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The Score Compliance Cases Made Public - FEC Press Release

News Releases

News Releases, Media Advisories

For Immediate Release
August 5, 2002
Corrected August 15, 2002
Contact: Kelly Huff
Ron Harris
Bob Biersack
Ian Stirton

 

COMPLIANCE CASES MADE PUBLIC
WASHINGTON -- The Federal Election Commission has recently made public its final action on six matters previously under review (MURs). This release contains only disposition information.

Specific released documents placed on the public record within the following closed MURs are cited following DISPOSITION heading. Release of these documents is consistent with the district court opinion in the December 19, 2001, decision of AFL-CIO v. FEC, now on appeal to the D.C. Circuit Court of Appeals. Once an appellate decision is rendered, the Commission will review documents related to cases released in the interim.

1/2. MURs 4382 & 4401
RESPONDENTS: (a) Dole for President, Inc.,

(b) Dole/Kemp ’96, Inc.,

(c) Dole/Kemp , ’96 Compliance, Inc.,

(d) Republican National Committee, Alec Poitevint, treasurer

(e) Nebraska Republican Federal Campaign Committee, Bob Bennie, treasurer

(f) Arizona Republican Party, Dean Cooley, treasurer

(g) San Diego County Republican Central Committee, John Vogel, treasurer

(h) Citizens Against Government Waste

(i) William Keck

COMPLAINANT: Democratic National Committee [4382]

Janet Strawder [4401]

SUBJECT: Excessive contributions; failure to accurately report contribution; corporate contribution;
DISPOSITION: (a) Reason to believe, but took no further action*

[re: with regard to the receipt of an apparent excessive contribution from the Nebraska Republican Federal Campaign Committee]

(a-c) Conciliation Agreement: $75,000 civil penalty*

Joint Agreement

[MURs 4382/4401/4670/5098/5099/5170/5171]

[re: excessive contribution; failure to report contributions; exceeded the overall expenditure limitations for the presidential primary elections; corporate contributions]

(d) Failed to pass a motion to find probable cause to believe*

[re: excessive contributions; failure to accurately report contributions]

(e-g) Reason to believe, but took no further action*

[re: excessive contribution; failure to accurately report contributions]

(h) Reason to believe, but took no further action*

[re: corporate contribution]

(i) Reason to believe, but took no further action*

[re: excessive contribution]

DOCUMENTS ON PUBLIC RECORD: First General Counsel’s report; certification of vote by Commissioners (dated May 6, 1997); Memorandum (dated May 9,1997); certification of vote by Commissioners (dated May 13, 1997); General Counsel’s Report #2; certification of vote by Commissioners (dated September 19, 2000); certification of vote by Commissioners (dated March 13, 2001); Statement of Reasons by Commissioners Mason, Smith and Wold (dated June 11, 2001); certification of vote by Commissioners (September 7, 2001), Conciliation Agreement; Global Settlement and Release; Statement of Reasons by Commissioners McDonald, Thomas and Sandstrom (dated December 7, 2001); Supplemental Statement of Reasons by Commissioners Mason, Smith and Wold (dated February 1, 2002); receipt of payment (dated February 1, 2002)
3. MUR 4783
RESPONDENTS: (a) Brian Babin for Congress, Thomas E. Freeman, treasurer

(b) Dr. Brian Babin

(c) Walter Whetsell

(d) Peter F. Cloeren

(e) Cloeren, Inc.

