---
kind: "range"
citation: "11 C.F.R. §§ 111.9–111.19"
title: "11"
from: "111.9"
to: "111.19"
count: 11
url: "https://uscodex.org/cfr/11/111.9..111.19"
---

# §111.9. The reason to believe finding; notification (52 U.S.C. 30109(a)(2)).

- (a) If the Commission, either after reviewing a complaint-generated recommendation as described in [11 CFR 111.7](/cfr/11/111.7.md) and any response of a respondent submitted pursuant to [11 CFR 111.6](/cfr/11/111.6.md), or after reviewing an internally-generated recommendation as described in [11 CFR 111.8](/cfr/11/111.8.md), determines by an affirmative vote of four (4) of its members that it has reason to believe that a respondent has violated a statute or regulation over which the Commission has jurisdiction, its Chairman or Vice Chairman shall notify such respondent of the Commission's finding in writing, setting forth the sections of the statute or regulations alleged to have been violated and the alleged factual basis supporting the finding.
- (b) If the Commission finds no reason to believe, or otherwise terminates its proceedings, the General Counsel shall so advise both complainant and respondent in writing.

# §111.10. Investigation (52 U.S.C. 30109 (a)(2)).

- (a) An investigation shall be conducted in any case in which the Commission finds reason to believe that a violation of a statute or regulation over which the Commission has jurisdiction has occurred or is about to occur.
- (b) In its investigation, the Commission may utilize the provisions of [11 CFR 111.11 through 111.15](/cfr/11/111.11..111.15.md). The investigation may include, but is not limited to, field investigations, audits, and other methods of information-gathering.

# §111.11. Written questions under order (52 U.S.C. 30107(a)(1)).


The Commission may authorize its Chairman or Vice Chairman to issue an order requiring any person to submit sworn written answers to written questions and may specify a date by which such answers must be submitted.


# §111.12. Subpoenas and subpoenas duces tecum; depositions (52 U.S.C. 30107(a)(3), (4)).

- (a) The Commission may authorize its Chairman or Vice Chairman to issue subpoenas requiring the attendance and testimony of any person by deposition and to issue subpoenas duces tecum for the production of records or other evidence in connection with a deposition or otherwise.
- (b) If oral testimony is ordered to be taken by deposition orrecords are ordered to be produced, the subpoena shall so state and shall advise the deponent or person subpoenaed that all testimony will be under oath. A deposition may be taken before any person having the power to administer oaths.
- (c) The Federal Rules of Civil Procedure, [Rule 30(e)](/cfr/11/30.md?p=e), shall govern the opportunity to review and sign depositions taken pursuant to this section.

# §111.13. Service of subpoenas, orders and notifications (52 U.S.C. 30107(a)(3), (4)).

- (a) Service of a subpoena, order or notification upon a person named therein shall be made by delivering a copy to that person in the manner described by 11 CFR [111.13 (b)](#b), [(c)](#c), and [(d)](#d). In the case of subpoenas, fees for one day's attendance and mileage shall be tendered as specified in [11 CFR 111.14](/cfr/11/111.14.md).
- (b) Whenever service is to be made upon a person who has advised the Commission of representation by an attorney pursuant to [11 CFR 111.23](/cfr/11/111.23.md), the service shall be made upon the attorney by any of the methods specified in [11 CFR 111.13(c)](#c).
- (c) Delivery of subpoenas, orders and notifications to a natural person may be made by handing a copy to the person, or leaving a copy at his or her office with the person in charge thereof, by leaving a copy at his or her dwelling place or usual place of abode with some person of suitable age and discretion residing therein, or by mailing a copy by registered or certified mail to his or her last known address, or by any other method, including electronically, whereby actual notice is given.
- (d) When the person to be served is not a natural person delivery of subpoenas, orders and notifications may be made by mailing a copy by registered or certified mail to the person at its place of business or by handing a copy to a registered agent for service, or to any officer, director, or agent in charge of any office of such person, or by mailing a copy by registered or certified mail to such representative at his or her last known address, or by any other method, including electronically, whereby actual notice is given.

# §111.14. Witness fees and mileage (52 U.S.C. 30107 (a)(5)).


Witnesses subpoenaed to appear for depositions shall be paid the same fees and mileage as witnesses in the courts of the United States. Such fees may be tendered at the time the witness appears for such deposition, or within a reasonable time thereafter.


