52 U.S.C. § 30109 — Enforcement

(a) Administrative and judicial practice and procedure (1) Anyone who believes this Act, or chapter 95 or 96 of title 26, has been violated may file a written, signed, sworn, and notarized complaint with the Commission, made under penalty of perjury. Within 5 days, the Commission must tell the accused person in writing about the complaint. Before voting on the complaint (except a vote to dismiss), the accused has 15 days to explain in writing why no action should be taken. The Commission cannot investigate or act based only on an anonymous complaint. (2) If the Commission — from a complaint or from its own routine oversight — votes, with at least 4 members agreeing, that it has reason to believe someone has violated or is about to violate the law, its chairman or vice chairman must notify that person of the alleged violation and the facts behind it. The Commission then investigates, which can include a field investigation or audit. (3) Before the Commission votes on whether there is probable cause, its general counsel must notify the accused (the "respondent") of a recommendation to proceed to that vote, along with a brief explaining the general counsel's position. The respondent then has 15 days to file a reply brief. The Commission considers both briefs before voting. (4) (A) If the Commission votes, with at least 4 members agreeing, that there is probable cause someone has violated or is about to violate the law, it must try — for at least 30 days, but not more than 90 — to fix or prevent the violation informally, through conference, conciliation, and persuasion, and try to reach a conciliation agreement. The Commission can only enter that agreement with at least 4 members voting for it. Once made, an unbroken conciliation agreement completely blocks the Commission from also suing in court. If the Commission's probable-cause finding happens in the 45 days right before an election, it must try this informal process for at least 15 days instead of 30. (B) The Commission cannot make public anything about a conciliation attempt without the respondent's written consent — unless the parties actually sign a conciliation agreement (then the Commission must make it public), or the Commission finds no violation occurred (then it must make that finding public too). (C) For violations of a "qualified disclosure requirement" — meaning certain reporting rules in sections 30104(a), (c), (e), (f), (g), (i), or section 30105 — the Commission can skip the conciliation process. It can find a violation based on the complaint and notice procedures already described, and fine the person under a published penalty schedule that considers the size of the violation, past violations, and other factors. But the Commission must give written notice and a hearing before deciding against the person, and the person can ask a federal district court to review the decision within 30 days of being notified. This special, faster process applies only to violations occurring in reporting periods between January 1, 2000, and December 31, 2033. (5) (A) A conciliation agreement for an ordinary violation can require a civil penalty up to the greater of $5,000 or the dollar amount of the contribution or expenditure involved. (B) For a knowing and willful violation, the penalty in a conciliation agreement can go up to the greater of $10,000 or 200% of the amount involved — except violations of section 30122 (about contributions in another person's name), which carry a penalty of at least 300% and at most the greater of $50,000 or 1,000% of the amount involved. (C) If at least 4 Commission members vote that there is probable cause of a knowing and willful violation covered by subsection (d) below, or of chapter 95 or 96 of title 26, the Commission can refer the case straight to the Attorney General, skipping the conciliation-first requirement. (D) If someone breaks a conciliation agreement they already signed, the Commission can sue them in court; it only has to prove the person violated some part of that agreement. (6) (A) If informal methods under paragraph (4) fail, at least 4 Commission members can vote to sue in federal district court for an injunction, restraining order, or other relief, including a civil penalty up to the greater of $5,000 or the amount involved. (B) In that lawsuit, the court can grant the same kinds of relief and penalties if the Commission properly shows a violation has happened or is about to happen. (C) If the court finds a knowing and willful violation, it can impose a civil penalty up to the greater of $10,000 or 200% of the amount involved — with the same higher 300%-to-1,000%-or-$50,000 range for section 30122 violations. (7) In lawsuits under paragraph (5) or (6), subpoenas for witnesses can reach into any federal court district. (8) (A) A person whose complaint the Commission dismissed, or whose complaint sat unacted-on for 120 days, can petition the U.S. District Court for the District of Columbia. (B) That petition must be filed within 60 days of a dismissal. (C) The court can declare the dismissal or inaction unlawful and order the Commission to fix it within 30 days; if the Commission doesn't, the original complainant can sue in their own name to remedy the violation. (9) A district court's judgment can be appealed to the court of appeals, whose ruling is final, subject to Supreme Court review. (10) Repealed. (11) If the Commission finds someone violated a court order from a paragraph (6) lawsuit, it can ask the court to hold that person in civil contempt, or in criminal contempt if the violation was knowing and willful. (12) (A) The Commission and everyone else must keep notifications and investigations under this section private unless the person being investigated agrees in writing to make them public. (B) Anyone who breaks that confidentiality rule can be fined up to $2,000, or up to $5,000 if they did it knowingly and willfully. (b) Notice to persons not filing required reports prior to institution of enforcement action; publication of identity of persons and unfiled reports Before taking action against someone who missed a pre-election quarterly report deadline, the Commission must notify them of the missing report. If they don't respond satisfactorily within 4 business days, the Commission must publish that person's name and the missing report before the election. (c) Reports by Attorney General of apparent violations When the Commission refers a case to the Attorney General, the Attorney General must report back on any action taken, within 60 days of the referral and every 30 days after that until the case is finally resolved. (d) Penalties; defenses; mitigation of offenses (1) (A) Someone who knowingly and willfully violates rules about making, receiving, or reporting a contribution or expenditure can be fined and imprisoned up to 5 years if the amount involved is $25,000 or more in a year, or up to 1 year if it's between $2,000 and $25,000. (B) For a knowing and willful violation of section 30118(b)(3) (about certain corporate or union conduit contributions), these penalties apply once the amount reaches just $250 in a year, and can include related violations of sections 30119(b), 30122, or 30123. (C) For a knowing and willful violation of section 30124, these penalties apply no matter how much money is involved. (D) Someone who knowingly and willfully violates section 30122 (contributions in another's name) involving more than $10,000 in a year faces up to 2 years in prison (or the harsher penalty above if the amount is $25,000 or more), a fine of at least 300% and up to the greater of $50,000 or 1,000% of the amount involved, or both. (2) In a criminal case, a defendant can offer, as evidence they lacked knowledge or intent, a still-valid conciliation agreement with the Commission that covers the exact conduct at issue. (3) In deciding how serious the violation is and what penalty to impose, the court must consider whether the conduct is covered by a still-valid conciliation agreement the defendant is complying with.