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Notes

11 C.F.R. §§ 111.4–111.7

4 sections in range

§111.4. Complaints (52 U.S.C. 30109(a)(1)).

11 C.F.R. § 111.4

(a)
Any person who believes that a violation of any statute or regulation over which the Commission has jurisdiction has occurred or is about to occur may file a complaint in writing addressed to the General Counsel three (3) copies of any complaint not filed electronically. If possible, three (3) copies should be submitted.
(b)
A complaint shall comply with the following:
(1)
It shall provide the full name and address of the complainant; and
(2)
The contents of the complaint shall be sworn to and signed in the presence of a notary public and shall be notarized.
(c)
All statements made in a complaint are subject to the statutes governing perjury and to 18 U.S.C. 1001. The complaint should differentiate between statements based upon personal knowledge and statements based upon information and belief.
(d)
The complaint should conform to the following provisions—
(1)
It should clearly identify as a respondent each person or entity who is alleged to have committed a violation;
(2)
Statements which are not based upon personal knowledge should be accompanied by an identification of the source of information which gives rise to the complainants belief in the truth of such statements;
(3)
It should contain a clear and concise recitation of the facts which describe a violation of a statute or regulation over which the Commission has jurisdiction; and
(4)
It should be accompanied by any records supporting the facts alleged if such records are known of, or available to, the complainant.
Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 82 FR 60853, Dec. 26, 2017; 89 FR 217, Jan. 2, 2024]

Authority

Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as amended; 31 CFR parts 285 and 900-904.

Source

Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 50 FR 50778, Dec. 12, 1985; 82 FR 60853, Dec. 26, 2017; 89 FR 217, Jan. 2, 2024]

§111.5. Initial complaint processing; notification (52 U.S.C. 30109(a)(1)).

11 C.F.R. § 111.5

(a)
Upon receipt of a complaint, the General Counsel shall review the complaint for substantial compliance with the technical requirements of 11 CFR 111.4, and, if it complies with those requirements shall within five (5) days after receipt notify each respondent that the complaint has been filed, advise them of Commission compliance procedures, and provide a copy of the complaint.
(b)
If a complaint does not comply with the requirements of 11 CFR 111.4, the General Counsel shall so notify the complainant and any person(s) or entity(ies) identified therein as respondent(s), within the five (5) day period specified in 11 CFR 111.5(a), that no action shall be taken on the basis of that complaint. A copy of the complaint shall be provided with the notification to each respondent.
Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 217, Jan. 2, 2024]

Authority

Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as amended; 31 CFR parts 285 and 900-904.

Source

Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 217, Jan. 2, 2024]

§111.6. Opportunity to demonstrate that no action should be taken on complaint-generated matters (52 U.S.C. 30109 (a)(1)).

11 C.F.R. § 111.6

(a)
A respondent shall be afforded an opportunity to demonstrate that no action should be taken on the basis of a complaint by submitting, within fifteen (15) days from receipt of a copy of the complaint, a written response setting forth reasons why the Commission should take no action.
(b)
The Commission shall not take any action, or make any finding, against a respondent other than action dismissing the complaint, unless it has considered such response or unless no such response has been served upon the Commission within the fifteen (15) day period specified in 11 CFR 111.6(a).
Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 217, Jan. 2, 2024]

Authority

Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as amended; 31 CFR parts 285 and 900-904.

Source

Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 217, Jan. 2, 2024]

§111.7. General Counsel's recommendation on complaint-generated matters (52 U.S.C. 30109(a)(1).

11 C.F.R. § 111.7

(a)
Following either the expiration of the fifteen (15) day period specified by 11 CFR 111.6(a) or the receipt of a response as specified by 11 CFR 111.6(a), whichever occurs first, the General Counsel may recommend to the Commission whether or not it should find reason to believe that a respondent has committed or is about to commit a violation of statutes or regulations over which the Commission has jurisdiction.
(b)
The General Counsel may recommend that the Commission find that there is no reason to believe that a violation has been committed or is about to be committed, or that the Commission otherwise dismiss a complaint without regard to the provisions of 11 CFR 111.6(a).
Notes, amendments, and revision history

Authority

Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as amended; 31 CFR parts 285 and 900-904.

Source

Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.