11 C.F.R. §§ 111.9–111.23

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

11 C.F.R. § 111.9

(a)

If the Commission, either after reviewing a complaint-generated recommendation as described in 11 CFR 111.7 and any response of a respondent submitted pursuant to 11 CFR 111.6, or after reviewing an internally-generated recommendation as described in 11 CFR 111.8, 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.

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]

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

11 C.F.R. § 111.10

(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. The investigation may include, but is not limited to, field investigations, audits, and other methods of information-gathering.

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.

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

11 C.F.R. § 111.11

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.

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.

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

11 C.F.R. § 111.12

(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), shall govern the opportunity to review and sign depositions taken pursuant to this section.

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]

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

11 C.F.R. § 111.13

(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), (c), and (d). In the case of subpoenas, fees for one day's attendance and mileage shall be tendered as specified in 11 CFR 111.14.

(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, the service shall be made upon the attorney by any of the methods specified in 11 CFR 111.13(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.

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]

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

11 C.F.R. § 111.14

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.

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.

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

11 C.F.R. § 111.15

(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.

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]

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

11 C.F.R. § 111.16

(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.

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]

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

11 C.F.R. § 111.17

(a)

If the Commission, after having found reason to believe and after following the procedures set forth in 11 CFR 111.16, 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.

Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 218, 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 218, Jan. 2, 2024]

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

11 C.F.R. § 111.18

(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) 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.

Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 218, 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 218, Jan. 2, 2024]

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

11 C.F.R. § 111.19

(a)

If no conciliation agreement is finalized within the applicable minimum period specified by 11 CFR 111.18(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) 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) and shall have the same force and effect as a conciliation agreement reached under 11 CFR 111.18(c).

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.

§111.20. Public disclosure of Commission action (52 U.S.C. 30109(a)(4)).

11 C.F.R. § 111.20

(a)

If the Commission makes a finding of no reason to believe or no probable cause to believe or otherwise terminates its proceedings, it shall make public such action and the basis therefor no later than thirty (30) days from the date on which the required notifications are sent to complainant and respondent.

(b)

If a conciliation agreement is finalized, the Commission shall make public such conciliation agreement forthwith.

(c)

For any compliance matter in which a civil action is commenced, the Commission will make public the non-exempt 52 U.S.C. 30109 investigatory materials in the enforcement and litigation files no later than thirty (30) days from the date on which the Commission sends the complainant and the respondent(s) the required notification of the final disposition of the civil action. The final disposition may consist of a judicial decision which is not reviewed by a higher court.

Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 65 FR 31794, May 19, 2000; 79 FR 77848, Dec. 29, 2014]

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 65 FR 31794, May 19, 2000; 79 FR 77848, Dec. 29, 2014]

§111.21. Confidentiality (52 U.S.C. 30109(a)(12)).

11 C.F.R. § 111.21

(a)

Except as provided in 11 CFR 111.20, no complaint filed with the Commission, nor any notification sent by the Commission, nor any investigation conducted by the Commission, nor any findings made by the Commission shall be made public by the Commission or by any person or entity without the written consent of the respondent with respect to whom the complaint was filed, the notification sent, the investigation conducted, or the finding made.

(b)

Except as provided in 11 CFR 111.20(b), no action by the Commission or by any person, and no information derived in connection with conciliation efforts pursuant to 11 CFR 111.18, may be made public by the Commission except upon a written request by respondent and approval thereof by the Commission.

(c)

Nothing in these regulations shall be construed to prevent the introduction of evidence in the courts of the United States which could properly be introduced pursuant to the Federal Rules of Evidence or Federal Rules of Civil Procedure.

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.

§111.22. Ex parte communications.

11 C.F.R. § 111.22

(a)

In order to avoid the possibility of prejudice, real or apparent, to the public interest in enforcement actions pending before the Commission pursuant to 11 CFR part 111, except to the extent required for the disposition of ex parte matters as required by law (for example, during the normal course of an investigation or a conciliation effort), no interested person outside the agency shall make or cause to be made to any Commissioner or any member of any Commissioner's staff any ex parte communication relative to the factual or legal merits of any enforcement action, nor shall any Commissioner or member of any Commissioner's staff make or entertain any such ex parte communications.

(b)

The prohibition of this regulation shall apply from the time a complaint is filed with the Commission pursuant to 11 CFR part 111 or from the time that the Commission determines on the basis of information ascertained in the normal course of its supervisory responsibilities that it has reason to believe that a violation has occurred or may occur pursuant to 11 CFR part 111, and remains in force until the Commission has finally concluded all action with respect to the enforcement matter in question.

(c)

Nothing in this section shall be construed to prohibit contact between a respondent or respondent's attorney and any attorney or staff member of the Office of General Counsel in the course of representing the Commission or the respondent with respect to an enforcement proceeding or civil action. No statement made by such a Commission attorney or staff member during any such communication shall bind or estop the Commission in any way.

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.

§111.23. Representation by counsel; notification.

11 C.F.R. § 111.23

(a)

If a respondent wishes to be represented by counsel with regard to any matter pending before the Commission, respondent shall give the Commission a written notice of representation signed by the respondent, which shall include:

(1)

The name, address, email address, and telephone number of the counsel;

(2)

A statement authorizing such counsel to receive any and all notifications and other communications from the Commission on behalf of respondent.

(b)

Upon receipt of this notice, the Commission shall have no contact with respondent except through the designated counsel unless authorized in writing by respondent.

Notes, amendments, and revision history

Amendments

[45 FR 15120, Mar. 7, 1980, as amended at 89 FR 218, 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 218, Jan. 2, 2024]