each contribution, provide the identification (full name and address) of the committee, date and amount of the contribution and the aggregate year-to-date total. Do not abbreviate committee names. LINE 11(d). Total Contributions. For both Column A and Column B add Lines 11(a)(iii), 11(b) and 11(c) to derive the figures for Line 11(d). LINE 12. Transfers from Affiliated/ Other Party Committees. Political party committees must enter the total amount of transfers from other party committees on Line 12. All other political committees must enter the total amount of transfers from other affiliated committees on Line 12. (See also 11 CFR 102.5 and 102.6.) Loans and loan repayments received from other political party committees or affiliated committees (as appropriate) must be included on Line 12, and not on Line 13. These transfers must be
itemized on Schedule A, regardless of the amount. For each transfer provide the identification (full name and mailing address) of the committee, date and amount of the transfer and the aggregate year-to-date total. LINE 13. All Loans Received. Enter the total amount of loans received (other than loans from affiliated/other party committees) on Line 13. All loans received by the committee must be itemized on Schedule A, regardless of the amount. For each loan, provide the identification (full name, mailing address and, where applicable, occupation and name of employer) of the person making the loan, date and amount of the loan and the aggregate year-to-date total. The committee must also provide on Schedule C the identification of any endorser or guarantor and the amount of the endorsement or guarantee. (See also instructions for Schedule C.) LINE 14. Loan Repayments Received. Enter the total amount of loan repayments received (other than loan repayments from affiliated/other party committees) on Line 14. All loan repayments received by the committee must be itemized on Schedule A, regardless of the amount. For each loan repayment, provide the identification of the person making the loan repayment, date and amount of the loan repayment and the aggregate year-to-date total. LINE 15. Offsets to Operating Expenditures. Enter the total amount of offsets to operating expenditures (including refunds, rebates, and returns of deposits) on Line 15. For each person who provides rebates, refunds and other offsets to operating expenditures aggregating in excess of $200 for the calendar year, the committee must provide on Schedule A the identification of the person, date and amount of each receipt aggregating in excess of $200 and the aggregate year-to-date total.
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LINE 16. Refunds of Contributions Made to Federal Candidates and Other Political Committees. Enter the total amount of refunds of contributions made to federal candidates and other political committees on Line 16. If the original check was passed through the account of the recipient committee and a check for the refund is written on the recipient committee's account, the refund must be itemized as a receipt on Schedule A, regardless of the amount, and the amount of the refund must be included in the total figure for Line 16. For each contribution refund received, provide the full name and address of the federal candidate or political committee, date and amount of the refund and the aggregate year-to-date total. DO NOT use this Line if the original check is returned uncashed. The return must be reported as a negative entry on Schedule B and subtracted from the total amount for Line 23. LINE 17. Other Federal Receipts. Enter the total amount of other receipts (including dividends and interest) on Line 17. For each person who provides any dividends, interest or other receipts aggregating in excess of $200 for the calendar year, the committee must provide on Schedule A the identification of the person, the date and amount of each receipt aggregating in excess of $200 and the aggregate year-to-date total. LINE 18(a). Transfers from Nonfederal Account for Allocated Activity. Enter the total of any transfers from nonfederal accounts to the federal account or a separate allocation account in order to pay for allocated federal/ nonfederal activity. Only committees with separate federal and nonfederal accounts who undertake allocated activity affecting both types of campaigns may make transfers among these accounts. The total transfers for this period come from the last page of Schedule H3 which itemizes any such transfers made for allocated activity. See the instructions for Schedule H3 for more information.
LINE 18(b). Transfers from Levin Funds. Enter the total of any transfers from Levin funds brought to the federal account or a separate allocation account in order to pay for allocated federal/Levin "federal election activity." Only committees with separate federal and Levin funds who undertake allocated federal election activity should report transfers from Levin funds or accounts. The total transfers for this period come from the last page of Schedule H5 which itemizes any such transfers made for allocated activity. LINE 18(c). Total Transfers. For both Column A and Column B add Lines 18(a) and 18(b) to derive the figures for Line 18(c). LINE 19. Total Receipts. For both Column A and Column B add the totals on Lines 11(d), 12, 13, 14, 15, 16, 17, and 18(c) to derive the figures for Line 19. LINE 20. Total Federal Receipts. This Line represents the difference between total receipts reported on Line 19 and the sum of any transfers into the federal account by nonfederal account(s) for allocated activity or from Levin funds for allocated federal election activity. The value is equal to Line 19 minus Line 18(c). LINE 21. Note: Line 21(a) is required only for those committees undertaking activity which is allocated among federal and nonfederal accounts. Committees with no nonfederal accounts, or who do not undertake activities which are allocated among federal and nonfederal accounts complete only Lines 21(b) and (c). All operating expenses for those purely federal committees must be included on Line 21(b). Operating Expenditures: Enter the total amount of operating expenditures and allocated federal/nonfederal activity on the appropriate Line under Line 21. Examples of operating expenditures are: travel, rent and telephones. Committees report only those operating expenditures paid for from committee funds.
LINE 21(a). Allocated Federal/Nonfederal Activity. Enter the federal portion of all operating expenses for allocated federal and nonfederal activity on Line 21(a)(i). This is equal to the federal share value from the bottom of the last page of Schedule H4 for this period. These allocated activities including allocated disbursements for administrative expenses, generic voter drives, fundraising expenses and direct candidate support must be itemized on Schedule H4 regardless of amount. Separate segregated funds and nonconnected committees must also include allocated disbursements for public communications that refer only to a party, while party committees must include disbursements for allocable exempt activity. Line 21(a)(ii) contains the sum of the nonfederal share of operating expenses for allocated federal and nonfederal activity. This value also is brought forward from the last page of Schedule H4 for this period. See the instructions for Schedule H4 for more information. LINE 21(b). Other Federal Operating Expenditures. Enter on Line 21(b) the sum of all other federal operating expenditures, including those itemized on Schedule B as well as any unitemized federal operating expenditures. Separate segregated funds and nonconnected committees must report disbursements for public communications and voter drives that refer to federal candidates (but not nonfederal candidates), or refer to federal candidates and a party (but not nonfederal candidates), on Line 21(b) or Line 23, as appropriate. See the instructions for Schedule B for more information. For each person who receives payments for other federal operating expenditures aggregating in excess of $200 for the calendar year, the committee must provide on Schedule B the full name and mailing address, date and amount of the expenditure.
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LINE 21(c). Total Operating Expenditures. Enter the total of the amounts listed on Lines 21(a)(i), 21(a)(ii) and 21(b). LINE 22. Transfers to Affiliated/ Other Party Committees. Political party committees must enter the total amount of transfers to all other political party committees on Line 22. All other political committees must enter the total amount of transfers to other affiliated committees on Line 22. Loans and loan repayments made to other political party committees or affiliated committees (as appropriate) must be included on Line 22, not on Line 26 or 27. These transfers must be itemized on Schedule B, regardless of the amount. For each transfer, provide the full name and mailing address of the recipient committee, date, amount and state that the purpose of the disbursement is a "transfer." LINE 23. Contributions to Federal Candidates/Committees and Other Political Committees. Enter the total amount of contributions to federal candidates and other federally-registered political committees on Line 23, including any in-kind contributions made. These contributions must be itemized on Schedule B, regardless of the amount. DO NOT include transfers reported on Line 22 on this Line. Do not enter contributions made to nonfederal candidates or committees on this Line, but on Line 29. For each contribution to a federal candidate or political committee, provide the full name and address of the political committee or candidate, date and amount of the contribution and, in the case of a candidate or authorized committee, the office sought by the candidate. (Include State and congressional district, where applicable.) LINE 24. Independent Expenditures. Enter the total amount of independent expenditures on Line 24. (See also the instructions for Schedule E.)
LINE 25. Coordinated Party Expenditures. For political party committees, enter the total amount of coordinated party expenditures made by the committee pursuant to 2 U.S.C. §441a(d) on Line 25. Note: Political committees which are not political party committees may not make coordinated party expenditures pursuant to the special allowance at 2 U.S.C. §441a(d). (See also the instructions for Schedule F.) LINE 26. Loan Repayments Made. Enter the total amount of loan repayments made on Line 26. All loan repayments made must be itemized on Schedule B, regardless of the amount. For each person who receives a loan repayment, provide the full name, mailing address, date, amount, and state that the purpose of the disbursement is a "loan repayment." LINE 27. Loans Made. Enter the total amount of loans made (excluding transfers reported on Line 22) on Line 27. For each loan made by the committee provide the full name and mailing address of the person, date and amount of the loan, and state that the purpose of the disbursement is a "loan." LINE 28(a). Refunds of Contributions Made to Individuals/Persons Other Than Political Committees. Enter the total amount of contribution refunds to individuals/persons other than political committees on Line 28(a). For each person who receives a refund of a contribution which was previously itemized on Schedule A, the committee must provide on Schedule B the full name, mailing address, date, amount and state that the purpose of the disbursement is a "contribution refund."
LINE 28(b). Refunds of Contributions to Political Party Committees. Enter the total amount of contribution refunds to political party committees on Line 28(b). All such refunds must be itemized on Schedule B, regardless of the amount. For each contribution refund, provide the full name, mailing address, date, amount and state that the purpose of the disbursement is a "contribution refund." LINE 28(c). Refunds of Contributions to Other Political Committees. Enter the total amount of contribution refunds to other political committees on Line 28(c). (See instructions for Line 28(b) for other reporting requirements.) LINE 28(d). Total Contribution Refunds. For both Column A and Column B add the totals on Lines 28(a), 28(b) and 28(c) to derive the figures for Line 28(d). LINE 29. Other Disbursements. Enter the total amount of other disbursements (including contributions to nonfederal candidates) on Line 29. Separate segregated funds and nonconnected committees that use their federal accounts to pay for any portion of a public communication or voter drive that refers to nonfederal candidates (but not federal candidates) or to nonfederal candidates and a party (but not federal candidates) must enter those disbursements on Line 29. See the instructions for Schedule B for more information. For each such person who receives any disbursement(s) not otherwise disclosed where the aggregate amount or value is in excess of $200, the committee must provide the full name and address of each such person, together with the date, amount and purpose of any such disbursement.
