Current through Register Vol. 63, No. 9, September 1, 2024
(1) The agency shall use the methods and
procedures in this rule to investigate complaints that allege grounds for
discipline under ORS
696.301.
(a) The Real Estate Commissioner, a Real
Estate Agency manager, or an authorized Agency staff member under the
supervision of an Agency manager shall review the complaint to determine
whether there are reasonable grounds to believe that a violation of ORS
696.007 to
696.995,
or any rule promulgated thereunder, may have occurred that constitutes grounds
for discipline under 696.301. Reasonable grounds means a reasonable belief in
facts or circumstances which, if true, would in law constitute a violation of
696.007 to 696.995 or its implementing rules.
(b) If the Commissioner or an Agency manager
determines there are reasonable grounds to believe a violation may have
occurred, the Agency will initiate an investigation. The individual assigned to
investigate the complaint shall gather all relevant facts in an objective,
impartial and unbiased manner. The investigative report must contain all facts
discovered during the investigation, including facts which may be exculpatory
or mitigating.
(c) The individual
assigned to investigate the complaint will promptly notify the Commissioner or
an Agency manager if a licensee fails or refuses to cooperate in an
investigation.
(d) An investigative
interview may be electronically recorded if the person to be interviewed
consents to the recording and states such consent on the recording.
(e) The individual assigned to investigate
the complaint may not communicate with a licensee or a member of the public
about the findings of the investigation, whether a violation may have occurred
based on the facts, or whether the Agency will initiate administrative action
against a licensee. In cases where compliance is sought during the
investigation, the individual assigned to investigate may discuss potential
violations with the licensee.
(f)
Individuals assigned to investigate complaints shall not solicit complaints
against any licensee.
(g) The scope
of an investigation shall be limited to the conduct or transaction(s) that
formed the basis initiating the investigation. However, if there are reasonable
grounds to believe that additional violations may have occurred that would
result in reprimand, suspension, revocation or license denial, the Commissioner
or an Agency manager may expand the scope of the investigation or authorize
additional investigations.
(2) The investigation report shall be written
in an objective manner and may not contain any conclusions about whether a
violation has occurred or any recommendation regarding discipline.
(3) An authorized Agency staff member will
review the investigation report and file and determine whether the evidence
supports charging a person under investigation with a violation of ORS
696.007 to
696.995,
or any rule promulgated thereunder. The Agency shall not assert, propose to
stipulate to, or issue a contested case notice alleging a violation of said
statutes and rules without reasonable grounds as defined in section (1)(a) of
this rule.
