Process
The Sanctions Officer evaluates the sufficiency of the evidence presented by OII in their Statement of Charges and Evidence. If the Sanctions Officer determines that the investigated party (Respondent) engaged in a Prohibited Practice, the Sanctions Officer notifies the Respondent that sanctions proceedings have been initiated. The Respondent may submit a Response. After receiving the Response, the Sanctions Officer may request additional information or materials from OII or the Respondent.
The Sanctions Officer evaluates the sufficiency of the evidence presented by OII and the Respondent, and issues a Determination. If the Sanctions Officer finds that the preponderance of the evidence supports the fact that the respondent engaged in a Prohibited Practice, the Sanctions Officer determines the appropriate Sanction to be applied to the Respondent. If on the contrary, the Sanctions Officer determines that the Prohibited Practice is not supported by the preponderance of evidence, the allegations are dismissed and proceedings terminated.
Determinations issued by the Sanctions Officer against Respondents can be appealed before the Sanctions Committee, provided the Respondents submitted a Response during the period established in the Sanctions Procedures.
Separately, in relation to Negotiated Resolution Agreements conducted by OII, the Sanctions Officer is responsible for evaluating eligibility for OII and an investigated party to proceed with negotiations. As part of the review, the Sanctions Officer also establishes requirements for a negotiations process that include, among others, the applicable range of sanctions to be considered by OII and conditions for release from a sanction.
For more information on these processes and the role of the Sanctions Officer see Key Documents: Sanctions Procedures, Harmonized General Principles and Guidelines for Sanctions, MDB Harmonized Principals on Treatment of Corporate Groups.