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LINE 30. Federal Election Activity. Only State, district and local party committees making disbursements for federal election activities as defined by 2 U.S.C. §431(20) and 11 CFR 100.24 must enter figures on Line 30. See the instructions for Schedules B, H1, H5 and H6 for more information. Break out such disbursements as follows: LINE 30(a). Allocated Federal Election Activity. Enter the total amount of the federal portion of all such disbursements for allocable federal election activity on Line 30(a)(i). This is equal to the federal share value from the bottom of the last page of Schedule H6 for this period. All such disbursements must be itemized regardless of amount on Schedule H6. Enter the total amount of the Levin share of disbursements for allocable federal election activity on Line 30(a)(ii). (See also the instructions for Schedules H1, H5 and H6 for definitions of "allocable federal election activity" and more information.) Note that if the federal election activity is not allocable under 11 CFR 300.33, or if the party committee chooses to pay for allocable federal election activity completely from its federal account, those payments must instead be reported on Line 30(b) below and itemized as required on Schedule B.) LINE 30(b). Federal Election Activity Paid Entirely With Federal Funds. Enter the total amount of all disbursements made for public communications that qualify as federal election activity under 11 CFR 100.24(b)(3) and the total amount of all disbursements made to pay the salary of any employee of a State, district or local party committee who spends over 25% of his or her compensated time in a given month on federal election activities or on activities in connection with a federal election. See 11 CFR 100.24(b)(4). Itemize all such disbursements of $200 or more on Schedule B for Line 30(b). (See also the instructions for Schedule B.)
LINE 30(c). Total Federal Election Activity. For Column A and Column B, add the totals on Lines 30(a)(i), 30(a)(ii) and 30(b) to derive the figures for Line 30(c). LINE 31. Total Disbursements. For Column A and Column B add the totals on Lines 21(c), 22, 23, 24, 25, 26, 27, 28(d), 29 and 30(c) to derive the figures for Line 31. LINE 32. Total Federal Disbursements. Subtract from Line 31 (total disbursements) the total nonfederal share of disbursements from Line 21(a)(ii) and the total Levin share of disbursements from Line 30(a)(ii). LINES 33-38. Enter the figures requested and complete the calculations as noted.
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE A, ITEMIZED RECEIPTS (FEC FORM 3X)
The Detailed Summary Page is broken down into various categories of receipts. Use Schedule A to list each receipt required to be itemized. DO NOT combine more than one category of receipts on the same Schedule A. Instead, use a separate Schedule A for each category of receipts. The Line number of the Detailed Summary Page to which each Schedule A pertains should be identified in the upper right corner of each Schedule. In addition, the committee's full name must be entered in the appropriate block. For each receipt required to be itemized during the reporting period, the political committee must provide the identification, date and amount of the receipt, and the aggregate year-to-date total. If disclosing a contribution from a federal political committee, the committee should enter the committee's FEC identification number. (This number is readily available from the Commission's Web site or its Public Disclosure Division.) The term "identification" means, in the case of an individual, his or her full name, including: first name, middle name or initial, if available, and last name; mailing address; occupation; and the name of his or her employer; and, in the case of any other person, the person's full name and address. Do not abbreviate committee names. The occupation and name of employer is only required to be provided for receipts from individuals. "Occupation" means the principal job title or position of an individual and whether or not self-employed. "Employer" means the organization or person by whom an individual is employed, and not the name of his or her supervisor. The "receipt for" block does not apply to contributions received by political committees. Only use these blocks for receipts relating to refunds or loan repayments received from federal candidates. The "aggregate year-to-date" total must be given for each receipt and must equal the total amount that
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the person has given to the committee for that particular category of receipts for the calendar year. If a receipt is the only receipt from a person during the calendar year, the aggregate year-todate total must still be entered. Add the "Total This Period" amount (the last Line on Schedule A) to all other receipts for that category which are not itemized and carry it forward to Column A of the corresponding Line of the Detailed Summary Page. If a contribution is received from a business entity or is drawn on what is or appears to be a business account, the political committee must determine that the contribution is not from a corporation, government contractor, or other prohibited source. If the contribution is from a prohibited source, the committee must refund it within thirty days of its receipt. A contribution that appears to be excessive, either on its face or when aggregated with other contributions from the same person, may be reattributed, if either is applicable, or it may be returned or deposited into a committee depository but not used. If deposited, the contributor may be asked if a joint contribution was intended and, if so, to submit a written reattribution of the contribution signed by each contributor. Alternatively, contributions may also be presumptively reattributed to a joint contributor whose name also appears imprinted on the contribution check if the reattribution will not cause the contributor to exceed any contribution limits. If the committee presumptively reattributes the excessive contribution, the committee must notify the contributor of its action, and offer the opportunity to request a refund, within sixty days of its receipt of the original contribution. Written reattributions are to be reported as memo entries on the report covering the period in which the committee receives the reattributions. Indicate how the contribution(s) was reported initially, followed by the reattributed entry(ies). Presumptive reattributions must also be noted as such. See 11 CFR 110.1(k)(3)(ii)(B) for presumptive reattributions, and 11 CFR 104.8 and the Campaign Guide for the reporting of
these types of contributions. Contributions In-Kind. Contributions in-kind (i.e., goods and services provided to a political committee) are treated as any other contribution and must be reported and itemized under the appropriate category of receipts. For example, itemize a contribution in-kind from an individual on Schedule A and report it under the category for "Contributions From Individuals/Persons Other Than Political Committees." Enter the value of each contribution in-kind in the "Amount of Each Receipt This Period" column. The amount or value of the contribution in-kind is the difference between the usual and normal charge for the goods or services at the time of the contribution and the amount charged the political committee. The "aggregate year-to-date" total must include the total amount of all contributions which the person has contributed to the committee during the calendar year. The item must be labeled "contribution in-kind" and include the nature of the contribution (e.g., consulting, polling, etc.). Each contribution in-kind must also be reported in the same manner as an operating expense on Schedule B and included in the total for "Operating Expenditures." (Note: A political committee that makes a contribution in-kind only reports it as a disbursement and itemizes the transaction on Schedule B with a notation "contribution in-kind." The itemization must include the purpose of the expenditure (e.g., consulting, polling, etc.) and the aggregated year-to-date amount. The committee receiving the contribution in-kind must report it as both a receipt and an expenditure.) Report contributions of stocks, bonds, art objects, and other similar items to be liquidated as follows: (1) If the item has not been liquidated at the close of the reporting period, the committee must record as a memo entry (not as cash) on Schedule A the item's fair market value on the date received, including the name and mailing address (and when in excess of $200, the occupation and name of the emFederal Election Commission (Revised 4/2006) 9-00066
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
ployer) of the contributor. Enter the total amount of items to be liquidated under "Total This Period" on the last Line of Schedule A. This amount must NOT be carried forward to the Detailed Summary Page. (2) When the item is sold, the committee must report the proceeds and include them in the appropriate categories on the Detailed Summary Page. It must also report the (i) name and mailing address (and, where in excess of $200, the occupation and name of employer) of the purchaser on Schedule A, if purchased directly from the committee (the purchaser is considered to have made a contribution to the committee); and (ii) the identification of the original contributor on Schedule A. Exempt Legal or Accounting Services. Legal or accounting services rendered to or on behalf of any political committee are not contributions or expenditures and are not, therefore, subject to the contribution limitations and prohibitions, if the person paying for the services is the regular employer of the individual rendering the services and if the services are solely to ensure compliance with the Act. The political committee must itemize as a memo entry on a separate Schedule A each person who provides legal or accounting services to the political committee in an aggregate value or amount in excess of $200 within the calendar year, together with the date of receipt and amount or value of the exempt legal or accounting services, and state that the receipt is for "exempt legal or accounting service." Enter the total amount of exempt legal or accounting services on the Line for "Total This Period" on the bottom of Schedule A, but do not carry it forward to any category or Line number on the Detailed Summary Page. Earmarked Contributions. For each earmarked contribution received (regardless of the amount), the political committee must report on Schedule A the name and address of the original
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contributor, the date of receipt, the amount of the contribution and, if the original contributor makes contributions aggregating in excess of $200 to the political committee during the calendar year, the occupation and name of employer. If the contribution passes through the political committee's account and is forwarded to another political committee or federal candidate, the conduit committee must disclose each contribution, regardless of the amount, on both Schedule A and Schedule B and include the amount under the appropriate category of receipts and disbursements. If the contribution was passed on in the form of the contributor's check, the conduit must disclose each contribution on a separate Schedule A attached to the conduit's (intermediary) next report. The amounts of such contributions are not required to be included in the totals for the appropriate categories of receipts and disbursements. If a political committee is not a conduit, but is the intended recipient, report each conduit through which the earmarked contribution passed, including the name and address of the conduit, and whether the contribution was passed on in cash, by the contributor's check, or by the conduit's check. If the conduit exercises direction and control over the contribution, the earmarked contribution must also be attributed to the contribution limitations of the conduit. Checks Returned Due to Insufficient Funds. If a contributor's check is returned to the political committee due to insufficient funds and the receipt of the check was previously reported, the political committee must report the return under the appropriate category of receipts as a negative entry and net out the amount of the check from the total for that category. If the original receipt of the check was itemized on Schedule A, the return of the check must also be itemized as a negative entry on Schedule A. If the receipt of the check was never reported, do not report the return of the check.
Check Refunded to the Committee. A contribution may be refunded to the committee in one of two ways: (1) The original check is returned uncashed. If the contribution was reported, report the return as a negative entry on Schedule B, and subtract the amount of the contribution refund from the disbursement totals on the Line of the Detailed Summary Page that it was reported on. (2) The original check is not returned and the refund is made by a check from the recipient of the contribution. Such a transaction should be reported as a receipt on Schedule A for the appropriate Line of the Detailed Summary Page. This procedure is applicable regardless of whether the amount refunded is a full or only a partial refund of the contribution or whether the contribution was previously reported. Best Efforts. When the treasurer of a political committee shows that best efforts have been used to obtain, maintain and submit the information required, the committee shall be considered in compliance with the Act. With regard to reporting the identification of each person whose contribution(s) to the committee and its affiliated committees aggregate in excess of $200 in a calendar year, the treasurer will only be deemed to have exercised best efforts to obtain, maintain and report the required information if all written solicitations for contributions include a clear request for the information (i.e., name, mailing address, occupation, name of employer) and include an accurate statement of federal law regarding the collection and reporting of individual contributor identifications. In addition, for each contribution requiring itemization which lacks contributor information, the treasurer must, within 30-Days of receipt of the contribution, make one effort to obtain the missing information. See 11 CFR 104.7 and the Campaign Guide for more information.
