Rule 7-01 Complaints and Investigations.

(a) Initiation of proceeding. (i) A proceeding under subdivision four of §1136.1 of the Charter or under the Act may be commenced when: (1) the Board receives a written complaint sworn to or affirmed, alleging the commission or omission of acts in violation of the Charter, Act or these Rules, or (2) the Board, on its own initiative, undertakes an investigation of a possible violation of the Charter, Act or these Rules.

(ii) The following violations shall constitute infractions: (1) a limited and non-repetitive failure, not to exceed a total of three such failures, to comply with the contribution limitations or prohibitions contained in §§ 3-703(1)(f), (h), (k), and (l) of the Code, provided such contribution is promptly returned to the contributor upon notice from the Board of the acceptance of the contribution; and (2) a failure to file a complete and timely disclosure statement in a form and manner acceptable to the Board, provided such disclosure statement is promptly refiled in a form and manner acceptable to the Board, and provided, further, that this shall apply to only one disclosure statement per election cycle.

(b) Service of complaints. A complaint shall be filed by mailing it to, or by personally serving it on, the New York City Campaign Finance Board, 40 Rector Street, 7th Floor, New York, New York 10006.

(c) Contents of complaint. A complaint shall specify times, places, and names of witnesses to the acts charged as violations of the Charter, Act or these Rules to the extent known. A complaint shall be based on personal knowledge, if possible. If a complaint is based on information and belief, the complainant shall state the source of that information and belief. Copies of all documentary evidence available to the complainant shall be attached to the complaint.

(d) Initial complaint processing. (1) Upon receipt of a complaint, the Board will review the complaint for substantial compliance with the requirements of subdivision (c), and if the complaint complies with those requirements, the Board shall within 10 days after receipt mail to each respondent notification that the complaint has been filed, and enclose a copy of the complaint.

(2) If a complaint does not comply with the requirements of subdivision (c), or the Board deems it to be facially lacking in merit, the Board shall dismiss the complaint and shall so notify the complainant.

(e) Opportunity to respond to complaint. Within 20 days from mailing by the Board of a copy of the complaint to a respondent, or within such lesser time as may be specified by the Board for complaints received less than 40 days before the election, the respondent may submit a verified answer, which may set forth reasons why the Board should dismiss the complaint. If, based upon its review of the complaint and any answer filed, the Board determines the complaint to be lacking in merit, the Board shall dismiss the complaint.

(f) Investigation. Following receipt of a complaint, or at any time, if acting on its own initiative, the Board may conduct an investigation into possible violations of the Charter, Act or these Rules. In its investigation, the Board may use its investigative powers pursuant to §3-708(5) and 3-710(1) of the Code. An investigation may include, but is not limited to, field investigations, desk and field audits, the issuance of subpoenas, the taking of sworn testimony, the issuance of document requests and interrogatories, and other methods of information gathering.