PART 9033—ELIGIBILITY FOR PAYMENTS Authority: 26 U.S.C. 9003(e), 9033 and 9039(b). Source: 56 FR 35930, July 29, 1991, unless otherwise noted. § 9033.1 Candidate and committee agreements. (a) General. (2) The Commission will not consider a candidate's threshold submission until the candidate has submitted a candidate agreement that meets the requirements of this section. (b) Conditions. (1) The candidate has the burden of proving that disbursements by the candidate or any authorized committee(s) or agents thereof are qualified campaign expenses as defined at 11 CFR 9032.9. (2) The candidate and the candidate's authorized committee(s) will comply with the records requirements set forth in 11 CFR 9033.11. (3) The candidate and the candidate's authorized committee(s) will provide an explanation, in addition to complying with the records requirements, of the connection between any disbursements made by the candidate or authorized committee(s) of the candidate and the campaign if requested by the Commission. (4) The candidate and the candidate's authorized committee(s) will keep and furnish to the Commission all records for matching fund submissions, any books, records (including bank records for all accounts), and supporting records and other information that the Commission may request. (5) The candidate and the candidate's authorized committee(s) will keep and furnish to the Commission all records relating to disbursements and receipts including any books, records (including bank records for all accounts), all records required by this section (including those required to be maintained under 11 CFR 9033.11), and other information that the Commission may request. If the candidate or the candidate's authorized committee maintains or uses computerized information containing any of the categories of data listed in 11 CFR 9033.12(a), the committee will provide digital storage devices, containing the computerized information at the times specified in 11 CFR 9038.1(b)(1) that meet the requirements of 11 CFR 9033.12(b). Upon request, records explaining the computer system's software capabilities shall be provided, and such personnel as are necessary to explain the operation of the computer system's software and the computerized information prepared or maintained by the committee shall be made available. (6) The candidate and the candidate's authorized committee(s) will obtain and furnish to the Commission upon request all records relating to funds received and disbursements made on the candidate's behalf by other political committees and organizations associated with the candidate. (7) The candidate and the candidate's authorized committee(s) will permit an audit and examination pursuant to 11 CFR part 9038 of all receipts and disbursements including those made by the candidate, all authorized committee(s) and any agent or person authorized to make expenditures on behalf of the candidate or committee(s). The candidate and the candidate's authorized committee(s) shall also provide any material required in connection with an audit, investigation, or examination conducted pursuant to 11 CFR part 9039. The candidate and authorized committee(s) shall facilitate the audit by making available in one central location, office space, records and such personnel as are necessary to conduct the audit and examination, and shall pay any amounts required to be repaid under 11 CFR parts 9038 and 9039. (8) The candidate and the candidate's authorized committee(s) will submit the name, email address, and mailing address of the person who is entitled to receive matching fund payments on behalf of the candidate and the name and address of the campaign depository designated by the candidate as required by 11 CFR part 103 and 11 CFR 9037.3. Changes in the information required by this paragraph shall not be effective until submitted to the Commission in a writing signed by the candidate or the Committee treasurer. (9) The candidate and the candidate's authorized committee(s) will prepare matching fund submissions in accordance with the Federal Election Commission's Guideline for Presentation in Good Order. (10) The candidate and the candidate's authorized committee(s) will comply with the applicable requirements of 52 U.S.C. 30101 et seq.; et seq. (11) The candidate and the candidate's authorized committee(s) will pay any civil penalties included in a conciliation agreement or otherwise imposed under 52 U.S.C. 30109 against the candidate, any authorized committees of the candidate or any agent thereof. (12) Any television commercial prepared or distributed by the candidate or the candidate's authorized committee(s) will be prepared in a manner which ensures that the commercial contains or is accompanied by closed captioning of the oral content of the commercial to be broadcast in line 21 of the vertical blanking interval, or is capable of being viewed by deaf and hearing impaired individuals via any comparable successor technology to line 21 of the vertical blanking interval. [56 FR 35930, July 29, 1991, as amended at 60 FR 31880, June 16, 1995; 63 FR 45680, Aug. 27, 1998, 65 