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE B, ITEMIZED DISBURSEMENTS (FEC FORM 3X)
The Detailed Summary Page is broken down into various categories of disbursements. Use Schedule B to list each disbursement required to be itemized. DO NOT combine more than one category of disbursements on the same Schedule B. Instead, use a separate Schedule B for each category of disbursements. The Line number of the Detailed Summary Page to which each Schedule B pertains must be identified in the upper right corner of each Schedule. In addition, the committee's full name must be entered in the appropriate block. After itemizing the required disbursements for each separate line number, add the "Total This Period" amount (the last line on Schedule B for that Line number) to all other disbursements for that category which are not itemized and carry the total forward to Column A of the corresponding Line of the Detailed Summary Page. Required Information. For each disbursement required to be itemized during the reporting period, the political committee must provide the full name, mailing address, date, amount, and purpose of the disbursement. Purpose of Disbursement. The term "purpose" means a brief statement or description of why the disbursement was made. Examples of adequate descriptions include the following: dinner expenses, media, salary, polling, travel, party fees, phone banks, travel expenses and catering costs. However, statements or descriptions such as "advance," "election day expenses," "other expenses," "expense reimbursement," "miscellaneous," "outside services," "get-out-the-vote," and "voter registration," would not meet the requirement for reporting the purpose of an expenditure. If the disbursement is a "loan repayment," "contribution refund," or other similar category of disbursement (other than
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an operating expenditure), the name of the category of disbursement (i.e., "loan repayment," etc.) is sufficient to meet the requirement for reporting the purpose of an expenditure. Along with reporting the purpose of the expenditure as required above, the committee should also broadly characterize disbursements by providing the code for each category of disbursement. Examples of the types of disbursements that fall within each of the broad categories are listed below. Use only one code for each itemized disbursement. In cases where the disbursement was for several purposes, the political committee should assign one code according to the primary purpose of the disbursement. Note that some of the category titles are not acceptable as the "purpose" of the disbursement and that the categories are not intended to replace or to serve as a substitute for the "purpose of disbursement." 001 Administrative/Salary/Overhead Expenses (e.g., rent, staff salaries, postage, office supplies, equipment, furniture, ballot access fees, petition drives, party fees and legal and accounting expenses) 002 Travel Expenses--including travel reimbursement expenses (e.g., costs of commercial carrier tickets; reimbursements for use of private vehicles; advance payments for use of corporate aircraft; lodging and meal expenses incurred during travel) 003 Solicitation and Fundraising Expenses (e.g., costs for direct mail solicitations and fundraising events including printing, mailing lists, consultant fees, call lists, invitations, catering costs and room rental) 004 Advertising Expenses--including general public political advertising (e.g., purchases of radio/television broadcast/cable time, print advertisements and related production costs) 005 Polling Expenses 006 Campaign Materials (e.g., buttons, bumper stickers, brochures, mass mailings, pens, posters and balloons)
007 Campaign Event Expenses (e.g., costs associated with candidate appearances, campaign rallies, town meetings, phone banks, including catering costs, door to door getout-the-vote efforts and driving voters to the polls) 008 Transfers (e.g., to other affiliated/ party committees) 009 Loans (e.g., loans made or repayments of loans received) 010 Refunds of Contributions (e.g., contribution refunds to individuals/persons, political party committees or other political committees) 011 Political Contributions (e.g., contributions to other federal committees and candidates, and donations to nonfederal candidates and committees) 012 Donations (e.g., donations to charitable or civic organizations) Contributions to Federal Candidates. For disbursements that are contributions to federal candidates, or authorized committees, list, in the appropriate boxes, the name of the candidate and office sought (including State and congressional district, where applicable). For each contribution to a federal candidate or authorized committee, indicate in the election check-off box the election for which the contribution was made. Contributions to a candidate or authorized committee that are not designated by the contributor for a specific election must be counted toward the contributor's limitation for the next election after the contribution is made. Contributions may be made for a past election only to the extent that the recipient has net debts outstanding from that particular election. In the event the contribution was made for an election prior to the current election cycle, the "Other" box must be checked and the type of election specified (e.g., "General 2004," "Primary 2004") and debt retirement (if applicable). The election check-off boxes provided for each itemized entry on Schedule B should not be used when itemizing operating expenditures. For in-kind contributions, including coordinated public communications, note "in-kind."
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
Contributions In-Kind Received Contributions in-kind received by the committee which are itemized on Schedule A must also be itemized as an operating expenditure on Schedule B. In addition, in the "Purpose of Disbursement" box include the notation "Contribution In-Kind," and the nature of the expenditure (e.g., consulting, polling, etc.). Disbursements for Federal Election Activities That Are Made Entirely With Federal Funds (State, District and Local Party Committees Only) Certain federal election activities under 2 U.S.C. §431(20)(A)(iii) and (iv) conducted by State, district or local party committees must be paid for with federal funds only. These activities are: · Disbursements for public communications that refer to a clearly identified candidate for federal office and that promote, support, attack or oppose any candidate for federal office. Identify the candidate supported or opposed when itemizing such disbursements. · Disbursements for the salary of any employee who spends more than 25 percent of his or her compensated time in a given month on activities in connection with a federal election. Disbursements for other federal election activities may be allocated between federal funds and Levin funds. 2 U.S.C. §431(20)(A)(i) and (ii). State, district or local party committees must itemize such allocated disbursements for federal election activity on Schedules H5 and H6; for more information and definitions of "allocable federal election activity," see the instructions for Schedule H1, H5 and H6. However, a State, district or local political party committee may choose to pay for such allocable federal election activities with 100% federal funds (that is, they may choose not to allocate the disbursements even though they could do so).
Use Schedule B to report disbursements of federal funds for federal election activities made entirely with federal funds. This includes disbursements for federal election activities that may not be allocated, and those that may be allocated, but which are not in fact allocated (i.e., that are made with 100% federal funds). Itemize such disbursements of $200 or more on Schedule B for Line 30(b). When itemizing disbursements for public communications, identify the candidate supported or opposed. Disbursements for Public Communications and Voter Drives (Separate Segregated Funds and Nonconnected Committees Only) Public Communication/Voter Drive Federal. A separate segregated fund or nonconnected committee that disburses funds for a public communication or a voter drive that refers only to a federal candidate, or to both a political party and a federal candidate (but not a nonfederal candidate) must pay for such disbursements solely out of its federal account. Voter drives are subject to this requirement only if there is a reference to a clearly identified federal candidate in printed materials, scripted messages or written instructions. Itemize such disbursements as "Other Federal Operating Expenditures" on Schedule B for Line 21b. The committee may identify the federal candidate referred to in the communication or voter drive in the space provided. (Exceptions: (1) If the communication or voter drive has been coordinated with a candidate or political party, the committee must report the disbursement as an in-kind contribution on Schedule B for Line 23 regardless of amount. See "Contributions to Federal Candidates" above for more information. (2) If the communication would otherwise satisfy the definition of an "electioneering communication" under 11 CFR 100.29(a), the committee must report it as an expenditure on Line 21b or 23, and itemize it on a Schedule B for that Line, as appropriate.)
Public Communications/Voter Drives Nonfederal. A separate segregated fund or nonconnected committee that pays for a public communication or a voter drive that refers only to a nonfederal candidate, or to both a political party and a nonfederal candidate (but not a federal candidate) may pay for such a disbursement solely out of its nonfederal account. Voter drives are subject to this requirement only if there is a reference to a clearly identified nonfederal candidate in printed materials, scripted messages or written instructions. If it chooses to use its federal account to pay for a portion of the expense, categorize the disbursement by the federal account as an "other disbursement" on Line 29 and itemize on a Schedule B for Line 29 if necessary. Public Communications/Voter Drives Referencing Party Only or Both Federal/Nonfederal Candidates. If a separate segregated fund or nonconencted committee chooses to allocate disbursements for public communications or voter drives that refer to both federal and nonfederal candidates, regardless of any reference to a political party, or that refer to a party only, the federal/nonfederal disbursements must be reported accordingly as allocated expenditures. For more information, see the instructions for Schedules H1, H2 and H4. Alternatively, if the committee pays for such expenditures solely with federal funds, or if it does not have a nonfederal account, itemize the disbursements according to the instructions for itemizing "Public Communication/Voter Drive Federal," above.
