Edward D. FeigenbaumAttorney at Law MAUPost Office Box 383 .. „ , ,Noblesvffle, Indiana 46060 9! HAR 18 AH 9- U 317/773-8715

March 14 f 1991 !£0,7

50 "a

GO . «">' rLawrence M. Noble, Esq. -o ^n<General Counsel 3 -OdFederal Election Commission to -i;-?999 E Street, N.W. «- J*Washington, D.C. 20463 **

zDear Larry:

This letter requests an Advisory Opinion from the FederalElection Commission on the applicability of 2 U.S.C.S434(b) (3) (A) to an activity that I would like to undertake inIndiana .

I am planning to create a campaign finance database for Indianastate and legislative offices only — not for any federalcandidates. The database — and resulting publication — would detailwhat individuals, Indiana political committees, candidates, andother persons have contributed what amounts to whom in Indiana;which individuals, candidates, Indiana political committees, andother persons have benefited from expenditures from campaigns andcommittees, and the like. The information will help Hoosiersunderstand more about who is financing campaigns and in whatamounts. I do not intend to publish any address information forany individual, candidate, committee, or other person.

So far, there is no intersection of my proposed activity withfederal law. If my activity is permitted under Indiana law, Ishould not have any fear of running afoul of the Federal ElectionCampaign Act and its interpretations.

Where my question arises is under an Indiana provision whichpermits a political committee to file a copy of its FEC Form 3-X with the State Election Board to comply with Indiana law. I.e.3-9-5-13 states in pertinent part that:

A person may file duplicates of the reports required to Jbefiled under the Federal flection Campaign Act (2 U.S.C.431 et seq.) to comply with this chapter. Such a duplicatemust cover all activity of the committee f and thecommittee shall file a supplementary report as directed bythe state election board to provide information requiredby this -article but not included in the federal report.

Indeed, the State Election Board has promulgated a rule thatrequires itemization of contributions and expenditures betweenIndiana's $100 threshold and the $200 federal threshold.

Edward D. Feigenbaum

Lawrence M. Noble, Esq.March 14, 1991Page 2

My specific question is this: if Indiana law would permit me toundertake the activity that I have outlined above, may I useinformation from the FEC Form 3-X that federally registeredpolitical committees have filed with the Indiana State ElectionBoard (in lieu of their filing the Indiana-required form)? Statedin other terms, if a federally registered political committeehad chosen to file the Indiana form, and my use of thatinformation was legal under Indiana law, would my use of suchinformation from the FEC Form 3-X filed in Indiana (in lieu offiling the Indiana-required form) be lawful activity?

Common sense would seem to dictate that the Indiana filing of theFEC Form 3-X should not serve as a means to exempt a politicalcommittee from scrutiny that it might otherwise be afforded ifthe same information—indeed, in greater detail—had been filedon an Indiana form.

A prompt response to this Advisory Opinion Request would beappreciated.

best wishes,

Edward D. Feigenbaum

end.: I.e. 3-9-5-13

88

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89 REPORTS REQUIRED OF CANDIDATES AND COMMITTEES 3-9-5-14

3-9-5-9. Candidates not appeanngon ballots or seeking nomination dur-ing year—Report required. — In a yearin which a candidate does not appear on anelection ballot for an office to which thisarticle applies or does not seek nominationat a caucus or state convention for electionto an office to which this article applies,the treasurer of the candidate's committeeshall file only the report required bysection 10 [3-9-5-10] of this chapter[PL5-1986, § 5]

3-9-5-10. Annual committee reports— The treasurer of each committee shallfile a report each year that is complete asof December 31 of the previous year andcovers the period since the last report Thisannual report is due by noon

(1) January 15, in the case of a candi-date's committee or political actioncommittee, or(2) March 1, in the case of a regularparty committee

[PL5-1986, § 5, PL 10-1988, § 73]

3-9-5-11. Disbanding committee re-ports. — No later than noon thirty (30)days after the date a committee disbands,the last person to be treasurer of thecommittee shall file a final report that iscomplete as of the last day the committeeexisted and covers the period since the lastreport [PL5-1986, * 5, PL 10-1988,§74]