FR 38424, June 21, 2000; 68 FR 47418, Aug. 8, 2003; 73 FR 79602, Dec. 30, 2008; 79 FR 77851, Dec. 29, 2014; 89 FR 220, Jan. 2, 2024] § 9033.2 Candidate and committee certifications; threshold submission. (a) General. (2) The Commission will not consider a candidate's threshold submission until the candidate has submitted candidate certifications that meet the requirements of this section. (b) Certifications. political party (2) The candidate and the candidate's authorized committee(s) shall certify that they have not incurred and will not incur expenditures in connection with the candidate's campaign for nomination, which expenditures are in excess of the limitations under 11 CFR part 9035. (3) The candidate and the candidate's authorized committee(s) shall certify: (i) That they have received matchable contributions totaling more than $5,000 in each of at least 20 States; and (ii) That the matchable contributions are from individuals who are residents of the State for which their contributions are submitted. (iii) A maximum of $250 of each individual's aggregate contributions will be considered as matchable contributions for the purpose of meeting the thresholds of this section. (iv) For purposes of this section, contributions of an individual who maintains residences in more than one State may only be counted toward the $5,000 threshold for the State from which the earliest contribution was made by that contributor. (c) Threshold submission. [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. 29, 2014; 89 FR 220, Jan. 2, 2024] § 9033.3 Expenditure limitation certification. (a) If the Commission makes an initial determination that a candidate or the candidate's authorized committee(s) have knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035 prior to that candidate's application for certification, the Commission may make an initial determination that the candidate is ineligible to receive matching funds. (b) The Commission will notify the candidate of its initial determination, in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate may submit, within 20 calendar days after service of the Commission's notice, written legal or factual materials, in accordance with 11 CFR 9033.10(b), demonstrating that he or she has not knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035. (c) A final determination of the candidate's ineligibility will be made by the Commission in accordance with the procedures outlined in 11 CFR 9033.10(c). (d) A candidate who receives a final determination of ineligibility under 11 CFR 9033.3(c) shall be ineligible to receive matching fund payments under 11 CFR 9034.1. § 9033.4 Matching payment eligibility threshold requirements. (a) The Commission will examine the submission made under 11 CFR 9033.1 and 9033.2 and either— (1) Make a determination that the candidate has satisfied the minimum contribution threshold requirements under 11 CFR 9033.2(c); or (2) Make an initial determination that the candidate has failed to satisfy the matching payment threshold requirements. The Commission will notify the candidate of its initial determination in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate may, within 30 calendar days after service of the Commission's notice, satisfy the threshold requirements or submit in accordance with 11 CFR 9033.10(b) written legal or factual materials to demonstrate that he or she has satisfied those requirements. A final determination by the Commission that the candidate has failed to satisfy threshold requirements will be made in accordance with the procedures outlined in 11 CFR 9033.10(c). (b) The Commission will make its examination and determination under this section as soon as practicable. During the Presidential election year, the Commission will generally complete its review and make its determination within 15 business days. [56 FR 35930, July 29, 1991, as amended at 60 FR 31881, June 16, 1995] § 9033.5 Determination of ineligibility date. The candidate's date of ineligibility shall be whichever date by operation of 11 CFR 9033.5 (a), (b), or (c) occurs first. After the candidate's date of ineligibility, he or she may only receive matching payments to the extent that he or she has net outstanding campaign obligations as defined in 11 CFR 9034.5. (a) Inactive candidate. (1) The date the candidate publicly announces that he or she will not be actively conducting campaigns in more than one State; or (2) The date the candidate notifies the Commission in writing that he or she is not actively conducting campaigns in more than one State; or (3) The date which the Commission determines under 11 CFR 9033.6 to be the date that the candidate is not actively seeking election in more than one State. (b) Insufficient votes. (1) The Commission may refuse to accept the candidate's certification if it determines under 11 CFR 9033.7 that the candidate is an active candidate in the primary involved. (2) For purposes of this paragraph, if the candidate is running in two primary elections in different States on the same date, the highest percentage of votes the candidate receives in