Compliance offices

The Audit Division’s major responsibilities concern the public funding of presidential campaigns and audits of various political committees. The division evaluates the presidential primary candidates’ applications for matching funds and determines the amount of contributions that may be matched with federal funds. As required by law, the division audits all recipients of public funds. In addition, the division audits any political committee that is required to file a report under 52 U.S.C. §30104. Prior to conducting any audit under this subsection, the Commission performs an internal review of reports filed by the committees to determine if the reports filed meet the threshold requirements for substantial compliance with the Federal Election Campaign Act, as amended. Audit Division resources are also used in the Commission’s investigations of complaints. The Audit Division publishes its findings in audit reports.

Campaign finance analysts within the Authorized and Party/Non-Party Branches assist committee officials in complying with reporting requirements and conduct a detailed review of the campaign finance reports filed by political committees and other entities. If an error, omission or apparent prohibited activity (for example, an excessive contribution) is discovered in the course of reviewing a report, the analyst sends the committee a Request for Additional Information (RFAI) which requests that the committee either amend its reports or provide further information concerning a particular issue. By sending these letters, the Commission seeks to ensure full disclosure and to encourage the committee's voluntary compliance with the law. Analysts also provide frequent telephone and email assistance to committee officials and encourage them to contact the division with reporting questions or compliance problems. The Compliance Branch within RAD administers and tracks committee compliance in regards to the Non-Filer and Administrative Fine programs. The Reports Processing Branch processes incoming paper campaign finance disclosure reports from federal political committees and other entities and ensures itemized transactions are properly categorized in the disclosure database and made available to the public for all filings.

The Office of Administrative Review (OAR) reviews challenges submitted by committees and their treasurers in response to the Commission's reason to believe findings under the Administrative Fine program. This program and its regulations were adopted in 2000 after statutory amendments permitted the Commission to impose civil money penalties for filing reports late or not filing them at all. OAR reviews these challenges and, in the challenge process, OAR may recommend that the Commission uphold the RTB finding and civil money penalty, uphold the RTB finding but modify or waive the civil money penalty, determine that no violation occurred, or terminate its proceedings. OAR also serves as the Commission's liaison with the U.S. Department of the Treasury on debt collection matters involving unpaid civil money penalties under this program and for the program's lockbox operation.

The mission of the Alternative Dispute Resolution Office (ADRO) is to minimize case processing time; reduce Commission resources in resolving cases; increase the public’s and respondents’ satisfaction with the Commission’s enforcement of the Federal Election Campaign Act, as amended (FECA or the Act); promote compliance through remedial measures aimed at assisting the Committees with future adherence to the law; and to give respondents a voice in fashioning specific corrective measures tailored to their needs, their resources, and the particular issues involved in the case. Cases processed by the ADRO consist of internal referrals from RAD and Audit, as well as matters transferred from the Office of General Counsel (OGC).