3-9-5-12. Change of treasurer re-ports. — No later than noon thirty (30)days after the date a treasurer of a contin-uing committee leaves office, the outgoingtreasurer shall file a final report that iscomplete as of the last day the person wastreasurer and covers the period since thelast report [P L 5-1986, § 5, P L 10-1988,§75]

3-9-5-13 Use of federal election re-ports. — A person may file duplicates ofthe reports required to be filed under theFederal Election Campaign Act (2 U S C431 et seq) to comply with this chapterSuch a duplicate must cover all activity ofthe committee, and the committee shallfile a supplementary report as directed bythe state election board to provide infor-mation required by this article but notincluded in the federal report Each candi-date for United States Senator or Repre-sentative and the treasurer of the candi-date's committee may file with the stateelection board duplicates of the reportsrequired by federal law fP L 5-1986, <} 5 1

3-9-5-14 Committee's treasurer re-ports — Applicability to political ac-tion committees — Adoption of rules toestablish value of donations. — (a) Thereport of each committee's treasurer mustdisclose the following

(1) The amount of cash on hand at thebeginning of the reporting period(2) The total sum of individual contri-butions, including transfers-m, ac-cepted by the committee during itsreporting period(3) The full name and mailing addressof each person who has made one (1) ormore contributions within the year inan aggregate amount that

(A) Exceeds one hundred dollars($100), in the case of a candidate'scommittee or political action com-mittee, or(B) Exceeds two hundred dollars($200), in the case of a regular partycommittee, in actual value to or forthe committee, including the pur-chase of tickets for events such asdinners, luncheons, rallies, and sim-ilar fundraising events, togetherwith the date and amount of thecontributions

(4) The name and address of eachcommittee from which the reportingcommittee received, or to which thatcommittee made, a transfer of funds,together with the amounts and datesof all transfers(5) Each loan to or from a personwithin the reporting period togetherwith

(A) The full names and mailingaddresses of the lender and en-dorsers, if any, and(8) The date and amount of theloanb

(6) The total sum of all receipts of thecommittee during the repotting pe-riod(7) The full name, mailing address,occupation, and principal place ofbusiness, if any, of each person otherthan a committee to whom an expen-diture was made by the committee oron behalf of the committee within theyear in an aggregate amount that

(A) Exceeds one hundied dollars($100), in the case of a candidate'scommittee or political action com-mittee, or(B) Exceeds two hundred dollars($200), in the case of a regular partycommittee,

(8) The name, address, and officesought by each candidate for whomany expenditure was made 01 a state-ment identifying the public questionfor which any expenditure was made,

FEDERAL ELECTION COMMISSIONWASHINGTON DC 20463

March 25, 1991

Edward D. FeigenbaumAttorney at LawP.O. Box 383Noblesville, IN 46060

Dear Mr. Feigenbaum:

This responds to your letter dated March 14, 1991,concerning application of the Federal Election Campaign Actof 1971, as amended ("the Act"), and Commission regulationsto the publication of a campaign finance database.

You plan to publish a campaign finance database forIndiana state and legislative offices only, not for anyFederal candidates. The database would detail theindividuals, Indiana political committees, candidates, andother persons that have contributed, the amounts they havecontributed, and the recipients. You also plan to detail theindividuals, candidates, Indiana political committees, andother persons that "have benefited from expenditures fromcampaigns and committees, and the like." You do not intendto publish any address information for any individual,candidate, committee, or any other person.

You make reference to a provision of Indiana law whichpermits a political committee to file a copy of its FEC Form3-X (i.e., for other than authorized committees) with theState Election Board to comply with Indiana law. Thatprovision also states that the committee shall file asupplementary report as directed by the State Election Boardto disclose information required by the State but notincluded in the Federal report. The Board requiresitemization of contributions between $100 and $200.

Assuming Indiana law permits you to undertake theactivity described above, you wish to know whether you mayuse information from the FEC Forms 3-X filed with the State.