(f) Honorable Thomas D. DeLay

(g) Tom DeLay Congressional Committee, David Evans, treasurer

(h) Honorable Strom Thurmond

(i) Palmetto Leadership PAC (FKA Reelect Thurmond Committee, J. Kershaw Spong, treasurer)

(j) Steven L. Gill

(k) Anne Coates

(l) Edward H. Cone

(m) Gayle O. Averyt

(n) Tony and Nancy Dallas

(o) Jack and Cyndi Tindel

(p) Cheryl David

(q) Joe and Nancy Sanders

(r) Paul and Leigh Ann (Lisa) Peveto

(s) Robert H. Ewing

(t) Keith and Robin Johnston

(u) Rolf and Linda Schulz

(v) Claude W. and Felicia Huckaby

(w) Robert E. and Mildred A. Frank

(x) Bobby Frank

(y) Holly Nguyen Vu

(z) Thang Nquyen Vu

(aa) Roy and Billie M. Locks

(ab) Gertie Ewing

(ac) Ken Johnson

(ad) Rose J. Lucia

(ae) Mike and Cynthia Lucia

(af) Gary Oliver

(ag) Jaquelyn Oliver

(ah) Norma F. Smith

COMPLAINANTS: Sua sponte
SUBJECT: Contributions in the names of others; corporate contributions; failure to report contribution timely; excessive cash contributions: excessive anonymous contributions
DISPOSITION: (a) Conciliation Agreement: $6,700 civil penalty*

[re: contributions in the names of others; corporate contribution; failure to report contribution timely]

No reason to believe*

[re: excessive cash contribution; excessive anonymous contributions; soliciting or accepting contributions by A. Coates, E. Cone, and G. Averyt or soliciting contributions to the Gill and Thurmond committees/contributions in the names of others]

(b) No reason to believe*

[re: excessive cash contribution; excessive anonymous contributions; soliciting or accepting contributions by A. Coates, E. Cone, and G. Averyt or soliciting contributions to the Gill and Thurmond committees/contributions in the names of others]

(c) Reason to believe, but took no further action*

[re: Knowing and willful: contributions in the names of others]

No reason to believe*

[re: soliciting or accepting contributions by A. Coates, E. Cone, and G. Averyt or soliciting contributions to the Gill and Thurmond committees/contributions in the names of others]

(d) Reason to believe, but took no further action*

[re: Knowing and willful: corporate contributions; excessive contributions; contributions in the names of others]

Sent admonishment letter.

No reason to believe*

[re: no violation of the Act in connection with contributions to the Thurmond and Gill committees]

(e) Reason to believe, but took no further action*

[re: Knowing and willful: corporate contributions; contributions in the names of others]

Sent admonishment letter.

(f-g) No reason to believe*

[re: contributions in the names of others; corporate contribution - by traveling to Orange, TX on a flight paid for by Cloeren, Inc., violated the Act in connection with contributions by Mr. Cloeren to the Thurmond and Gill committees and contributions made by G. Averyt, A. Coates and E. Cone to the Babin committee]

(h-m) No reason to believe*

[re: violated any provision of the Act on the basis of the complaint filed in MUR 4783]

(n-s) Reason to believe, but took no further action*

[re: contributions in the names of others]

Sent admonishment letters.

(t-ah) Reason to believe, but took no further action*

[re: contributions in the names of others]

DOCUMENTS ON PUBLIC RECORD: First General Counsel’s Report; certification of vote by Commissioners (dated July 20, 1999); General Counsel’s Report #4 (dated January 21, 2000); certification of vote by Commissioners (dated January 26, 2000); General Counsel’s Report #5 (dated November 9, 2000); certification of vote by Commissioners (dated November 28, 2000); Conciliation Agreement (Brian Babin for Congress); certification of vote by Commissioners (dated March 14, 2001); receipt of payment (dated July 31, 2001)
4. MUR 4872
RESPONDENTS: (a) Republican Party of Louisiana, Carrey Holliday, treasurer

(b) Jenkins for Senate 1996, Michael A. Tham, treasurer

(c) Woody Jenkins

(d) Thibodaux for Congress ’96, Errol L. Cormier, treasurer

COMPLAINANT: FEC Initiated (RAD)
SUBJECT: Misreporting of and failure to report contributions and expenditures; failure to amend Statement of Organization timely; disclaimers; filing false disclosure reports; excessive contributions
DISPOSITION: (a) Conciliation Agreement: $10,000 civil penalty*

[re: misreporting of and failure to report contributions and expenditures in support of Jenkins and Thibodaux; failure to amend Statement of Organization timely; failure to include appropriate disclaimers in several of its advertisements in support of Jenkins]

No probable cause to believe*

[re: failure to properly report contributions; proper disclaimers in television advertisement]

(b-c) Conciliation Agreement:

The Commission has determined that the civil penalty of $82,500 ordinarily would be appropriate in the matter but the Commission has agreed to accept a $3,000 civil penalty settlement of this matter, based on documentation and representations made by Respondents concerning their present financial circumstances.