# §111.15. Motions to quash or modify a subpoena (52 U.S.C. 30107(a)(3), (4)).

- (a) Any person to whom a subpoena is directed may, prior to the time specified therein for compliance, but in no event more than 5 days after the date of receipt of such subpoena, apply to the Commission to quash or modify such subpoena, accompanying such application with a brief statement of the reasons therefor. Motions to quash shall be filed with the General Counsel.
- (b) The Commission may deny the application or quash the subpoena or modify the subpoena.
- (c) The person subpoenaed and the General Counsel may agree to change the date, time, or place of a deposition or for the production of records without affecting the force and effect of the subpoena, but such agreements shall be confirmed in writing.

# §111.16. The probable cause to believe recommendation; briefing procedures (52 U.S.C. 30109 (a)(3)).

- (a) Upon completion of the investigation, the General Counsel shall prepare a brief setting forth his or her position on the factual and legal issues of the case and containing a recommendation on whether or not the Commission should find probable cause to believe that a violation has occurred or is about to occur.
- (b) The General Counsel shall notify each respondent of the recommendation and provide a copy of his or her brief.
- (c) Within fifteen (15) days from receipt of the General Counsel's brief, respondent may file a brief with the Commission Secretary, setting forth respondent's position on the factual and legal issues of the case.
- (d) After reviewing the respondent's brief, the General Counsel shall advise the Commission in writing whether he or she intends to proceed with the recommendation or to withdraw the recommendation from Commission consideration.

# §111.17. The probable cause to believe finding; notification (52 U.S.C. 30109(a)(4)).

- (a) If the Commission, after having found reason to believe and after following the procedures set forth in [11 CFR 111.16](/cfr/11/111.16.md), determines by an affirmative vote of four (4) of its members that there is probable cause to believe that a respondent has violated a statute or regulation over which the Commission has jurisdiction, the Commission shall authorize the General Counsel to so notify the respondent in writing
- (b) If the Commission finds no probable cause to believe or otherwise orders a termination of Commission proceedings, it shall authorize the General Counsel to so notify both respondent and complainant in writing.

# §111.18. Conciliation (52 U.S.C. 30109(a)(4)).

- (a) Upon a Commission finding of probable cause to believe, the Office of General Counsel shall attempt to correct or prevent the violation by informal methods of conference conciliation and persuasion, and shall attempt to reach a tentative conciliation agreement with the respondent.
- (b) A conciliation agreement is not binding upon either party unless and until it is signed by the respondent and by the General Counsel upon approval by the affirmative vote of four (4) members of the Commission.
- (c) If the probable cause to believe finding is made within forty-five days prior to any election, such conciliation attempt shall continue for at least fifteen (15) days from the date of such finding. In all other cases such attempts by the Commission shall continue for at least thirty (30) days, not to exceed ninety (90) days.
- (d) Nothing in these regulations shall be construed to prevent the Commission from entering into a conciliation agreement with a respondent prior to a Commission finding of probable cause if a respondent indicates in writing to the General Counsel a desire to enter into negotiations directed towards reaching such a conciliation agreement. However, the Commission is not required to enter into any negotiations directed towards reaching a conciliation agreement unless and until it makes a finding of probable cause to believe. Any conciliation agreement reached under this subsection is subject to the provisions of [subsection (b)](#b) of this section and shall have the same force and effect as a conciliation agreement reached after a Commission finding of probable cause to believe.
- (e) If a conciliation agreement is reached between the Commission and the respondent, the General Counsel shall send a copy of the signed agreement to both complainant and respondent.

# §111.19. Civil proceedings (52 U.S.C. 30109(a)(6)).

- (a) If no conciliation agreement is finalized within the applicable minimum period specified by [11 CFR 111.18(c)](/cfr/11/111.18.md?p=c) the General Counsel may recommend to the Commission that the Commission authorize a civil action for relief in an appropriate court of the United States.
- (b) Upon recommendation of the General Counsel, the Commission may, by an affirmative vote of four (4) of its members, authorize the General Counsel to commence a civil action for relief in an appropriate court of the United States.
- (c) The provisions of [11 CFR 111.18(c)](/cfr/11/111.18.md?p=c) shall not preclude the Commission upon request of a respondent, from entering into a conciliation agreement even after a recommendation to file a civil action has been made pursuant to this section. Any conciliation agreement reached under this subsection is subject to the provisions of [11 CFR 111.18(b)](/cfr/11/111.18.md?p=b) and shall have the same force and effect as a conciliation agreement reached under [11 CFR 111.18(c)](/cfr/11/111.18.md?p=c).