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE C, LOANS (FEC FORM 3X)
A loan is a contribution at the time it is made and is a contribution to the extent it remains unpaid. A LOAN WHICH EXCEEDS THE CONTRIBUTION LIMITATIONS IS UNLAWFUL WHETHER OR NOT IT IS REPAID. The aggregate amount loaned to a candidate or committee by another individual or political committee, when added to other contributions from that individual or political committee to that candidate or committee, shall not exceed the contribution limitations. A loan, to the extent it is repaid, is no longer a contribution. All loans to a political committee (regardless of amount) must be disclosed on the first report filed with the Commission after the date the loan is made. When filling out Schedule C, the committee must enter its full name in the box at the top of the page. DO NOT combine loans owed TO the committee with those owed BY the committee on the same Schedule C. Instead, use a separate Schedule C. Each loan should be reported separately until extinguished. Loans Owed By the Committee When a loan is received by the committee, it must be itemized on Schedule A and must also be disclosed on Schedule C (see also instructions for Schedule A for itemizing loans received by the committee). For each loan owed BY the reporting committee at the close of the reporting period, the committee must report certain basic information on Schedule C in the appropriate boxes: (1) full name, mailing address and zip code of the creditor; (2) if the committee is an authorized committee, the election to which the loan applies (i.e., primary, general or other); (3) the original amount of the loan; (4) the cumulative payment to date on the loan; and (5) the outstanding balance at the close of
the reporting period (i.e., the remaining unpaid portion of the loan). Certain additional information must be entered on Schedule C in the box entitled TERMS: (1) if an intermediary is reported as the source of the loan, the original source of the loan (which must be disclosed in the first box for endorsers and guarantors with a notation that the person identified is the original source); (2) the date the obligation was incurred; (3) the date the loan is due or the amortization schedule (if there is no due date or amortization schedule, enter "None" on the appropriate Line); (4) the actual rate of interest charged on each loan (if the loan does not bear an interest rate, enter "None" on the appropriate Line); and (5) check the box if the loan has been secured. In instances where the loan has endorsers or guarantors, the following information must be supplied: (1) the identification of each endorser or guarantor, and (2) the amount of the endorsement or guarantee outstanding at the close of the reporting period. The term "identification" means (a) in the case of an individual, his or her full name, mailing address, occupation, and name of employer; and (b) in the case of any other person, the person's full name and address. Loans owed BY the committee must continue to be reported on each subsequent report until repaid. When a payment is made to reduce or extinguish the amount of a loan owed BY the committee, the payment must be itemized on Schedule B, reported on the appropriate Line of the Detailed Summary Page, and included in the "Cumulative Payment to Date" column on Schedule C. If any extension for repayment is granted, this should be reported on the first report after the extension is made. If a loan is settled for less than the reported amount, the reporting committee must include a statement as to the circumstances and conditions under which the debt or obligation was extinguished and the amount paid. A loan owed BY a political committee which is forgiven or settled for less than the amount owed is a contribu-
tion. The total amount of loans owed BY the committee at the close of the reporting period must be entered on the Line for "Total This Period" on the bottom of the last page and transferred to Line 3 of the last page of Schedule D. If no debts or obligations are reported on Schedule D, carry the outstanding balance forward to the Summary Page. Loans Owed To the Committee When a loan is made by the committee, it must be itemized on Schedule B and must also be disclosed on Schedule C (see also instructions for Schedule B for itemizing loans made by the committee). For each loan owed TO the committee at the close of the reporting period, the committee must report certain basic information on Schedule C in the appropriate boxes: (1) the full name, mailing address and zip code of each debtor; (2) if the loan was made by a political committee other than an authorized committee and was made to a federal candidate or authorized committee, the election to which the loan applies (i.e., primary, general or other); (3) the original amount of the loan; (4) the cumulative payment to date on the loan; and (5) the outstanding balance at the close of the reporting period (i.e., the remaining unpaid portion of the loan). Certain additional information must be entered on Schedule C in the box entitled TERMS: (1) the date the obligation was incurred; (2) the date the loan is due or the amortization schedule (if there is no due date or amortization schedule, enter "None" on the appropriate Line; (3) the actual rate of interest charged on the loan (if the loan does not bear an interest rate, enter "None" on the appropriate Line); and (4) check the box if the loan has been secured. Loans owed TO the committee must continue to be reported on each subsequent report until repaid. When a payment is received to reduce or extinguish a loan owed TO the committee, the payment must be itemized on Schedule A, reported on the appropriate Line of the Detailed Summary Page, and included in the "Cumulative Payment to Date" column
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
on Schedule C. If any extension of repayment is granted or made, this should be reported on the first report after the extension is made. The total amount of loans owed TO the committee at the close of the reporting period must be entered on the Line for "Total This Period" on the bottom of the last page and transferred to Line 3 of the last page of Schedule D. If no debts or obligations are reported on Schedule D, carry the outstanding balance forward to the Summary Page. Miscellaneous Loans by Financial Institutions. A loan of money by a State bank, a federally chartered depository institution (including a national bank) or a depository institution whose deposits and accounts are insured by the Federal Deposit Insurance Corporation or the National Credit Union Administration is not a contribution by the lending institution if the loan is made in accordance with applicable banking laws and regulations and is made in the ordinary course of business. A loan will be deemed to be made in the ordinary course of business if it: bears the usual and customary interest rate of the lending institution for the category of loan involved; is made on a basis that assures repayment; is evidenced by a written instrument; and is subject to a due date or an amortization schedule. Loans by Political Committees. If a political committee makes a loan TO any person, the loan shall be subject to the contribution limitations. Repayment to the political committee of the principal amount of the loan is not a contribution by the debtor to the lender committee. The repayment must be made with funds which are permissible under the Act. The payment of interest to the committee by the debtor is a contribution only to the extent that the interest paid exceeds a commercially reasonable rate prevail-
ing at the time the loan is made. All payments of interest must be made from funds which are permissible under the Act. Endorsers and Guarantors. A loan is a contribution by each endorser or guarantor. Each endorser or guarantor shall be deemed to have contributed that portion of the total amount of the loan for which he or she agreed to be liable in a written agreement. Any reduction in the unpaid balance of the loan shall reduce proportionately the amount endorsed or guaranteed by each endorser or guarantor in such written agreement. In the event that such agreement does not stipulate the portion of the loan for which each endorser or guarantor is liable, the loan shall be considered a loan by each endorser or guarantor in the same proportion to the unpaid balance that each endorser or guarantor bears to the total number of endorsers or guarantors. Loan Repayments. Each committee must disclose all loan payments received or made by the committee. When a loan repayment is received by a committee, the repayment must be itemized on Schedule A and included in the "Cumulative Payment to Date" column on Schedule C. When a loan repayment is made by a committee, the repayment must be itemized on Schedule B and included in the "Cumulative Payment to Date" column on Schedule C. Disclose the total amount of loan repayments received and the total amount of loan repayments made on the appropriate Lines of the Detailed Summary Page.
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE C-1, LOANS AND LINES OF CREDIT FROM LENDING INSTITUTIONS (FEC FORM 3X)
Lines of Credit. A committee must file a Schedule C-1 with its next report when a line of credit is established and in succeeding reporting periods each time any draws are made on the line of credit and each time the line of credit is restructured to change the repayment terms. 11 CFR 104.3(d)(1) and (3). Reporting Loans and Lines of Credit on Schedules A and C Schedule A. When a committee obtains a loan, the committee must itemize the receipt on a Schedule A for the appropriate Line number. However, a line of credit is itemized on Schedule A only when the committee obtains funds by making a draw on the credit. Schedule C. As with all loans, loans from lending institutions (including lines of credit) must be continuously disclosed on Schedule C, starting with the first report due after the committee obtains the loan and continuing with each report thereafter until the loan is repaid. Line-by-Line Instructions Schedule C Cross-Reference. Enter the Schedule C page number where information on the loan or line of credit appears. Name of Committee Obtaining Loan. Enter the full name of the reporting committee. Identification Number. Enter the reporting committee's FEC identification number. If the committee is newly registered and has not yet obtained a number, enter "not yet assigned." Name/Address of Lender. Enter the full name, address and zip code of the lending institution. Loan Amount. Enter the amount of the loan or line of credit. If reporting a restructured loan or line of credit, enter the amount under the new terms. 11 CFR 104.3(d)(1)(i) and (3).
Interest Rate. Enter the annual percentage rate (APR) of interest on the loan or each draw on the line of credit. If reporting a restructured loan or line of credit, enter the interest rate under the new terms. 11 CFR 104.3(d)(1)(ii) and (3). Date Incurred or Established. Enter the date the committee incurred the debt by signing the loan agreement (the original agreement or a restructured agreement, as appropriate). 11 CFR 104.3(d)(1)(i) and (3). Due Date. Enter the date on which full repayment of the loan or line of credit is due (under the original agreement or a restructured agreement, as appropriate). 11 CFR 104.3(d)(1)(ii) and (3). A. Restructured Loans. Check yes if the loan or line of credit has been restructured to change the terms; enter the date on which the original loan or line of credit was incurred. 11 CFR 104.3(d)(3). B. Draws on Line of Credit. If reporting a draw on a line of credit, enter the amount of the draw and the outstanding balance owed on the line of credit (cumulative draws less any repayments made). 11 CFR 104.3(d)(1)(ii). C. Secondary Sources of Repayment. Check yes if the loan or line of credit was endorsed or guaranteed by secondary parties. 11 CFR 104.3(d)(1)(iii). Information on endorsers and guarantors must be disclosed on Schedule C. (Note that guarantees and endorsements of loans are considered contributions; see Schedule C instructions.) D. Traditional Collateral. Check yes if the loan or line of credit was obtained using traditional sources of collateral, and list the specific assets that were pledged. Enter the total fair market value of the collateral as of the date of the loan agreement. Indicate whether the lender has a perfected security interest in the collateral. 11 CFR 104.3(d)(1)(iii). (Note that a perfected security interest is a requirement under FEC regulations. 11 CFR 100.82(e)(1)(i) and 100.142(e)(1)(i)).
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Background: FEC Regulations on Loans from Lending Institutions Schedule C-1 seeks information on loans--including lines of credit-- from lending institutions such as state or federally chartered banks, federally insured savings and loan associations or federally insured credit unions. The purpose of Schedule C-1 is to verify that a loan or line of credit does not result in a prohibited contribution from the lending institution, a violation of the federal campaign finance law. Under FEC regulations at 11 CFR 100.82 and 100.142, a loan "made in accordance with applicable banking laws" and "in the ordinary course of business" is not considered a contribution if certain conditions are met. One of these conditions is that the loan "is made on a basis which assures repayment." Schedule C-1 documents whether or not the loan complies with these requirements. Who Must File Schedule C-1 A political committee that obtains a loan or line of credit from a bank or other lending institution must file Schedule C-1. When to File Schedule C-1 A Schedule C-1 must be filed for each loan and each line of credit obtained from a lending institution. 11 CFR 104.3(d)(1). Loans. A committee must file a Schedule C-1 with its next report when it first obtains a loan and in succeeding reporting periods each time the terms of the loan are restructured. 11 CFR 104.3(d)(1) and (3). (A restructured loan is considered a new loan.)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
E. Future Receipts as Collateral. Check yes if the loan or line of credit was obtained using future receipts as collateral; list the types of receipts that were pledged; and enter their estimated amount. 11 CFR 104.3(d)(1)(iii). Enter the date the separate account was established for the deposit of pledged receipts. (A depository account is required under 11 CFR 100.82(e)(2) and 100.142(e)(2).) Provide the full name and address of the depository institution where the account was established. F. Other Means of Obtaining Loan. Complete this section if "no" was checked in sections C, D, and E or if the amount cosigned and/or pledged for the loan or line of credit is less than the loan amount. If so, state the basis upon which the loan was made and the basis on which it assures repayment. 11 CFR 104.3(d)(1)(iv). G. Treasurer's Signature and Date. The committee treasurer (or properly designated assistant treasurer) must sign and date the form; the signer's name should be printed or typed beside the signature. H. Copy of Loan Agreement. Attach a copy of the signed agreement. 11 CFR 104.3(d)(2). I. Lender Certification. An authorized representative of the lending institution must sign and date the form to certify that the lender has complied with items I through III. 11 CFR 104.3(d)(1)(v). The representative's name should be printed or typed beside his or her signature. The representative's title must also be entered.
