Federal Election Commission Main Page
Washington, DC 20463
June 14, 1996
CERTIFIED MAIL
RETURN RECEIPT REQUESTED
ADVISORY OPINION 1996-20
The Honorable Frank D. Lucas
Lucas for Congress Committee
P.O. Box 26825
Oklahoma City, OK 73128-0825
Dear Mr. Lucas:
This responds to your letter dated May 1, 1996,
requesting an advisory opinion concerning the application of
the Federal Election Campaign Act of 1971, as amended ("the
Act"), and Commission regulations to the use of campaign
funds for travel by your Chief of Staff to the 1996
Republican National Convention.
You are a member of the House of Representatives from
the Sixth District of Oklahoma. You state that, as a
delegate from Oklahoma to the 1996 Republican National
Convention in San Diego, you will be attending "all
activities" during the convention. There are a number of
activities in which you will participate along with your
congressional Chief of Staff ("COS").
You describe certain activities as pertaining to your
official duties as a Federal officeholder. You state that
your congressional office will continue to operate while you
attend the convention. During that week, your COS will act
as your liaison to your office. In addition, you state that
the policy nature of the convention may require staff
assistance, and your COS will attend any policy briefings
that occur.
You describe other activities as campaign activities.
You state that the political nature of conventions provides
excellent fundraising opportunities for your campaign. For
example, your COS and you plan to contact top Republican
contributors who have an interest in the issue areas in
which you are most active, and make arrangements to meet
them during the convention. You also note that campaign
vendors attend the convention and promote services that may
be beneficial to your campaign. Your COS and you will
meet with vendors who can assist your campaign in expanding
its voter lists and data base. You assert that fundraising
and the choice of professional campaign services are
important to your campaign, and your COS, as your chief
political advisor, "represents [you] in all campaign related
matters."
You also state that you serve as National Co-Chairman
of "Rural Americans for Dole." Your COS will need to
attend, on your behalf or with you, any activities related
to this position. You specifically note that there will be
several general election strategy meetings with the Dole
campaign that your COS will attend in your place. You
assert that the success of the national ticket and your role
in that effort have a direct impact on your reelection
efforts.
You ask whether funds of your principal campaign
committee, Lucas for Congress ("the Lucas Committee"), can
be used for the cost of your COS's travel to the convention
and his subsistence expenses there. You also ask whether
the Committee may reimburse him for those expenses or
whether the Committee must pay these costs directly.
Under the Act and Commission regulations, a candidate
and the candidate's committee have wide discretion in making
expenditures to influence the candidate's election, but may
not convert campaign funds to the personal use of the
candidate or any other person. 2 U.S.C. 431(9) and 439a;
11 CFR 113.1(g) and 113.2(d). See Advisory Opinions 1996-
19, 1996-14, 1995-47, and 1995-42. Commission regulations
provide guidance regarding what would be considered personal
use of campaign funds. Personal use is defined as "any use
of funds in a campaign account of a present or former
candidate to fulfill a commitment, obligation or expense of
any person that would exist irrespective of the candidate's
campaign or duties as a Federal officeholder." 11 CFR
113.1(g). Additionally, 11 CFR 113.2(a) provides that
excess campaign funds may be used to "defray any ordinary
and necessary expenses incurred in connection with the
recipient's duties as a holder of Federal office..." See
also 2 U.S.C. 439a.
Commission regulations list a number of purposes that
would constitute personal use. 11 CFR 113.1(g)(1)(i).
Where a specific use is not listed as personal use, the
Commission makes a determination on a case-by-case basis.
11 CFR 113.1(g)(1)(ii).1
Travel expenses, including subsistence expenses incurred
during travel, are among those expenses to be analyzed on a
case-by-case basis. If such travel involves both personal
activities and campaign or officeholder related activities,
the incremental expenses that result from personal
activities are personal use unless the person benefiting
reimburses the campaign within thirty days for the amount of
those expenses. 11 CFR 113.1(g)(1)(ii)(C).