The Act authorizes the Commission to issue an advisoryopinion in response to a "complete written request" from anyperson with respect to a specific transaction or activity bythe requesting person. 2 U.S.C. $437f(a). Commissionregulations explain that such a request "shall include acomplete description of all facts relevant to the specifictransaction or activity with respect to which the request ismade." 11 CFR 112.l(c).

Letter to Edward D. FeigenbaumPage 2

In view of the cited requirements, you will need toprovide some clarification as to a number of relevant factorsreferred to in the questions set out below.

(1) State what information you intend to publish from theFEC Forms 3-X. Specifically, state whether you intendto publish the names of contributors to thosecommittees.

(2) If you are publishing the names of contributors, statewhether you will be listing their home cities or states.

(3) State whether you will be using or publishinginformation from reports filed by the principal campaigncommittees (or authorized committees) of Federalcandidates.

(4) State whether this database or publication will be soldor distributed for free.

For your information and review, I am enclosing copiesof Advisory Opinions 1989-19, 1988-2, 1986-25, and 1980-101.

Upon receiving your responses to the above questions,this office and the Commission will give furtherconsideration to your inquiry as an advisory opinion request.If you have any questions concerning the advisory opinionprocess, the enclosed opinions, or this letter, pleasecontact the undersigned.

Sincerely,

Lawrence H. NobleGeneral Counsel

N. Bradley LitfchfieKAssociate General Counselj

Enclosures

OCrCEdward D. Feigenbaum KMHA, 4L"ffi!SDAttorney at Law MAII ROOMPost Office Box 383 q. .pR . . „ „ « «Noblesvilte, Indiana 46060 3I A™ ** «" * 3»7/773-8715

r-7VJO FZ

March 31, 1991

N. Bradley Litchfield, Esq. Fo ~3Associate General Counsel ^ y=jjFederal Election Commission ° M'£999 E Street, N.W. ~§Washington, D.C. 20463

Dear Mr. Litchfield:

Thank you for your letter of March 25 responding to my AdvisoryOpinion Request. You have correctly restated and interpreted thepoints that I raised in my March 14 AOR.

You also raised several "relevant factors" for which you requiredadditional clarification under 11 CFR 112.l(c). This letter isintended to provide that information.

[1] State what information you intend to publish from theFEC Forms 3-X. Specifically, state whether you intendto publish the names of contributors to thosecommittees.

Response; There are some Indiana political committeesthat are registered with the Federal ElectionCommission, but which also engage in activitywithin the State of Indiana. I intend topublish the names of certain contributors(and the amounts they have contributed) to

— those Indiana political committees which, forreasons of convenience, have chosen to fileFEC Forms 3-X with the Indiana State ElectionBoard in lieu of filing the required Indianacampaign finance statement. I also intend topublish the names of certain contributors(and the amounts they have contributed) tosuch committees as may be found on theIndiana-required supplemental reports thatmay be appended to the FEC Forms 3-X.Finally, I intend to publish the names ofcertain recipients of expenditures (andamounts received) for such committees fromthe FEC Forms 3-X and supplemental state-mandated forms.

N. Bradley Litchfield, Esq.March 31, 1991Page 2

[2] If you are publishing the names of contributors, statewhether you will be listing their home cities orstates.

Response: I intend to publish the names and home citiesor states of certain contributors to Indianapolitical committees which, for reasons ofconvenience, have chosen to file FEC Forms 3-X with the Indiana State Election Board inlieu of filing the required Indiana campaignfinance statement. I also intend to publishthe names and home cities or states ofcertain contributors (and the amounts theyhave contributed) to such committees as maybe found on the Indiana-required supplementalreports that may be appended to the FEC Forms3-X. Finally, I intend to publish the namesand home cities and states of certainrecipients of expenditures (and amountsreceived) for such committees from the FECForms 3-X and supplemental state-mandatedforms. I do not intend to publish addressesfor any such persons.

[3] State whether you will be using or publishinginformation from reports filed by the principalcampaign committees (or authorized committees) ofFederal candidates.