any one State will govern. Separate primary elections held in more than one State on the same date are not deemed to be consecutive primaries. If two primary elections are held on the same date in the same State (e.g., a primary to select delegates to a national nominating convention and a primary for the expression of preference for the nomination of candidates for election to the office of President), the highest percentage of votes a candidate receives in either election will govern. If two or more primaries are held in the same State on different dates, the earliest primary will govern. (3) If the candidate certifies that he or she will not be an active candidate in a particular primary, and the Commission accepts the candidate's certification, the primary involved shall not be counted in determining the candidate's date of ineligibility under paragraph (b) of this section, regardless of the percentage of popular votes cast for the candidate in that primary. (c) End of matching payment period. (d) Reestablishment of eligibility. [56 FR 35930, July 29, 1991, as amended at 89 FR 220, Jan. 2, 2024] § 9033.6 Determination of inactive candidacy. (a) General. (b) Factors considered. (1) The frequency and type of public appearances, speeches, and advertisements; (2) Campaign activity with respect to soliciting contributions or making expenditures for campaign purposes; (3) Continued employment of campaign personnel or the use of volunteers; (4) The release of committed delegates; (5) The candidate urges his or her delegates to support another candidate while not actually releasing committed delegates; (6) The candidate urges supporters to support another candidate. (c) Initial determination. (d) Final determination. § 9033.7 Determination of active candidacy. (a) Where a candidate certifies to the Commission under 11 CFR 9033.5(b) that he or she will not be an active candidate in an upcoming primary, the Commission may, nevertheless, on the basis of factors listed in 11 CFR 9033.6(b), make an initial determination that the candidate is an active candidate in the primary involved. (b) The Commission will notify the candidate of its initial determination within 10 business days of receiving the candidate's certification under 11 CFR 9033.5(b) or, if the timing of the activity does not permit notice during the 10 day period, as soon as practicable following campaign activity by the candidate in the primary state. The Commission's initial determination will be made in accordance with the procedures outlined in 11 CFR 9033.10(b). Within 10 business days after service of the Commission's notice the candidate may submit, in accordance with 11 CFR 9033.10(b), written legal or factual materials to demonstrate that he or she is not an active candidate in the primary involved. (c) A final determination by the Commission that the candidate is active will be made in accordance with the procedures outlined in 11 CFR 9033.10(c). § 9033.8 Reestablishment of eligibility. (a) Candidates found to be inactive. (b) Candidates receiving insufficient votes. (c) The Commission will make its determination under 11 CFR 9033.8 (a) or (b) without requiring the individual to reestablish eligibility under 11 CFR 9033.1 and 2. A candidate whose eligibility is reestablished under this section may submit, for matching payment, contributions received during ineligibility. Any expenses incurred during the period of ineligibility that would have been considered qualified campaign expenses if the candidate had been eligible during that time may be defrayed with matching payments. § 9033.9 Failure to comply with disclosure requirements or expenditure limitations. (a) If the Commission receives information indicating that a candidate or his or her authorized committee(s) has knowingly and substantially failed to comply with the disclosure requirements of 52 U.S.C. 30104 and 11 CFR part 104, or that a candidate has knowingly and substantially exceeded the expenditure limitations at 11 CFR part 9035, the Commission may make an initial determination to suspend payments to that candidate. (b) The Commission will notify the candidate of its initial determination in accordance with the procedures outlined in 11 CFR 9033.10(b). The candidate will be given an opportunity, within 20 calendar days after service of the Commission's notice, to comply with the above cited provisions or to submit in accordance with 11 CFR 9033.10(b) written legal or factual materials to demonstrate that he or she is not in violation of those provisions. (c) Suspension of payments to a candidate will occur upon a final determination by the Commission to suspend payments. Such final determination will be made in accordance with the procedures outlined in 11 CFR 9033.10(c). (d)(1) A candidate whose payments have been suspended for failure to comply with reporting requirements may become entitled to receive payments if he or she subsequently files the required reports and pays or agrees to pay any civil or criminal penalties resulting from failure to comply. (2) A candidate whose payments are suspended for exceeding the expenditure limitations shall not be entitled to receive further matching payments under 11 CFR 9034.1. [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. 