[Code of Federal Regulations]
[Title 11, Volume 1]
[Revised as of January 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 11CFR7.23]

[Page 39-40]
 
                       TITLE 11--FEDERAL ELECTIONS
 
                 CHAPTER I--FEDERAL ELECTION COMMISSION
 
PART 7_STANDARDS OF CONDUCT--Table of Contents
 
     Subpart D_Post Employment Conflict of Interest: Procedures for 
                 Administrative Enforcement Proceedings
 
Sec.  7.23  Initiation of investigation.

    (a) Filing of complaint. (1) Any person who believes a former 
employee has violated the post employment conflict of interest 
provisions of 18 U.S.C. 207 (a), (b), or (c), or 5 CFR part 737 may file 
a signed complaint with the Ethics Officer.
    (2) The Ethics Officer, within five days after receipt of the 
complaint, shall send a copy of the complaint by certified mail to the 
former employee named in the complaint. The former employee may, within 
ten days after receipt of the complaint, submit any written legal or 
factual materials he or she believes demonstrate that the complaint 
should be dismissed on its face.
    (b) Review of complaint. (1) The Ethics Officer will review the 
complaint and any materials submitted by the former employee, and will 
prepare a report to the Commission recommending whether the complaint 
should be investigated or should be dismissed on its face.
    (2) If the Commission, by an affirmative vote of four members, finds 
that the complaint appears to be substantiated, it may order an 
investigation of the allegations made in the complaint.

[[Page 40]]

    (i) Except as may be required to coordinate with the Department of 
Justice under 11 CFR 7.23(b)(2)(iii) any investigation conducted under 
this section shall be kept confidential until such time as the 
Commission has determined whether there is reasonable cause to believe a 
violation has occurred.
    (ii) The Ethics Officer shall notify the Director of the Office of 
Government Ethics and the Criminal Division of the Department of Justice 
of the Commission's finding that the complaint has merit. The 
notification shall contain a copy of the complaint, any materials 
submitted by the former employee, the Ethics Officer's report, and the 
certification of the Commission's action.
    (iii) The Commission will coordinate any investigation or 
administrative action with the Department of Justice to avoid 
prejudicing criminal proceedings, unless the Department of Justice 
notifies the Commission that it does not intend to initiate criminal 
proceedings.
    (3) If the Commission finds the complaint to be unfounded, no 
investigation will be conducted and both the complainant and the former 
employee will be notified by the Ethics Officer of the Commission's 
finding.