Response: As my Advisory Opinion Request stated, I amonly interested in publishing informationabout contributions to and expenditures bycandidates for state and legislative officein Indiana, and Indiana-registered politicalcommittees. I will not be using or publishingany information from reports filed by theprincipal campaign committees (or authorizedcommittees of Federal candidates.

[3] State whether this database or publication will be soldor distributed for free.

Responsei This database or publication will be offeredfor sale.

I must reiterate that the information that I am seeking tocompile from the FEC Forms 3-X filed in Indiana would ordinarilybe filed on state forms, and not subject to the jurisdiction ofthe Federal Election Commission under the Federal ElectionCampaign Act of 1971, as amended, and Commission regulations. Thesole reason that the Indiana political committees have chosen tofile the FEC Forms 3-X with the Indiana State Election Board is

N. Bradley LitchfieldMarch 31, 1991Page 3

merely for reasons of reporting convenience. Such action shouldnot, in my view, serve to insulate them from publication ofmaterial which, if filed on the Indiana-required campaign financestatement, could be made available for publication under Indianalaw.

Thank you again for your prompt reply to my Advisory OpinionRequest. I look forward to the Commission's prompt resolution ofthe issues posed by my Request. Please don't hesitate to contactme again should you or the members of the Commission require anyadditional information to determine your answer.

Edward D. Feigenbaum

FEDERAL ELECTION COMMISSIONWASHINGTON DC 20463

April 16, 1991

Edward D. FeigenbaumAttorney at LawP.O. Box 383Noblesville, IN 46060

Dear Mr. Feigenbaum:

This is in further response to your letters dated March14 and March 31, 1991, with respect to the publication of acampaign finance database. The Office of General Counselneeds to clarify certain information before considering yourinquiry to be a complete advisory opinion request.

Specifically, this office needs to clarify the types ofnames that you propose to copy, i.e., whether they are namesthat are being reported to the Commission on Form 3X or arenames that are being added only to the 3X that is being filedwith the State of Indiana. In order to have this pointillustrated most clearly, we are enclosing sample DetailedSummary Pages and sample Schedule A's for a hypotheticalcommittee.

The first sample set (Sample 1) represents a reportfiled with the Commission and, pursuant to 2 U.S.C. 5439,filed with the State. The second sample set (Sample 2)represents a report filed only with the State of Indiana.These reports cover the same contribution activity. Theyeach include a reference on the Detailed Summary Page to thetotal of contributions received and the totals for itemizedand unitemized contributions. They each also include oneSchedule A page listing the itemized contributors andreflecting all of the itemized activity and all contributionsreceived for the report. Please review the enclosed samplesand state which contributor entries you would propose toinclude in your publication. Assume all contributors arelisted with Indiana addresses.

i

We have also enclosed a blank set of FEC Form 3X's andSchedule A's in the event you wish to prepare your own

Letter to Edward D. FeigenbaumPage 2

illustration of what entries you propose to copy for yourdatabase project.

If you have any questions concerning this letter or theadvisory opinion process, please contact the undersigned.

Sincerely,

Lawrence H. NobleGeneral Counsel

BY:N. Bradley/LitclAssociate (General Counsel

Enclosures

DETAILED SUMMARY PAGEOF RECEIPTS AND DISBURSEMENTS

PAGE 2, FEC FORM 3X (revised 1/1/91)NAME REPORT

FROM IPERIOD

TO 3/31

11

COLUMNATaW This Mod

COLUMNS

bcd

Contnbutions (other than loans) Froma Individual/Persons Other Than Political Commrttees

i Itemized (use Schedule A)ii Urutamizedin TotalPolitical Party CommitteesOther Political Commttees (such as PACs)Total Contnbutions

Transfers From Affikated/Other Party CommitteesAH Loans ReceivedLoan Repayments ReceivedOffsets To Operating Expemttures (Refunds. Rebates, etc)RefurKtedtkmtnbutonsMadetoFeder^CarKlidatesarrfOTOther Federal Receipts (Dividends, Interest, etc)Transfers from Nonfederal Account tor Joint ActivityTotal Recocts (add lid, 12.13,14,15,16,17, and 18) >Total Federal Reoapts (subtract line 18 from line 19) >