29, 2014] § 9033.10 Procedures for initial and final determinations. (a) General. (1) The candidate has knowingly and substantially exceeded the expenditure limitations of 11 CFR part 9035 prior to the candidate's application for certification, as provided in 11 CFR 9033.3; (2) The candidate has failed to satisfy the matching payment threshold requirements, as provided in 11 CFR 9033.4; (3) The candidate is no longer actively seeking nomination in more than one state, as provided in 11 CFR 9033.6; (4) The candidate is an active candidate in an upcoming primary despite the candidate's assertion to the contrary, as provided in 11 CFR 9033.7; (5) The Commission receives information indicating that the candidate has knowingly and substantially failed to comply with the disclosure requirements or exceeded the expenditure limits, as provided in 11 CFR 9033.9; or (6) The Commission receives information indicating that substantial assets of the candidate's authorized committee have been undervalued or not included in the candidate's statement of net outstanding campaign obligations or that the amount of outstanding campaign obligations has been otherwise overstated in relation to committee assets, as provided in 11 CFR 9034.5(g). (b) Initial determination. (c) Final determination. (d) Effect on other determinations. (e) Petitions for rehearing. [56 FR 35930, July 29, 1991, 79 FR 77851, Dec. 29, 2014] § 9033.11 Records of disbursements. (a) Burden of proof. (b) Records required. (i) A receipted bill from the payee that states the purpose of the disbursement; or (ii) If such a receipt is not available, (A) One of the following records generated by the payee: a bill, invoice, or voucher that states the purpose of the disbursement; or (B) Where the records specified in paragraph (b)(1)(ii)(A) of this section are not available, a voucher or contemporaneous memorandum from the candidate or the committee that states the purpose of the disbursement; or (iii) Where the supporting record required in paragraphs (b)(1) (i) or (ii) of this section is not available, the candidate or committee may present collateral evidence to document the qualified campaign expense. Such collateral evidence may include, but is not limited to: (A) Evidence demonstrating that the expenditure is part of an identifiable program or project which is otherwise sufficiently documented such as a disbursement which is one of a number of documented disbursements relating to a campaign mailing or to the operation of a campaign office; or (B) Evidence that the disbursement is covered by a pre-established written campaign committee policy, such as a daily travel expense policy. (iv) If the purpose of the disbursement is not stated in the accompanying record, it must be indicated on the canceled check negotiated by the payee or the record of electronic transfer (2) For all other disbursements, the candidate shall present: (i) A record disclosing the full name and mailing address of the payee, the amount, date and purpose of the disbursement, if made from a petty cash fund; or (ii) A canceled check negotiated by the payee or a record of electronic transfer that states the full name and mailing address of the payee, and the amount, date and purpose of the disbursement. (3) For purposes of this section: (i) Payee (ii) Purpose (4) The records requirements of 11 CFR 102.9(b) shall also apply to disbursements. (c) Retention of records. (d) List of capital and other assets Capital assets. (2) Other assets. [60 FR 31881, June 16, 1995, as amended at 64 FR 49363, Sept. 13, 1999; 68 FR 47418, Aug. 8, 2003; 89 FR 220, Jan. 2, 2024] § 9033.12 Production of computerized information. (a) Categories of computerized information to be provided. (1) Information required by law to be maintained regarding the committee's receipts or disbursements; (2) Records of allocations of expenditures to particular state expenditure limits and to the overall expenditure limit; (3) Disbursements for exempt fundraising and exempt compliance costs, including the allocation of salaries and overhead expenditures; (4) Records of allocations of expenditures for the purchase of broadcast media; (5) Records used to prepare statements of net outstanding campaign obligations; (6) Records used to reconcile bank statements; (7) Disbursements made and reimbursements received for the cost of transportation, ground services and facilities made available to media personnel, including records relating to how costs charged to media personnel were determined; (8) Records relating to the acquisition, use and disposition of capital assets or other assets; and (9) Any other information that may be used during the Commission's audit to review the committee's receipts, disbursements, loans, debts, obligations, bank reconciliations or statements of net outstanding campaign obligations. (b) Additional materials and assistance. [56 FR 35930, July 29, 1991, as amended at 89 FR 220, Jan. 2, 2024]