|(a) Complaints and inquiries filed with the Department
are generally considered public information, unless a specific statutory
(b) The Department, at the request of the complainant,
will make a good faith effort to protect the complainant's identity
to the extent possible.
(c) The Department will determine if a complaint or
inquiry relates to an activity that the Department regulates, and:
(1) if the Department does not regulate the activity
that is the subject of the complaint or inquiry, the Department will
close the complaint or inquiry and refer the person making the complaint
or inquiry to the appropriate regulatory authority, if known; or
(2) if the Department regulates the activity that is
the subject of a complaint, the Department will send a copy or a summary
of the complaint and appropriate supporting documentation to the entity
or individual that is the subject of the complaint to request a response,
unless notice of the complaint would jeopardize analysis or investigation
of the complaint or the Commissioner or his or her designee otherwise
determines an undercover or covert investigation is warranted.
(d) A regulated entity or individual that receives
a complaint forwarded by the Department must respond within 14 calendar
days from the date the request was sent by the Department, unless
an extension of time is granted. If an extension of time is granted,
the regulated entity or individual must respond by the deadline recited
in or otherwise created by the extension of time.
(e) The Department will prioritize complaints for purposes
of determining the order in which complaints are investigated, taking
into account the seriousness of the allegations made in a complaint
and the length of time a complaint has been pending.
(f) The Department will monitor how long each complaint
is open, and will make all reasonable efforts to resolve complaints
within 90 calendar days of receipt of actionable information. The
Department will notify the complainant of his or her complaint status
at least quarterly until final disposition, unless such notice would
jeopardize an ongoing complaint analysis or investigation.