Current through Register Vol. 48, No. 3, March 22, 2024
A. The purpose of an investigation is to determine whether probable cause exists to believe a violation of law has occurred which may subject the Respondent to sanctions by the Commission, criminal prosecution by the State, and/or civil liability, as appropriate.
B. The notice of investigation may request information and documents, by subpoena or otherwise, which shall be supplied by any person.
C. The investigation shall consider the allegations raised in the complaint or information; any timely received written response of the Respondent; any oral response received from the Respondent; other evidence submitted by any person to the Commission and other evidence gathered by the Commission.
(1) During the investigation, the Commission may interview witnesses, issue subpoenas for persons and documents, and take such other action as is necessary to prepare a preliminary determination of the facts relating to the issues alleged in the complaint.
(2) If, in the course of the investigation, other issues involving potential violations of the law are found, those issues shall likewise be investigated.
(3) After completion of the investigation, the Commission staff will present a written report of investigation to the Commission with findings of fact, conclusions of law and a recommendation whether probable cause exists.
(a) If the Commission determines that probable cause exists, it shall issue a notice of hearing and convene a formal hearing before a panel of three Commissioners.
(b) If the Commission determines that probable cause does not exist, it shall dismiss the complaint. If the complaint is found groundless by a vote of the Commission, the complaint shall be dismissed and stricken from public record. All records of a complaint found to be groundless shall remain confidential unless the Respondent waives confidentiality in writing. A complaint which has been dismissed may be refiled to allege new or additional facts.
