The Commission's compliance process

The process at a high level involves the following stages;

1. Receipt and acknowledgement of breach notification
2. Initial Fact Finding
3. Report and Recommendation to the EGR Committee
   
4. EGR Committee decision to;
• decline to pursue, notify reason and in some cases issue a warning, or
• appoint an investigator, or
• request further information.
5. If an investigator is appointed, the investigator notifies investigation and publicises investigation.
6. The party alleged to be in breach responds to the notification within 10 days.
7. Affected parties join the investigation within 10 days of it being publicised.
8. The investigator investigates the breach.
9. Investigator attempts to effect a settlement – parties provided with background information and requested to provide settlement requirements, a settlement is negotiated and agreed between parties, or in the case where all parties cannot agree, no settlement is possible.
10. Investigator prepares a report and recommendation to Board, with or without settlement.
11. Board decision to;
• Approve settlement, or
• Reject settlement and abandon investigation or lay a formal complaint.
• Not lay a formal complaint where no settlement can be achieved, or
• Lay a formal complaint where no settlement can be achieved.
12. Board decision publicised.
13. Investigator lays formal compliant with Rulings Panel.

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