Your description of the activities of your COS at the
convention indicates that he will be performing important
functions related to your campaign for reelection. Your COS
will be involved in efforts to raise contributions to your
campaign from key contributors and will attempt to procure
vendor services for important campaign functions. In
addition, his performance of liaison activities with your
congressional office and his attendance at policy briefings
are functions that relate to your duties as a Federal
officeholder. Subject to the discussion below, the
Commission concludes that the Lucas Committee may pay for
the travel and subsistence expenses of your COS with respect
to his attendance at the convention.2 The Committee may
reimburse the COS or may pay for the expenses directly.3
You also indicate that your COS and you will perform
functions related to the Dole presidential campaign.
Although the use of campaign funds for travel to assist
another campaign may result in an in-kind contribution, the
circumstances surrounding these activities will not
implicate a contribution by the Lucas Committee to the Dole
campaign. See 11 CFR 9004.7(b)(2), and 9034.7(b)(2). The
Commission notes that you will be attending the convention
as a delegate, that you are an officeholder, and that, due
to the purpose and nature of a national party convention,
there will be meetings and activities aimed at supporting
the party's presidential nominee. Since it is expected that
a person who attends the convention as a delegate and
officeholder would participate in such meetings and
activities as a natural extension of such status, the
activities of you and your COS with respect to your function
in the Dole campaign will not result in a contribution by
the Lucas Committee to the Dole campaign. In making this
conclusion, the Commission assumes that any incremental
travel and subsistence, or other expenses connected to the
participation by you or your COS in such campaign activities
(e.g., as chairman of Rural Americans for Dole), would be
paid for by the Dole campaign. Otherwise, a contribution by
the Lucas Committee would result, which would be prohibited
with respect to a general election presidential campaign
that accepts full Federal funding. 26 U.S.C. 9003(b)(2);
11 CFR 9003.2(a)(2).
This response constitutes an advisory opinion
concerning the application of the Act, or regulations
prescribed by the Commission, to the specific transaction or
activity set forth in your request. See 2 U.S.C. 437f.
Sincerely,
(signed)
Lee Ann Elliott
Chairman
Enclosures (AOs 1996-19, 1996-14, 1995-47, and 1995-42)
_______________________________
1 In explaining the application of the case-by-case
approach, the Commission:
reaffirm[ed] its long-standing opinion that
candidates have wide discretion over the use of
campaign funds. If the candidate can reasonably
show that the expenses at issue resulted from
campaign or officeholder activities, the
Commission will not consider the use to be
personal use.
Explanation and Justification, Commission Regulations on
Personal Use of Campaign Funds, 60 Fed. Reg. 7862, 7867
(February 9, 1995).
2 With respect to your own travel expenses, the
Commission's regulations covering delegate activity indicate
that such costs would be for the purpose of influencing a
Federal election and, hence, not a personal use. See 11 CFR
110.14(c) and (e). See Advisory Opinion 1995-47.
3 If the COS advances any costs for his travel and
subsistence, his outlays and the reimbursements should be
reported by the Lucas Committee. To the extent that the
travel expenses do not fit within the exemption of 11 CFR
100.7(b)(8), advances by an individual for travel and
subsistence would be contributions to the Lucas Committee,
unless the individual is reimbursed within a limited period
of time. 11 CFR 116.5(b)(1) and (2). Non-exempt
transportation and subsistence expenses should be itemized
in the appropriate category of receipt if the outstanding
amount he advances exceeds $200 for the calendar year to the
Lucas Committee and the reimbursements do not bring him
below the $200 itemization threshold before the end of the
reporting period. Unlike other in-kind contributions,
corresponding disbursements to the COS by the Committee
should not be reported until the reimbursements are made.
In any event, the Lucas Committee should treat all non-
exempt advances as outstanding debt to the COS until
reimbursed. 11 CFR 116.5(c). See 11 CFR 104.11(b). If the
total amount disbursed to the COS by the Lucas Committee is
$500 or less, the Committee should report the COS as the
payee. If the total amount exceeds $500 and payments to any
one vendor used for the expenses aggregates in excess of
$200, the payments to that vendor should be reported as a
memo entry in order to achieve full disclosure but not
inflate disbursement figures. See 11 CFR 102.9(b)(2)(i),
addressing recordkeeping for travel and subsistence
advances.