(addiandn)>

(addani.bandc)>

• fl•!•!•• Ill JklMllMllttMkJkMr romcai conuniuBes

/. aoo

121314151617IB1920

21 Operating Expendduresa Shared Federal/Non-Federal Activity (from Schedule H4)

i Federal Shareii Non-Federal ShareOther Federal Operating ExpendituresTotal Operating Expenditures (Addai,au,andb))>

22 Transfers to Affliated/Omer Party Commrttees23 Contnbutions to Federal tarKWates/Comrnrttees and Other Political Committees24 Independent Expenditures (use Schedule E)25 Coordinated Expenditures Made by Party Committees (2 U S C 441a(d)) (use Schedule F)26 Loan Repayments Made27 Loans Made28 Refunds of Contributions To

a Individuals/Persons Other Than Political Committeesb Political Parly Committeesc Other Political Committees (such as PACs)d Total Contribution Refunds (Adda.bandc)>

29 Other Disbursements30 Total Disbursements (add 21c, 22, 23. 24, 25, 26,27, 28d, and 29) >

Total Federal Disbursements (subtract bne 21 a n from line 30) >

bc

31

32 Total Contnbutions (otherthan toans)(from line lid)

33 Total Contnbutnn Refunds (from line 28d)

34 rtet Contnbutions (other than toans)(subtract line 33 from 32)

35 Total Federal Operating Expenditures (add2laiand2lb)>

36 Offsets to Operating Expendrtures (from line 15)

SCHEDULE A ITEMIZED RECEIPTSUse separate schedules)for each category of theDetailed Summary Page

PAGE OF

/ I iFOR LINE NUMBER

* not be sold or used By any person for the purpose of foliating contributions or for commercial_«aa*asa of any political ccmmmae to ioi.cn contributioni from such committee

NAMI OP COMMITTEEbi MU

Full Nan*. Marting AiMiess and

AW CAw^T

Receipt For ]""fOther (ipacify)

nGeneral

Receipt For j [Primary j ) General

Other (specify)

M Bia_MijlMf_aa|W

C/V^ &*£*&»

Occupitton

fbie***Aggregate Yeerte-0ata>$-m-_-_w.--l-_B-«---_-_-.I-m-_-.-B -m

Data (monthday. year)

ifafa

Aggregate YeaMo-Date > $ fl S" O

Amount of EachReceipt this Period

O Full IName of Employer

For | | Prrniery j | General

|~~i Other (specify)

Data imontnday.yeari

Amount of Eachn6cnpt tniB Pwiod

9is*

i ana) ZIP Coda Name of Emoloyer

Occupation

Receipt For I I| | Other (specify)

| |General

Date (monthdav.veari

Amount of EachReceipt this Period (

Aggregate Yeer-to-Date J> S

P Putt end ZIP NMW of Emptoyvr

I Other (specify)[_J Primary [3

YeeMB-Oata^S

Data (montnday. veer)

Amount of EachReceipt this Period

lanriZIP Nmw of Emplovor

rFbr OI

I sueTfOTAI. of Reeaans Thh Page (optional)

n

Data (month,dav.vmr)

of EachQIM PWnoo

>s

DETAILED SUMMARY PAGE *OF RECEIPTS AND DISBURSEMENTS 2-

PAGE 2, FEC FORM 3X (wised 1/1/91)

NAME*

22232425262728

293031

I

11 Contributions (other than loans) Froma Individual/Persons Other Than Political Committees

i Itemized (use Schedule A)u Unitemizedin Total

b Political Party Committeesc Other Political Committees (such as PACs)d Total Contributions

(addiandn)>

(addain,bandc)>12 Transfers From Affiliated/Other Party Committees13 All Loans Received14 Loan Repayments Received15 Onsets To Operating Expenditures (Refunds. Rebates, etc)16 Refunds of Contabutnns Made to Federal OuidK^17 Other Federal Reonpts (Dividends, Interest, etc)18 Transfers from Nonfederal Account for Joint Activity19 Total Recaps (add 11d, 12,13,14,15,16,17, and 18) >20 Total Federal Recopts (subtract brie 18 from line 19) >