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Federal Election Commission (Revised 4/2006)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE D, DEBTS AND OBLIGATIONS (FEC FORM 3X)
When filling out Schedule D, the committee must enter its full name in the box at the top of the page. DO NOT combine debts and obligations owed to the committee with those owed by the committee on the same Schedule D. Instead, use a separate Schedule D. Debts and Obligations Owed BY the Committee (Other Than Loans) For debts and obligations owed BY the reporting committee at the close of the reporting period and which are required to be disclosed, the committee must report the full name and mailing address of each creditor, the amount of the debt outstanding at the beginning of the period, the amount of the debt or obligation incurred this period (including any finance charges), the payment(s) this period to retire the debt or obligation, the outstanding balance at the close of the reporting period and the nature or purpose of the debt and obligation. The terms "nature" or "purpose" mean a brief statement or description of why the debt or obligation was incurred (e.g., media, salary, polling, supplies, mailing). A written contract (including a media contract), promise, or agreement to make an expenditure which has not been paid for by the committee is an expenditure as of the date the contract, promise or obligation is made and is subject to the reporting requirements. Accounts payable and written contracts, promises, or agreements to make expenditures, in amounts of $500 or less, need not be disclosed until outstanding for sixty days or more. Debts and obligations owed BY the committee must continue to be reported on each subsequent report until extinguished or settled in a manner permitted by Federal Election
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Commission regulations (see 11 CFR Part 116 for settlement of corporate debts). When a payment is made to reduce or extinguish an obligation owed BY the committee, the payment must be itemized on Schedule B, reported on the appropriate line of the Detailed Summary Page, and included in the "Payment This Period" column on Schedule D. If a debt or obligation is settled for less than the reported amount or value, the reporting committee must include a statement as to the circumstances and conditions under which the debt or obligation was extinguished and the amount paid. A debt owed BY a political committee which is forgiven or settled for less than the amount owed is a contribution unless the debt is forgiven or settled in accordance with 11 CFR Part 116. The extension of credit by any person for a length of time beyond normal business or trade practice is a contribution, unless the creditor has made a commercially reasonable attempt to collect the debt. The total amount of debts and obligations owed BY the committee during the reporting period must be entered at the bottom of the last page under "Total This Period" and added to the total loans owed BY the committee from Schedule C. The total amount of debts and obligations owed BY the committee (including loans) must be carried forward to the Summary Page. Debts and Obligations Owed TO the Committee (Other Than Loans) For each debt and obligation owed TO the committee at the close of the reporting period, the committee must report: the full name and mailing address of each debtor, the amount of the debt outstanding at the beginning of the period, the amount of the debt or obligation incurred this period, the payment(s) this period to retire the debt or obligation, the outstanding balance at the close of the reporting period and the nature or purpose of the debt or obligation. The terms "nature" or "purpose" mean a brief statement or description of why the
debt or obligation was incurred (e.g., media, salary, polling, supplies, mailing). Written contracts or agreements (such as signed pledge cards), or oral promises to make contributions are not required to be reported. Debts and obligations owed TO the committee must continue to be reported on each subsequent report until extinguished. When a payment is received to reduce or extinguish a debt or obligation owed TO the committee, the payment must be itemized on Schedule A, reported on the appropriate line of the Detailed Summary Page, and included in the "Payment This Period" column on Schedule D. The total amount of debts and obligations owed TO the committee during the reporting period must be entered at the bottom of the last page under "Total This Period" and added to the total loans owed TO the committee from Schedule C. The total amount of debts and obligations owed TO the committee (including loans) must be carried forward to the Summary Page.
Federal Election Commission (Revised 4/2006)
9-00066
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE E, ITEMIZED INDEPENDENT EXPENDITURES (FEC FORM 3X)
General Definition The term "independent expenditure" means: "an expenditure by a person for a communication expressly advocating the election or defeat of a clearly identified candidate that is not made in cooperation, consultation or concert with, or at the request or suggestion of, a candidate, a candidate's authorized committee or their agents, or a political party committee or its agents. When to File Any political committee that makes independent expenditures must report such independent expenditures on Schedule E for the applicable reporting period. Special additional reporting procedures apply to expenditures aggregating $1,000 or more and made within 20 days before an election; these are described below under "24-hour Reports". In addition, special reporting procedures apply to expenditures aggregating $10,000 or more and are described below under "48-hour Reports." 48-hour Reports Any political committee that makes or contracts to make independent expenditures regarding a particular election (e.g., a particular party's Presidential nomination or a particular Senate general election) aggregating $10,000 or more during the calendar year up to and including the 20th day before an election must ensure that the Commission receives a report of these expenditures no later than 11:59 p.m. Eastern Standard/Daylight Time of the second day following the date on which the independent expenditure meeting the $10,000 threshold is publicly distributed or otherwise publicly
9-00066 Federal Election Commission (Revised 4/2006)
disseminated. See Explanation and Justification for 11 CFR 104.4(f). The committee must continue to file additional 48-hour reports each time subsequent independent expenditures reach the $10,000 threshold with respect to the same election to which the first report related. For purposes of determining whether 48-hour reports must be filed, aggregations of independent expenditures must be calculated as of the first date on which a communication that constitutes an independent expenditure is publicly distributed or otherwise publicly disseminated. See 11 CFR 104.4(f). The report must include all of the information required on Schedule E and be filed with the Federal Election Commission. Committees that are not electronic filers may file 48-hour reports by fax or electronic mail. All filers may submit 48-hour reports online at www.fec.gov. 24-hour Reports The committee must file a report of any independent expenditures aggregating $1,000 or more made after the 20th day, but more than 24 hours before an election, before 12:01 A.M. of the day of the election. The committee must ensure that the Commission receives the report no later than 11:59 p.m. Eastern Standard/Daylight Time of the day following the date on which the $1,000 threshold is reached during the final 20 days before the election. For purposes of determining whether 24-hour reports must be filed, aggregations of independent expenditures must be calculated as of the first date on which a communication that constitutes an independent expenditure is publicly distributed or otherwise publicly disseminated. See Explanation and Justification for 11 CFR 104.4(f). The report must include all of the information required on Schedule E and be filed with the Federal Election Commission. The committee must file a new 24-hour report each time it makes subsequent independent expenditures relating to the same election and aggregating $1,000 or more. Committees that are
not electronic filers may file 24-hour reports by fax or electronic mail. All filers may submit 24-hour reports online at www.fec.gov. Line By Line Instructions For Schedule E, enter the full name of the committee and the FEC Identification Number in the appropriate boxes at the top of the page. Check the box "48-hour Report" or "24-hour Report" if applicable. For each person who receives a payment or disbursement during the calendar year aggregating in excess of $200 in connection with an independent expenditure, provide on Schedule E the full name, mailing address and zip code of the payee receiving any disbursement, the date and amount of any independent expenditure aggregating in excess of $200, and the purpose of the independent expenditure (e.g., radio, television, newspaper). Also indicate, in the election check-off box, the election for which the independent expenditure was made. In situations where the committee incurs a reportable obligation for an independent expenditure in one reporting period, and the communication will be publicly disseminated in a future reporting period, report the obligation on Schedule D (Debts and Obligations) in the first period and, in the future reporting period, report the independent expenditure on Schedule E referencing the debt on Schedule D (using a memo entry if actual payment has not been made). Continue to report the debt on Schedule D and itemize payments on it using Schedule E until the debt is extinguished. In situations where the committee pays in advance for an independent expenditure in one reporting period and the communication will be publicly disseminated in a future reporting period, report the payment on Schedule B as an operating expenditure. When, in a subsequent reporting period, the communication is publicly disseminated, itemize the independent expenditure and its date of dissemination on Schedule E, and itemize the previous expenditure again as a negative entry
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
on Schedule B so that total disbursements are not inflated. Along with reporting the purpose of the expenditure as required above, the committee should also broadly characterize disbursements by providing the code for each category of disbursement. Examples of the types of disbursements that fall within each of the broad categories are listed below. Use only one code for each itemized disbursement. In cases where the disbursement was for several purposes, assign one of the following codes according to the primary purpose of the disbursement. Note that some of the category titles are not acceptable as the "purpose" of the disbursement and that the categories are not intended to replace or to serve as a substitute for the "purpose of disbursement." 004 Advertising Expenses -including general public political advertising (e.g., purchases of radio/television broadcast/cable time, print advertisements and related production costs) In addition, provide the name of the candidate, the office sought by the candidate (including State and Congressional District, where applicable), and whether the independent expenditure was in support of, or in opposition to, the candidate. Also, list the total amount expended in the aggregate during the calendar year, per election, per office sought. A subtotal of itemized expenditures must be disclosed on Line (a) of the last Schedule E filed. A subtotal of independent expenditures not required to be itemized must also be disclosed on Line (b) of the last Schedule E filed. The total of all independent expenditures (Line (c)) is carried forward to the appropriate Line of the Detailed Summary Page.
Certification The treasurer of the committee must sign Schedule E (for electronically-filed reports, type the name of the treasurer) and certify under penalty of perjury that the expenditure was not in fact made in cooperation, consultation or concert with, or at the request or suggestion of, any candidate or authorized committee or agent thereof. If the committee is not a political party committee, it must also certify that the expenditure was not, in fact, made in cooperation, consultation or concert with, or at the request or suggestion of a political party committee or its agents. Note: Any other person or entity (other than a political committee) that makes an independent expenditure must file on FEC FORM 5, or, if not required to file electronically, may file by Form 5 or letter.
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Federal Election Commission (Revised 2/2009)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE F, ITEMIZED COORDINATED PARTY EXPENDITURES MADE BY POLITICAL PARTIES (FEC FORM 3X)
Definition and Limitations The Federal Election Campaign Act provides political party committees with special spending limits on behalf of their candidates in the general election (2 U.S.C. §441a(d)). These special spending limits do not apply in primary elections, are not contributions to the candidate and are not contributions in-kind reported on Schedule B. These spending limits are separate from expenditures made by the candidate's authorized committee(s). Expenditures made under 2 U.S.C. §441a(d) are reported by the political party committee or designated agent and not by the candidate or the candidate's authorized committee(s) on whose behalf the expenditure was made. National party political committees are subject to separate limits for Presidential, Senate and House general elections. State party political committees are subject to separate limits for Senate and House general elections, but may not make any separate expenditures in the Presidential general election, unless designated by the national committee of the political party. Within a State, committees subordinate to a State party political committee (county, city, local, etc.) are included within the State party political committee limits. The formulas for the party spending limits are as follows: President: $0.02 times the national Voting Age Population, adjusted to reflect the latest cost-of-living increase. Senate: The greater of: (a) $0.02 times the state Voting Age Population, adjusted to reflect the latest cost-of-living increase; or (b) $20,000, adjusted to reflect the latest cost-of-living increase.