[re: knowing and willfully filed false disclosure reports]

(b) Reason to believe, but took no further action*

[re: excessive contributions]

(d) Reason to believe, but took no further action*

[re: excessive contributions]

DOCUMENTS ON PUBLIC RECORD: General Counsel’s Report (dated June 21, 2001); Memorandums to the Commission (dated June 21, 2001); certification of vote by Commissioners (dated June 26, 2001); General Counsel Report (dated August 15, 2001); Memorandum to the Commission (dated August 17, 2001); certification of vote by Commissioners (dated August 21, 2001); Conciliation Agreement (Republican Party Louisiana); certification of vote by Commissioners (dated September 20, 2001); receipt of payment (dated September 6, 2001); Conciliation Agreement (Jenkins for Senate 1996); certification of vote by Commissioners (February 1, 2002); receipt of payment (dated April 3, May 2, and June 4, 2002)
5. MUR 5176
RESPONDENTS: (a) Dave Wu for Congress, Jay Castle, treasurer

(b) George K. Miller

(c) George Huang

(d) Edward King

(e) Doreen Margolin

(f) Carol Santesson

(g) C. Norman Winningstad

COMPLAINANT: FEC Initiated (Audit)
SUBJECT: Excessive contributions; failure to keep accurate records for disbursements
DISPOSITION: (a) Conciliation Agreement: $30,000 civil penalty*

(b) Conciliation Agreement: $1,125 civil penalty*

(c) Reason to believe, but took no further action*

[re: excessive contributions]

DOCUMENTS ON PUBLIC RECORD: First General Counsel’s Report; certification of vote by Commissioners (dated February 21, 2001); Conciliation Agreement (George K. Miller); certification of vote by Commissioners (dated June 20, 2001); receipt of payment (dated June 5, 2001); Conciliation Agreement (Dave Wu for Congress), certification of vote by Commissioners (dated May 23, 2002); receipt of payment (dated May 7, 2002)

The Enforcement Priority System (EPS) rates all incoming cases against objective criteria to determine whether they warrant use of the Commission’s limited resources.

Cases dismissed under EPS fall into two categories: low-rated cases and stale cases. Low rated cases are those that do not warrant use of the Commission’s resources to pursue because of their lower significance relative to other pending matters. Stale cases are those that initially received a higher rating but have remained unassigned for a significant period due to a lack of staff resources for effective investigation. Effective enforcement relies upon the timely pursuit of complaints and referrals to ensure compliance with the law. Investigations concerning activity more remote in time usually require a greater commitment of resources, primarily due to the fact that the evidence of such activity becomes more difficult to develop as it ages. The utility of commencing an investigation declines as these cases age, until they reach a point when activation of a case would not be an efficient use of the Commission’s resources. As cases reach this point, they are recommended for dismissal.

Dismissed—Stale
6. MUR 4757
RESPONDENT: Republican National Committee
COMPLAINANT: Democratic National Committee
SUBJECT: Use of non-federal funds in connection with a national campaign
DOCUMENTS ON PUBLIC RECORD: General Counsel’s report; amended certification of vote by Commissioners (dated July 17, 2001)

*There are four administrative stages to the FEC enforcement process:

1. Receipt of proper complaint 3. "Probable cause" stage
2. "Reason to believe" stage 4. Conciliation stage

It requires the votes of at least four of the six Commissioners to take any action. The FEC can close a case at any point after reviewing a complaint. If a violation is found and conciliation cannot be reached, then the FEC can institute a civil court action against a respondent.