21

(Addai,an.andb))>

Operating Expendituresa Shared Federal/Non-Federal Activity (from Schedule H4)

i Federal Shareit Non-Federal Share

b Other Federal Operating Expendituresc Total Operating ExpendituresTransfers to AffdiateoVOther Party CommitteesComnbutons to Federal Candidates/Committees and Other Political CommitteesIndependent Expenditures (use Schedule E)Coordinated Expenditures Made by Party Committees (2 U S C 441a(d)) (use Schedule F)Loan Repayments MadeLoans MadeRefunds of Contnbutnns Toa Individuals/Persons Other Than Political Committeesb Political Party Committeesc Other Political Committees (such as PACs)d Total Contribution Refunds (Adda.bandc)>Other DisbursementsTotal Disbursements (add 21c, 22,23,24,25,26,27,28d, and 29) >Total Federal Disbursements (subtract line 21 a u from line 30) >

32 Total Contributions (other than tans)(from hne 11d)

33 Total Contribution Refunds (from hne 28d)

34 Net Contributions (other than toans)(subtract line 33 from 32)

35 Total Federal Operating Expenditures (add21aiand21b)>

36 Onsets to Operating Expenditures (from line 15)

(subtract line 36 from 351 >

REPORT COVERING/ERIOOFROM /// fat

COLUMN ATotal This Period

COLUMN B

SCHEDULE A ITEMIZED RECEIPTSUst sapwna scheduled) PAGE OF

/ I /

FOR LINE NUMBER

Any information copied from such Reports and Statements may not be told or used by any parson for tlw purpose of soliciting contributions or for commercialMhar uamg tlw nar* and addraas of any cornea) committee ^^^

\IUAME OF COMMITTEE (in Full)

) Fiu^G

C,rV, At* 60**Receipt For |_J

IMtNfM Of BfnDMW

c*.Occupation

-f«9/r k«Aggregna Year te-Oata

Data (month,day. year)

l/t*fa

Amount of EachnofiOjOt tnis POTIOQ

y ,Smer

Name of Employer

/*.*/**«Daw (month,day. yew)

Amount of EachRacaajK this Period

RacnptFer T3 | | GeneralOccupation .

rete*.?Aggregate Yeano4}ata

Nama of Employer

Occupation

RMMDI For | _ j Pranvy j _ |I FOttardpmfy)

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Data (rnontn,day. year)

Amount of EachReceipt this Pared

Aggregate YeaMO-Oata >> S

D. Full I eea and ZIP Coda

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j | Primary | | General

Name of Employer Oateimomnday. year)

Aggregate Vear.fo43aw

Reemn For| | Other (specify)

[_j GeneralOccupation

Date Imontndav.yeari

Aggregate YeaMo-Oate >. S

Amount of EachRecent this Parted

Amount of EachReceipt this Period

Nama of Employer

GJS*

Receipt For f~fr~I Other (spaafyl

nAggregate YeaMe-Oata^S /3.S

day.yearlAmount of Each

ROEMDK this Panod

Name of Emplovar

F o r " | [Primary | | Generalf~| Other (specify)

Data (montn. of Eachthis Panod

Aggragm V

•JaTIOTAt of ReeeansTTiiaPae* (optional)

* > / 3 » n « I

Edward D. Feigenbaum

, «, FEIJtRfli « U -ON CCHMISSICNPost Office Box 383 I I A I I -.(MMNoblesville, Indian. 46060 g| ApR ^ g | ? -, 317/773-8715

April 21, 1991 — ~"

N. Bradley Litchfield, Esq.Associate General CounselFederal Election Commission999 E Street, N.W. -»Washington, D.C. 20463

Dear Mr. Litchfield:

Thank you for your letter of April 16, 1991 responding to myAdvisory Opinion Request of March 14, and further informationsent on March 31, 1991.

