(a) Notice to respondent.

1. (1) Upon determination that a complaint should be investigated, either through a formal investigation or through documentary submissions, the Director of the State Board of Election Commissioners shall notify the respondent of the:

   1. (A) Complaint;
   2. (B) Investigation; and
   3. (C) Nature of the investigation.
2. (2) The director shall provide a copy of the complaint or pertinent parts of the complaint to the respondent, along with instructions regarding the opportunity to respond to the complaint.

(b) Investigation through documentary submissions.

1. (1)

   1. (A) The director may request documents from the identified respondents, third parties, or from sources with documents that are otherwise publicly available to determine the facts either supporting or disproving the allegations of the complaint.
   2. (B) Investigations through documentary submission may also include informal communications or interviews with relevant parties, including a respondent.
2. (2) An investigation based upon documentary submissions may transition into a formal investigation if the director determines that a formal investigation is necessary to obtain sufficient information to resolve the complaint.

(c) Formal investigation.

1. (1)

   1. (A) In a formal investigation, the director shall either submit written interrogatories to the respondent, conduct a formal interview with the respondent, or a combination of both written interrogatories and a formal interview with the respondent.
   2. (B) The director may also take additional investigative action utilizing subpoenas or testimony obtained under oath.
2. (2) Interrogatory questions may request the respondent or another person to provide written statements bearing on the facts, circumstances, or information relevant to the investigation.

3. (3) The director may also ask the respondent or another person to:

   1. (A) Produce relevant evidence; or
   2. (B) Appear to answer questions in person during an interview or deposition.
4. (4) Written responses to interrogatory questions shall be answered under penalty of perjury.

5. (5)

   1. (A) As part of a formal investigation, the director or his or her designee may:

(d) (d) Other third party; or

1. (ii) Take the formal deposition of any:

(b) (b) Complainant;

1. (c) (c) Witness; or

   1. (d) (d) Other third party.

   2. (B) Oral statements by respondents taken during a formal investigation will be provided under oath administered:

      1. (i) By the director or his or her designee; or
      2. (ii) In the case of a deposition, by a certified court reporter.

2. (6)

   1. (A) The director or his or her designee may subpoena any document or record that may be relevant to the allegations of the complaint.

   2. (B) The director may gather and use as part of the investigation any document or record that may be relevant to the allegations of the complaint.

      1. (d) Director’s investigation report.

3. (1)

   1. (A) Upon completing an investigation, the director shall prepare a report of the investigation for submission to the State Board of Election Commissioners.

   2. (B) The report may include a recommendation by the director that:

      1. (i) The complaint be dismissed;
      2. (ii) A letter of instruction be issued;
      3. (iii) The complaint be forwarded to the proper authorities; or
      4. (iv) The board meet to consider issuing an offer of settlement, including a statutory sanction.

4. (2)

   1. (A) After receipt of the director’s report, the director’s recommendation shall be adopted by the board on the fifth business day after the date that the director’s determination was sent by email unless, before the fifth business day, any commissioner requests that the board further consider the complaint at a meeting of the board.

   2. (B) Upon further consideration, the board may either further investigate the complaint or:

      1. (i) Determine that the complaint be dismissed;
      2. (ii) Issue a letter of instruction;
      3. (iii) Refer the complaint to the proper authorities;
      4. (iv) Direct the director to further investigate the complaint;
      5. (v) Find that probable cause of an election or voter registration law violation exists, based upon the investigation report and its findings; or
      6. (vi) Take other appropriate action.

(e) Offer of settlement.

1. (1)

   1. (A) If the board finds that probable cause exists for a finding of a violation, the board shall issue a written offer of settlement to the respondent, stating its findings and the proposed sanctions.
   2. (B) The respondent may accept the board’s offer of settlement in writing within ten (10) calendar days of the issuance of the offer.
   3. (C) If the offer is not accepted, the board may call for a full public hearing.
   4. (D) The offer may state that the hearing is set as of the tenth calendar day after the offer was issued if the offer is not accepted.

2. (2)

   1. (A) If the board does not find probable cause, it shall dismiss the complaint.
   2. (B) The board may issue a letter of instruction when the complaint and other evidence indicate that such a letter is necessary and proper.
   3. (C) Also, the board may refer the complaint and any evidence in its possession related to the complaint to the proper authority.