House1:
$10,000 adjusted to reflect the latest cost-of-living increase.
craft; lodging and meal expenses incurred during travel) 003 Solicitation and Fundraising Expenses (e.g., costs for direct mail solicitations and fundraising events including printing, mailing lists, consultant fees, call lists, invitations, catering costs and room rental) 004 Advertising Expenses--including general public political advertising (e.g., purchases of radio/ television broadcast/cable time, print advertisements and related production costs) 005 Polling Expenses 006 Campaign Materials (e.g., buttons, bumper stickers, brochures, mass mailings, pens, posters and balloons) 007 Campaign Event Expenses (e.g., costs associated with candidate appearances, campaign rallies, town meetings, phone banks, including catering costs, door to door get-out-the-vote efforts and driving voters to the polls) 011 Political Contributions (e.g., contributions to other federal committees and candidates, and donations to non-federal candidates and committees) In addition, the committee must provide the amount of coordinated expenditures made on behalf of each candidate for the general election. Expenditures made on behalf of more than one candidate should be attributed to each candidate in proportion to, and should be reported to reflect, the benefit reasonably expected to be derived. Designated Agents The national committee of a political party may make coordinated party expenditures for candidates through any designated agent including any State or subordinate party political committees. The State party political committee m ay d e s i g n at e a s ag e n t s a ny subordinate committee (county, city, local, etc.). The State party political
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Who Must File Any political party committee or designated agent that makes coordinated party expenditures must itemize each expenditure on Schedule F. For each coordinated party expenditure; provide the full name and mailing address of the payee, date and amount of the expenditure, the purpose of the expenditure (e.g., polling, campaign consulting, media preparation, etc.) and the name of the office sought by (including State and Congressional district, when applicable) the candidate on whose behalf the expenditure was made. Along with reporting the purpose of the expenditure as required above, the committee should also broadly characterize disbursements by providing the code for each category of disbursement. Examples of the types of disbursements that fall within each of the broad categories are listed below. Use only one code for each itemized disbursement. In cases where the disbursement was for several purposes, the political committee should assign one code according to the primary purpose of the disbursement. Note that some of the category titles are not acceptable as the "purpose" of the disbursement and that the categories are not intended to replace or to serve as a substitute for the "purpose of disbursement." 001 Administrative/Salary/Overhead Expenses (e.g., rent, staff salaries, postage, office supplies, equipment, furniture, ballot access fees, petition drives, party fees and legal and accounting expenses) 002 Travel Expenses--including travel reimbursement expenses (e.g., costs of commercial carrier tickets; reimbursements for use of private vehicles; advance payments for use of corporate air1 In the case of a candidate for election to the House of Representatives from a State which is entitled to only one Representative, the Senate party spending limits are applicable.
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Federal Election Commission (Revised 2/2009)
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
committee shall be responsible for insuring that the expenditures of the entire party organization within the State are within the limitations, including receiving reports from any subordinate committee making expenditures, and filing consolidated reports showing all expenditures in the State. Committees reporting to the Commission for designated agents should use a separate Schedule F for each agent. Expenditures made by designated agents should not be included in the reporting committee's totals on the Detailed Summary Page. The figure carried forward to the Detailed Summary Page should be the amount of coordinated party expenditures made by the reporting committee.
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Federal Election Commission (Revised 4/2006)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H1, METHOD OF ALLOCATION FOR ALLOCATED FEDERAL AND NONFEDERAL ADMINISTRATIVE EXPENSES, GENERIC VOTER DRIVE COSTS, EXEMPT ACTIVITY COSTS, ALLOCATED FEDERAL/LEVIN FUND "FEDERAL ELECTION ACTIVITY" EXPENSES AND ALLOCATED PUBLIC COMMUNICATIONS THAT REFER TO ANY POLITICAL PARTY (BUT NOT A CANDIDATE) (FEC FORM 3X)
nonconnected committee that makes disbursements for public communications or voter drives that refer only to a political party (not a candidate) may allocate such expenditures, but must report the allocation method and ratio using Schedule H1. When to Use Schedule H1 State, District and Local Party Committees. State, district and local party committees that choose to allocate allocable expenses must report on Schedule H1 the allocation methods and ratios used for administrative expenses, the costs of generic voter drives, the costs of allocable exempt activities and the costs of allocable "federal election activities" as defined at 11 CFR 100.24. Such committees must use Schedule H2 to report the allocation methods and ratios used for allocable fundraising and the costs of allocable direct candidate support. Separate Segregated Funds and Nonconnected Committees. Separate segregated funds and nonconnected committees that choose to allocate allocable expenses must report the allocation methods and ratios used on Schedule H1 for administrative expenses, generic voter drives and public communications that refer only to a political party (not a candidate for federal or nonfederal office). (Note: A separate segregated fund need not report administrative expenses paid for by the committee's connected organization.) Such committees must use Schedule H2 to report the allocation methods and ratios used for allocable fundraising and the costs of allocable direct candidate support, including public communications or voter drives that refer to both federal and nonfederal candidates, or both federal and nonfederal candidates and a political party. (Note: A separate segregated fund need not report fundraising expenses paid for by the committee's connected organization.) See the instructions for Schedule H2 for more information.
Who Must File Schedule H1 Any State, district and local party committee, separate segregated fund or nonconnected committee that chooses to allocate allocable expenses must report the allocation methods and ratios used on Schedule H1 and/or H2 as explained below and in the instructions for Schedule H2. When Allocation is Permitted An unauthorized committee that is active in both federal and nonfederal elections, and that has established separate federal and nonfederal accounts, may either make all payments for allocable administrative and generic voter drive expenses and for party committees allocable exempt activity costs, with federally permissible funds or make such payments by allocating the expenses between its federal and nonfederal accounts according to specified allocation methods. A State, district or local party committee engaging in allocable federal election activities may pay for such activities entirely with federal funds, or may allocate such payments between its federal account and Levin funds, according to specified allocation methods. A separate segregated fund or
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Definitions The term "generic voter drive" means any voter identification, voter registration, or get-out-the-vote drive, or any other activity that urges the general public to register, vote or support candidates of a particular party or associated with a particular issue, without clearly identifying a candidate. (Note that such activity in a special election involving only a federal candidate is treated as if it mentions a specific candidate.) The term "Nonfederal account" means an account that contains funds to be used in connection with a State or local election or allocable expenses as permitted by 11 CFR 106.7, 300.30 and 300.33. 11 CFR 300.2(j). The term "Levin funds" means funds that are raised and that are or will be disbursed for specific "federal election activity" pursuant to 11 CFR 300.31 and 300.32. 11 CFR 300.2(i). The term "allocable Federal election activity" means · Voter registration activity (i.e. contacting individuals by telephone, in person or by other individualized means, to assist them in registering to vote (see 11 CFR 100.24(a)(2)) during the period that begins on the date that is 120 days before the date that a regularly scheduled federal election is held and that ends on the date of the election; or Any of the following, when conducted during the period of time beginning on the date of the earliest filing deadline for primary ballot access for federal candidates, or in those States that do not conduct primary elections, on January 1 of each even numbered year through the date of the general election (including any general election runoff). In the case of a special election, the applicable period runs from the date on which the date of the special election is set and ends on the date of the special election. See 11 CFR 100.24(a)(1). · Voter identification (i.e., acquiring information about potential voters, including but not limited to, obtaining voter lists and creating or enhancing voter lists by verifying or adding information about the likelihood of voting in a specific election or for specific candidates. See 11 CFR 100.24(a)(4));
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
· Generic campaign activity, (i.e., a public communication that promotes or opposes a political party and does not promote or oppose a clearly identified federal candidate or a nonfederal candidate. See 11 CFR 100.25); or · Get-out-the-vote activity (i.e., contacting registered voters by telephone, in person or by other individualized means, to assist them in engaging in the act of voting. See 11 CFR 100.24(a)(3)). 11 CFR 100.24(b)(1) and (2). Line-by-Line Instructions and When To File Enter the committee's full name in the appropriate block. State, district and local party committees must allocate their administrative expenses, generic voter drive costs, allocable exempt activity costs and costs for allocable "federal election activity" according to a fixed percentage. (See 11 CFR 106.7(d) and 300.33(b).) Check the appropriate box on Schedule H1, Method of Allocation, to indicate the fixed federal percentage. The percentage is based on whether a Presidential candidate, a Senate candidate, both or neither are expected on the ballot in the next general federal election. File Schedule H1 with the first FEC Form 3X submitted each year. 11 CFR 104.17(b)(1). Nonconnected committees and separate segregated funds that choose to allocate must allocate their administrative expenses, generic voter drive costs and costs for public communications that refer only to a political party (not a candidate) according to the flat minimum federal percentage 50 %. (See 11 CFR 106.6(b).) Committees must use at least 50% federal funds to pay for these expenses. (To indicate that the committee is using an exact 50/50 ratio, check the box indicated.) The committee may choose to spend more than 50% federal funds, but must show the percentage of federal and nonfederal funds used in the boxes provided.
File Schedule H1, Method of Allocation, with each report that discloses an allocated disbursement for the above categories of expenses. 11 CFR 104.10(b)(1). Supply a separate Schedule H1 for each different ratio the committee used during the reporting period. For each ratio disclosed, check the appropriate box(es) to indicate the category(ies) of disbursements to which the ratio applies.
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Federal Election Commission (Revised 4/2006)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H2, ALLOCATION RATIOS
(To Be Used For Allocable Federal and Nonfederal Fundraising and Direct Candidate Support) Who Must File Any State, district or local party committee, separate segregated fund or nonconnected committee that is active in both federal and nonfederal elections, and that has established separate federal and nonfederal accounts, may either make all payments for allocable activity with federally permissible funds, or may allocate expenses for its allocable activities between its federal and nonfederal accounts according to specified allocation methods. Committees that choose to allocate expenses for certain allocable activities must report the allocation ratios used for each activity on Schedule H2, Allocation Ratios. The categories of allocable activity referred to on this Schedule include (1) fundraising events through which both federal and nonfederal funds are collected by one committee and (2) activities providing direct candidate support to both specific federal and specific nonfederal candidates. (For separate segregated funds and nonconnected committees only, this includes public communications or voter drives that refer to both federal and nonfederal candidates, regardless of any reference to a political party. Party committees may not allocate such expenses between their federal and nonfederal accounts; instead, they must treat them as "federal election activity" and report them accordingly on Line 30. See the instructions for Schedules B, H5 and H6 for more information.) When To File Schedule H2, the Allocation Ratios Schedule, must accompany each FEC Form 3X filed by a committee that discloses a disbursement for an allocated federal and nonfederal fundraising event or direct candidate support activity.