Your current query seeks "to clarify the types of names that [I]propose to copy, i.e., whether they are names that are beingreported to the Commission on Form 3X or are names that are beingadded only to the 3X that is being filed with the State ofIndiana . "

The Indiana Election Code requires all Indiana political actioncommittees to file periodic reports of contributions andexpenditures. I.e. 3-9-5-1; I.e. 3-9-5-2. If an Indiana politicalaction committee also happens to be required to file reports withthe Federal Election Commission, it may fulfill its Indianareporting obligation by filing "duplicates of the reportsrequired to be filed under the Federal Election Campaign Act (2U.S.C. 431 et seq.) to comply with this chapter. Such a duplicatemust cover all of the activity of the committee, and thecommittee shall file a supplementary report as directed by thestate election board to provide information required by thisarticle but not included in the federal report." I.e. 3-9-5-13.The "supplementary information" required by the State ElectionBoard is disclosure of all contributions and expenditures fallingbetween Indiana's $100 disclosure threshold and the FECA's $200level.

What I am seeking to do is copy some of the information includedon the reports filed with the Indiana State Election Board byIndiana political action committees. This information wouldlikely include both the names being reported to the FederalElection Commission on Form 3X and the names being added to theForm 3X that is filed with the State of Indiana.

N. Bradley Litchfield, Esq.April 21, 1991Page 2

If I am not permitted to copy the information from the Form 3Xvoluntarily filed with the State of Indiana, but may do so fromthe supplementary report filed with the State, then I am leftwith a most perplexing situation that certainly was not intendedby those who drafted the law: I would be permitted to report, tothe extent permitted by state law, all contributions andexpenditures by Indiana-registered political action committeeswhich have chosen to file the state-required disclosure report,but only information on contributions and expenditures between$100 and $199.99 for Indiana-registered political actioncommittees which have voluntarily chosen to file the FEC Form 3Xand Indiana supplementary report with the Indiana State ElectionBoard.

My understanding of the FECA and the regulations is that the Form3X is covered by the commercial use prohibitions only [1] when itis filed with the Federal Election Commission; [2] when it isfiled as a required report with state authorities; and [3] whenit is made available for public inspection by the candidate orpolitical committee.

Here, the State of Indiana has required certain reports to befiled. Strictly as a matter of convenience, it has allowed anIndiana political action committee the option to file its FECForm 3X (and a supplement to bring it up to Indiana's disclosurestandards) to meet this statutory requirement. By voluntarilyfiling a Form 3X and supplement in lieu of the Indiana form, thepolitical action committee should not find itself imbued withfederal statutory protections that would not otherwise apply ifthey had filed the Indiana form that they could have insteadchosen to submit.

Thank you again for your prompt reply to my Advisory OpinionRequest. I look forward to the Commission's prompt resolution ofthe issues posed by my Request. Please don't hesitate to contactme again should you or the members of the Commission require anyadditional information to determine your answer.

Fe igenbaum

IW znxiznnn i_cazs xnexariT

Edward D. FeigenbaumAttorney at LawPost Office Box 383NoblesvUle, Indiana 46060 317/773-8715

-o3O

April 29, 1991 " -\2 ,ic""" _»U9 5

K. Bradley Litchfield, Esq.Associate General CounselFederal Election Commission999 E Street, N.W.Washington, D.C. 20463

Dear Mr. Litchfield:

This letter should serve to further clarify your questions aboutmy Advisory Opinion Request of March 14, 1991 and subsequentcorrespondence between us.

From my discussion with Mr. Jonathan Levin of the Office ofGeneral Counsel earlier today, it appears that X didn't makeIndiana's unique situation clearer to you in my initial request.As I told Mr. Levin, Indiana's system for campaign financereporting is different from that employed in many other states.

