D.C. Mun. Regs. r. 3-3400

Current through Register Vol. 71, No. 24, June 14, 2024

Rule 3-3400 - RECORDKEEPING PROCEDURES

3400.1

To ensure financial accountability, this chapter governs the recordkeeping procedures for the following:

(a) All candidates;

(b) Political Committees;

(c) Political action committees;

(d) Independent expenditure committees;

(e) Constituent-Service Programs;

(f) Statehood Funds; and

(g) Fair Elections Program.

3400.2

Each person who is required to file records under § 3400.1 shall obtain and preserve, from the date of registration, detailed records of all contributions and expenditures disclosed in reports and statements filed with the Director, including the following:

(a) Check stubs;

(b) Bank statements;

(c) Canceled checks;

(d) Contributor cards and copies of donor checks;

(e) Credit card contributions, including merchant statements

(f) Deposit slips;

(g) Invoices;

(h) Receipts;

(i) Contracts;

(j) Subcontracts;

(k) Payroll records;

(l) Lease agreements;

(m) Petty cash journals, if applicable;

(n) Ledgers;

(o) Vouchers;

(p) Loan documents including the source of the funds;

(q) Affirmation statements;

(r) Affidavits, if applicable; and

(s) Campaign equipment records 3400.3 Each filer shall also obtain and preserve from each business contributor:

(a) The identities of the business contributor's affiliated entities that have made contributions or expenditures to the filer;

(b) The date and amount of each contribution and expenditure made by the business contributor's affiliated entities to the filer;

(c) [REPEALED]; and

(d) A certification with respect to each contribution made that none of the business contributor's affiliated entities contributed an amount that, when aggregated with the contribution of the business contributor, exceeded the contribution limits.

3400.4

Each Fair Elections Program filer shall obtain and preserve a contribution receipt from each qualified small-dollar contributor and each non-District resident contributor, including:

(a) The contributor's digital or physical signature, printed name, home address, telephone number, occupation and principal place of business, if any, and the name of the candidate to whom the contribution is made; and

(b) A written and signed oath or affirmation declaring that the contributor:

(1) Is making the contribution in the contributor's own name and from the contributor's own funds;

(2) Is making the contribution voluntarily and has not received anything of value in return for the contribution;

(3) In the case of a small-dollar contributor, is a District resident;

(4) In the case of a contribution form a non-District resident individual, is a non-District resident individual; and

(5) Understands that a false statement is a violation of law.

3400.5

Bank statements may be submitted in lieu of canceled checks to show financial transactions, as long as the bank statements include photocopies of the canceled checks.

3400.6

A contribution received after an election cycle (primary and general) shall be earmarked to indicate that the contribution is for the retirement of the debt of a candidate or political committee.

3400.7

All filers, with the exception of lobbyists, shall maintain the records required under § 3400.2 for a period of three (3) years from the date of the filing of the final Report of Receipts and Expenditures (R&E Report) and the Statement of Committee Termination under § 3016.

3400.8

Each lobbyist shall maintain the records required under § 3400.2 for a period of five (5) years from the date of the filing of the Lobbying Activity Report previously required to be filed with the Office of Campaign Finance.

D.C. Mun. Regs. r. 3-3400

Final Rulemaking published at 45 DCR 3161, 3195-97 (May 22, 1998); as amended by Final Rulemaking published at 47 DCR 2171, 2186-87 (March 24, 2000); as amended by Final Rulemaking published at 53 DCR 3240-3241 (April 21, 2006); as amended by Final Rulemaking published at 57 DCR 2268 (March 19, 2010); as amended by Final Rulemaking published at 60 DCR 1402 (February 8, 2013); Amended by Final Rulemaking published at 62 DCR 3025 (3/13/2015); amended by Final Rulemaking published at 64 DCR 10306 (10/13/2017); amended by Final Rulemaking published at 66 DCR 8118 (7/12/2019)

Authority: D.C. Official Code § 1-1001.05(a)(14); in conformity with the Board of Ethics and Government Accountability Establishment and Comprehensive Ethics Reform Amendment Act of 2011, enacted February 27, 2012 (D.C. Act 19-318; D.C. Official Code § 1-1161.01 et seq. (2012 Supp.)).