| (a) Upon receiving a written complaint, the complaint
is given a complaint number and assigned to an Investigator for review.
The Investigator performs an initial analysis to determine if the
Commission has jurisdiction over the alleged violation and whether
a violation of a statute or rule may have occurred.
(b) If the Investigator, in consultation with the Staff
Attorney, determines that the Commission does not have jurisdiction
of the matter or that the complaint does not reflect a violation,
the case is administratively closed.
(c) If the Investigator, in consultation with the Staff
Attorney, determines that the Commission has jurisdiction of the matter
and that the complaint reflects a violation, the Investigator will
send a summary of the complaint to the Respondent(s) along with a
letter which outlines the alleged violation(s) and requests a written
narrative response and relevant documents. A redacted copy of the
complaint may be provided to the Respondent upon request. The Respondent(s)
has 15 days from receipt of the letter to respond.
(d) In the course of the investigation or upon request
of the Staff Attorney, the Investigator may request additional information
from the Complainant, the Respondent(s), or any witnesses.
(e) The Investigator will prepare an Investigative
Report (Report) for the Staff Attorney's review. The Report must contain
the Investigator's findings and any applicable administrative penalties
or license sanctions based upon the Administrative Penalties and Sanctions
Schedule under §203.43 of this title.
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