The duplicate report to be filed with "a State officer" asrequired by 2 U.S.C. S 434(a)(2) and specified by 11 C.F.R. S108.5 is filed with the Secretary of State in Indiana, whofunctionally serves as the state chief election officer. TheFederal Election Commission designates the Indiana Secretary ofState as the "state records office." Fed. Elec. Camp. Fin. Guidej 91 at 191 (CCH). The Secretary of State has not delegated anyof this authority, and maintains all copies of required duplicatedisclosure reports under 11 C.F.R. S 108.6.

I have no intention of using—for any purposes—the requiredreports filed with the Indiana Secretary of State as required bylaw. 1 am seeking to copy information from reports on FEC Form 3X

filed by Indiana political action committees with the

—o

Indiana State Election Board to fulfill state law requirements.

Indiana political action committees registered with the FederalElection Commission are permitted under state law to file a copyof their FEC-required reports of contributions and expendituresin lieu of the state-required reports if they append informationthat details information sufficient to comply with Indiana'slower reporting threshold.

x no i nnn i_caio xnozanT

N. Bradley Litchfield, Esq.April 29, 1991Page 2

The Indiana State Election Board receives no information from theSecretary of State, if a political action committee is requiredby the FEC to file with the State of Indiana, that filing is madewith the Secretary of State. If an Indiana political actioncommittee is required to file reports with the State of Indiana,that filing is nade yith the State Election Board.

The Secretary of state and the State Election Board have nocommon members, staff, facilities, or responsibilities.

I hope that this information clears up any concerns that youmight have before the Office of General Counsel presents itsdraft Advisory Opinion to the Commission members forconsideration. Your forbearance in this matter is muchappreciated.

As before, please don't hesitate to contact me again should youor the members of the Commission require any additionalinformation to determine your answer.

Cordially,

Edward D./felgenbaum

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Edward D. FeigentaumAttorney at LawPost Office Box 383NoblesvWe, Indiana 46060 317/7734715

10

April 30, 1991

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N. Bradley Litchfield, Esq. ~iAssociate General CounselFederal Election Commission999 E Street, M.W.Washington, D.C. 20463

Dear Mr. Litchfield:

In hopes of putting to a rest your inquiries about my AdvisoryOpinion Request of March 14, 1991 and subsequent correspondence... I am sending along this response to questions posed to meearlier today by Mr. 'Jonathan Levin in a telephone call.

I intend to use most of the Schedule A information from the FECForm 3X that may be voluntarily filed with the Indiana StateElection Board by an Indiana registered political actioncommittee that chooses to file the FEC Form 3-X in lieu of theIndiana-required report. Referring to your letter of April 16,1991, this would correspond to the Schedule A appended to your"Sample 2," which, as you note, would be "[f]iled only with stateunder state law, not 'pursuant to 2 u.s.c S 439."

I do not intend to use any information from any FEC Form 3X thatmay be filed with the Indiana Secretary of State by a politicalaction committee registered with the Federal Election commissionas required by federal law. Referring again to your letter ofApril 16, I will not be using for any purpose the Schedule Aappended to your "Sample l," which, as you note, would be"[f]iled with FEC ft copy with state under 2 U.S.C. S 439."

Practically speaking, the way the process works in Indiana isthat an Indiana-based federal political action committee willfile its Form 3X with the Federal Election Commission, and alsofile an identical duplicate with the Indiana Secretary of State.The committee will then typically make a copy of this report,either make additions to its Schedule A (in the form of changingthe numbers to comply with Indiana threshold reportingrequirements, or adding the names of those who have contributedor received in excess of the Indiana threshold but less than thefederal threshold and the amounts between the thresholds to theend of the Schedule A), or append a separate statement to theSchedule A itemizing those contributions and expendituresexceeding the Indiana state threshold and not reported to the FEC

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N. Bradley Lltchfteld, Esq.April 30, 1991Page 2

on the Form 3-X. This new report, not required or covered byfederal law, would then be filed with the Indiana state ElectionBoard to fulfill Indiana's statutory reporting requirements.

I hope that this serves to enlighten you further as to Indiana'sunique manner of trying to ease the reporting burden on politicalaction committees.

As before, please don't hesitate to contact me again should youor the members of the Commission require any additionalinformation to determine your answer.

Edward D./Feibenbauro