Methods of Allocation (1) Fundraising expenses are to be allocated according to the "funds received method," whereby allocation is based on the ratio of funds received by the committee's federal account as compared to the total funds received by all of the committee's accounts from each allocable fundraising event. Detailed instructions for calculating this ratio are contained in 11 CFR 106.7(d)(4) (for party committees) and 11 CFR 106.6(d) (for nonconnected committees and separate segregated funds). (2) The costs of direct candidate support activities are to be allocated according to a ratio based on the benefit expected to be derived by each candidate. Detailed instructions for calculating this ratio are contained in 11 CFR 106.1(a) and 11 CFR 106.6(f)(3) (for certain public communications and voter drives by nonconnected committees and separate segregated funds). Line-by-Line Instructions Enter the name of each activity or event in the appropriate blocks. Note: Each individual fundraising event or activity providing direct candidate support must be assigned a unique identifying title or code. The exact title or code must be used consistently throughout a committee's reports when disclosing transactions related to that activity or event. The committee must enter the percentage of costs allocated to its federal account and its nonfederal account for each individual activity or event. These percentages are to be calculated according to the appropriate allocation method for each category of activity. For each individual activity or event, the committee must indicate whether it is a fundraising event or an activity providing direct candidate support. If the event represents activity for more than one category, the committee must list each category on a separate Line. The committee must also indicate whether the allocation ratio is new, revised or the same as previously reported for that activity or event.
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Federal Election Commission (Revised 4/2006)
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INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H3, TRANSFERS FROM NONFEDERAL ACCOUNTS FOR ALLOCATED FEDERAL/ NONFEDERAL ACTIVITY
(To Be Used to Show Transfers From Nonfederal Accounts to Federal Accounts For The Purpose of Paying Allocable Expenses) Who Must File Any State, district or local party committee, separate segregated fund or nonconnected committee that is active in both federal and nonfederal elections, and that has established separate federal and nonfederal accounts, may either make all payments for allocable activity with federally permissible funds, or may allocate expenses for its allocable activities between its federal and nonfederal accounts according to specified allocation methods. A committee that chooses to allocate allocable expenses must pay the bills for those expenses from either its federal account or from a separate allocation account which is also a federal account subject to the FECA's reporting requirements. The committee may transfer funds from its nonfederal account to either of these federal accounts, solely for the purpose of paying the nonfederal share of allocable expenses. All such transfers must occur not more than 10 days before or 60 days after the payments for which they are intended are made, and must be itemized on Schedule H3. This Schedule is used only in support of Line 18(a) of the Detailed Summary Page. All other federal account receipts should be itemized as required on Schedule A or Schedule H5, as appropriate. When To File Schedule H3 must be filed for each reporting period in which any funds are transferred from a nonfederal account to a federal account for the purpose of paying the nonfederal share of a committee's allocable expenses.
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Line-by-Line Instructions Name of Account; Date of Receipt; Total Amount Transferred. The committee must enter its full name, the name of the nonfederal account from which each transfer is made, and the date and total amount of the transfer in the appropriate blocks. Each transfer from a nonfederal account to a federal account may include funds intended to pay for more than one allocable activity. Therefore, the committee must indicate on Lines i) through vi) the purposes for which each transfer is made, and the amount designated for each such purpose. Line i) List the total amount used for administrative expenses. Line ii) List the total amount used for generic voter drive costs. Line iii) List the amount used for each allocable exempt activity (State, district and local party committees only). Line iv) List the amount used for allocable direct fundraising activity. Line v) List the amount used for allocable direct candidate support. For separate segregated funds and nonconnected committees only, this includes amounts used for public communications or voter drives referencing both federal and nonfederal candidates (regardless of any reference to a political party). Note: In the space provided on Lines iv and v, list the activity or event identifier used on Schedule H2, Allocation Ratios, to identify each separate fundraising event or direct candidate support activity. Line vi) List the amount used for public communications referring only to a political party (separate segregated funds and nonconnected committees only). Compute subtotals for each line at the bottom of each page for the transfers itemized on that page. Carry the "Total This Period" for the column "Total Amount Transferred" forward to Line 18(a) of the Detailed Summary Page.
Federal Election Commission (Revised 4/2006) 9-00066
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H4, DISBURSEMENTS FOR ALLOCATED FEDERAL/ NONFEDERAL ACTIVITY (FEC FORM 3X)
(To Be Used For Allocated Federal/ Nonfederal Activity) Who Must File Any State, district or local party committee, separate segregated fund or nonconnected committee that is active in both federal and nonfederal elections, and that has established separate federal and nonfederal accounts, may either make all payments for allocable activity with federally permissible funds, or may allocate expenses for its allocable activities between its federal and nonfederal accounts according to specified allocation methods. A committee that chooses to allocate allocable expenses must pay the bills for those expenses from either its federal account or from a separate allocation account which is also a federal account subject to the FECA's reporting requirements. The committee may transfer funds within specified time limits from its nonfederal account to cover the nonfederal share of the allocated expense. The committee must itemize each allocated disbursement for activity allocated between its federal and nonfederal accounts as made from its federal account or separate allocation account on Schedule H4. Only disbursements supporting Line 21(a), Allocated Federal/Nonfederal Activity, of the Detailed Summary Page are reported on Schedule H4. Disbursements supporting Line 21(b), Other Federal Operating Expenditures, of the Detailed Summary Page must be itemized on Schedule B, as required. All other disbursements from the federal account must also be itemized, as required, on Schedules B or E and by State, district and local party committees also on Schedules F or H6, as appropriate.
When to File Schedule H4 must be filed for each reporting period in which disbursements are made from a committee's federal account or separate allocation account to pay for allocated federal/ nonfederal expenses under 11 CFR 106.6 or 106.7. Line-by-Line Instructions Enter the committee's full name in the appropriate block of each page. For each disbursement itemized during the reporting period, provide the payee's full name and mailing address, the date, and the purpose for which the disbursement was made. Note: Purpose (a) Purpose. The term "purpose" means a brief statement or description of why the disbursement was made. Examples of adequate descriptions include the following: salary (in the case of a party committee, only allocable when an employee spends 25 percent or less of his or her time in a given month on federal election activity or activity in connection with a federal election), dinner expenses, media, polling, travel, party fees, phone banks, travel expenses and catering costs. However, descriptions such as "advance," "election day expenses," "other expenses," "expense reimbursement," "miscellaneous," "outside services," "get-out-the-vote" and "voter registration," would not meet the requirement for reporting the purpose of a disbursement. (b) Category/Type Code. Along with reporting the purpose of the expenditure as required above, the committee should also broadly characterize disbursements by providing the category/type code for each category of disbursement. Examples of the types of disbursements that fall within each of the broad categories are listed below. Use only one code for each itemized disbursement. In cases where the disbursement was for several purposes, the political committee should assign one code according to the primary purpose of the disburse-
ment. Note that some of the category titles are not acceptable as the "purpose" of the disbursement and that the categories are not intended to replace or to serve as a substitute for the "purpose of disbursement." 001 Administrative/Overhead Expenses (e.g., rent, postage, office supplies, equipment, furniture, ballot access fees, petition drives, party fees and legal and accounting expenses) 002 Travel Expenses--including travel reimbursement expenses (e.g., costs of commercial carrier tickets; reimbursements for use of private vehicles; advance payments for use of corporate aircraft; lodging and meal expenses incurred during travel) 003 Solicitation and Fundraising Expenses (e.g., costs for direct mail solicitations and fundraising events including printing, mailing lists, consultant fees, call lists, invitations, catering costs and room rental) 004 Advertising Expenses--including general public political advertising (e.g., purchases of radio/television broadcast/cable time, print advertisements and related production costs) 005 Polling Expenses 006 Campaign Materials (e.g., buttons, bumper stickers, brochures, mass mailings, pens, posters and balloons) 007 Campaign Event Expenses (e.g., costs associated with candidate appearances, campaign rallies, town meetings, phone banks, including catering costs, door to door get-out-the-vote efforts and driving voters to the polls) 008 Transfers (e.g., to other affiliated/ party committees) 009 Loans (e.g., loans made or repayments of loans received) 010 Refunds of Contributions (e.g., contribution refunds to individuals/persons, political party committees or other political committees)
9-00066
Federal Election Commission (Revised 4/2006)
Page 27
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
011 Political Contributions (e.g., contributions to other federal committees and candidates, and donations to nonfederal candidates and committees) 012 Donations (e.g., donations to charitable or civic organizations) (c) Unique Activity or Event Identifier. If the disbursement was for an allocable fundraising event or allocable direct federal and nonfederal candidate support, the activity or event must be identified by the unique activity or event identifier assigned to it on Schedule H2, Allocation Ratios, in addition to the purpose for which the disbursement was made. Allocated Activity or Event. Identify the type of "allocated activity or event" for which each disbursement is made by checking the appropriate box. (Note for separate segregated funds and nonconnected committees only: For public communications that are made by a nonconnected committee or separate segregated fund and that refer only to a political party, check "Public Comm (ref to Party Only) by PAC." For public communications and voter drives that refer to both federal and nonfederal candidates, regardless of any reference to a political party, check "Direct Candidate Support.") A disbursement representing payment for more than one type of activity is reported as a memo entry followed by a break down of the disbursement by type of activity, with the appropriate boxes checked. The committee must also enter the aggregate amount of all disbursements made year-to-date as of this report for each type of activity or individual event. For fundraising and direct candidate support, a separate aggregate amount must be reported for each individual activity or event. For administrative expenses, generic voter drive activity, allocable exempt activities and allocable public communications that refer only to a party and are made by a separate segregated fund or nonconnected committee, one aggregate amount for all disbursements in that type is sufficient. Enter the total amount of each disbursement in the appropriate box. For each disbursement for allocated
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expenses, the committee must enter the total amounts allocated to the federal and nonfederal accounts in the appropriate boxes. For State, district and local party committees disclosing administrative expenses, allocable exempt activities and generic voter drive costs, the federal and nonfederal shares are derived from the fixed percentage stated on Schedule H1, Method of Allocation. For separate segregated funds and nonconnected committees disclosing administrative expenses, generic voter drive costs and public communications that refer only to a party, the federal and nonfederal shares are derived from the flat minimum federal percentage ratio disclosed on Schedule H1 for that type of disbursement. For the costs of fundraising and direct candidate support, these amounts are derived from the percentages stated for each event on Schedule H2, Allocation Ratios. (Note that administrative and fundraising expenses are neither allocated nor disclosed by a separate segregated fund when those costs are paid by its connected organization.) If an allocated disbursement was made, in whole or in part, for direct candidate support (e.g., an in-kind contribution benefiting both specific federal and specific nonfederal candidates), the federal share of the disbursement must be disclosed on Schedule B, E or F, supporting Line 23, 24 or 25 of the Detailed Summary Page, as appropriate and disclosed as a memo entry in the "Federal Share" box on Schedule H4. The "Federal Share" box on Schedule H4 should contain a reference to Schedule B, E or F and the appropriate Line number of the Detailed Summary Page on which this information is reported. The nonfederal share of the disbursement must be entered in the "Nonfederal Share" box on Schedule H4. Compute subtotals for each page and totals for the reporting period for the total amount of disbursements, and for the total federal and nonfederal shares. The "Total This Period" for the federal share and the nonfederal share are carried forward to Lines 21(a)(i) and 21(a)(ii), respectively, of the Detailed Summary Page.
Federal Election Commission (Revised 4/2006) 9-00066
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H5, TRANSFERS OF LEVIN FUNDS RECEIVED (FEC FORM 3X)
(To Be Used to Show Transfers of Levin Funds from Nonfederal Account or Levin Account to Federal Account For The Purpose of Paying Allocable Expenses for Federal Election Activity) Who Must File Any State, district or local party committee that is a political committee and engages in allocable federal election activities must file. (Definitiions of "allocable federal election activities" appear on the instructions for Schedule H1.) Reporting committees may either make all payments for that allocable federal election activity with federally permissible funds, or may allocate expenses for it between its federal account and Levin funds, according to the fixed percentage reported on Schedule H1. A party committee that chooses to allocate allocable expenses for "federal election activity" must pay for those expenses from either its federal account or from a separate allocation account which is also a federal account subject to the FECA's reporting requirements. The committee may transfer Levin funds from its Levin account or nonfederal account to either of these federal accounts, solely for the purpose of paying the Levin share of allocable expenses. All such transfers must occur not more than 10 days before or 60 days after the payments for which they are intended are made, and must be itemized as receipts on Schedule H5. This Schedule is used only in support of Line 18(b) of the Detailed Summary Page.
Line-by-Line Instructions Name of Committee: Enter the committee's full name. For each transfer made, complete a block as follows: Account Name: Enter the name of the Levin account or the name of the non-federal account from which a transfer of Levin funds has been made. Breakdown of Transfer Received: Note: Each transfer of Levin funds to a federal account may include funds intended to pay for more than one type of allocable federal election activity. Therefore, the committee must indicate in each block on Lines i) through iv) the amount of each transfer for each type of allocable federal election activity. 1. Enter the date and total amount of the transfer in the appropriate blocks. 2. Line i): List the total amount to be used for voter registration costs. 3. Line ii): List the amount to be used for voter identification costs. 4. Line iii): List the amount to be used for get-out-the-vote costs. 5. Line iv): List the amount to be used for the costs of generic campaign activity (i.e., public communications covered by 11 CFR 100.25). Compute subtotals as indicated at the bottom of each page for the transfers itemized on that page. Carry forward the "Total This Period" for the column "Total Amount Transferred" to Line 18(b) of the Detailed Summary Page. When To File File Schedule H5 for each reporting period in which any Levin funds are transferred to a federal account for the purpose of paying the Levin share of a committee's allocable expenses.
9-00066
Federal Election Commission (Revised 4/2006)
Page 29
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE H6, DISBURSEMENTS OF FEDERAL AND LEVIN FUNDS FOR ALLOCATED FEDERAL ELECTION ACTIVITY (FEC FORM 3X)
(To Be Used For Allocated Federal/Levin Federal Election Activity) Who Must File Any State, district or local party committee that engages in allocable federal election activities (see 11 CFR 300.32 and 300.33 and the instructions for Schedule H1), and that has established separate federal and Levin accounts, or that has raised Levin funds, may either make all payments for allocable federal election activity with federally permissible funds, or may allocate expenses for its allocable federal election activity between its federal account and Levin funds according to the fixed percentage reported on Schedule H1. A committee that chooses to allocate federal election activity expenses must pay for those expenses from either its federal account or from a separate allocation account which is also a federal account subject to the FECA's reporting requirements. The committee may transfer Levin funds within specified time limits to cover the Levin share of the allocated expense. The committee must itemize each allocated disbursement made from its federal account or separate allocation account for allocable federal election activity on Schedule H6. Only disbursements supporting Line 30(a), Allocated Federal Election Activity, of the Detailed Summary Page should be reported on Schedule H6. Disbursements supporting Line 30(b), Federal Election Activity Paid Entirely with Federal Funds, should be reported on Schedule B for Line 30(b), as required. Itemize all other disbursements from the federal account, as required, on Schedule B, E, F or H4.
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Line-by-Line Instructions Enter the committee's full name in the appropriate block of each page. For each disbursement itemized during the reporting period, provide: 1. The payee's full name and mailing address; 2. The date; and 3. The purpose for which the disbursement was made. Purpose: The term "purpose" means a brief statement or description of why the disbursement was made. Examples of adequate descriptions include the following: dinner expenses, media, polling, travel, party fees, phone banks, travel expenses and catering costs. However, descriptions such as "advance," "election day expenses," "other expenses," "expense reimbursement," "miscellaneous," "outside services," "get-out-the-vote," and "voter registration," would not meet the requirement for reporting the purpose of a disbursement. Identify the "type of allocated activity" for which each disbursement is made by checking the appropriate box. A disbursement representing payment for more than one category of activity is reported as a memo entry followed by a break down of the disbursement by category of activity, with the appropriate boxes checked. The committee must also enter the aggregate amount of all disbursements made year-to-date for each category of activity or individual event. The total amount of each disbursement must be entered in the appropriate box. For each disbursement, enter the total amounts allocated to the federal account and Levin funds in the appropriate boxes. The federal and Levin shares are derived from the percentage stated on the Schedule H1, Method of Allocation.
Federal Election Commission (Revised 4/2006)
9-00066
INSTRUCTIONS FOR FEC FORM 3X AND RELATED SCHEDULES
INSTRUCTIONS FOR SCHEDULE L, AGGREGATION PAGE, LEVIN FUNDS OF STATE, DISTRICT OR LOCAL PARTY COMMITTEES (FEC FORM 3X)
Who Must File All State, district or local party committees that are political committees under 11 CFR 100.5 must disclose certain information about Levin funds raised, and transferred or otherwise disbursed by the committee. Every reporting period, each such committee must file an Aggregation Page summarizing the receipts and disbursements of its Levin funds for that reporting period and for the calendar year-todate. The committee may disclose and itemize under 11 CFR 300.36(b)(2)(iv) its receipt of Levin funds either at the time the receipts are first received and deposited or at a later date when the committee makes Levin disbursements out of Levin-eligible funds. If a committee maintains a separate Levin account, the committee must disclose and itemize the Levin receipts when they are deposited in the Levin account. A separate Aggregation Page must be submitted for each of the committee's accounts that handles Levin funds, whether that account is a dedicated "Levin account" or whether it is another non-federal account. The committee must also attach Schedule L-A and Schedule L-B, itemizing the receipts and disbursements of Levin funds. Line-by-Line Instructions Enter the committee's full name and the coverage dates of the report in the appropriate blocks. To calculate the "Calendar Yearto-Date" figure for each Line, the committee should add the figure from the same Line of its previous report to the "Total This Period" for the current report. For the first report filed in a calendar year, the "Calendar Yearto-Date" figure and the "Total This Period" figure will be the same.
9-00066 Federal Election Commission (Revised 4/2006)
If there were no receipts or disbursements for a particular Line during the reporting period or the calendar year, enter "0" on the appropriate Lines. Receipts (Schedule L-A) LINE 1. Enter the total amount of receipts of Levin funds from individuals, committees and other entities. For each individual or entity who has made one or more donations during the calendar year, the committee must disclose in a memo Schedule L-A the following information: the identification of the individual (full name, mailing address, name of employer and occupation) or entity (full name and mailing address), and the date of receipt and amount of each donation aggregating $200 or more. (See also instructions for Schedule A). LINE 2. Enter the total of any other receipts disclosed in a memo Schedule L-A. LINE 3. Add the total of Line 1 and Line 2. Disbursements (Schedule L-B) LINE 4. Enter the total amount of transfers of Levin funds made to the committee's federal account or allocation account for each category of allocable federal election activity. Itemize each such transfer on a memo Schedule L-B in full. (See also instructions for Schedule B). LINE 5. Enter the total amount of all other disbursements disclosed on a memo Schedule L-B. All such disbursements must be itemized if they exceed $200 or more. LINE 6. Add Lines 4(e) and 5 to derive the figure for total disbursements. Summary LINE 7. Enter the total amount of cash on hand at the beginning of the reporting period. For Column B ("Calendar Year-to-Date"), enter the total amount of cash on hand as of January 1 of the calendar year.
LINE 8. Enter the "Total This Period" figure from Line 3. LINE 9. Add Lines 7 and 8 to derive the subtotal for receipts. LINE 10. Enter the "Total This Period" figure from Line 6. LINE 11. Subtract Line 10 from Line 9 to derive the figure for Levin funds on hand at the close of the reporting period. When To File Submit Schedule L, the Levin Funds Aggregation Page, and supporting memo Schedules L-A and L-B with each report once the committee has combined receipts and disbursements of $5,000 or more in the aggregate for "federal election activity" during the calendar year as defined at 11 CFR 100.24. Note that once this threshold is passed, the committee must file FEC reports on a monthly basis. 11 CFR 300.36(c)(1).
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Free FEC Form 00-03X Instructions D2.indd - Federal
| File Size: | 182.1 kB |
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| Author: | admin |
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| Page Size: | Letter (8 1/2" x 11") |
| URL |
http://www.fec.gov/pdf/forms/fecfrm3xi.pdf |
| Download FEC Form 00-03X Instructions D2.indd ( 182.1 kB) |
Preview FEC Form 00-03X Instructions D2.indd
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