Sec. 19a.01.03.05. Preliminary Staff Investigation and Review

A. Complaints issued by the Commission or filed and accepted by the Commission pursuant to Regulation .04 of this chapter shall be referred to the staff counsel.

B. Collection of Evidence.

(1) The staff counsel shall collect evidence relating to the allegations of the complaint.

(2) Evidence may be collected by personal interview, interrogatory, deposition, review of documents, or any other usual investigatory method.

(3) In the collection of evidence pursuant to this section, the subpoena power of Regulation .01C(1) of this chapter may be relied upon to compel the attendance and testimony of witnesses and the production of books, papers, records, documents, or other tangible objects.

C. Notification and Respondent Action.

(1) The staff counsel shall notify the complainant and the respondent of the anticipated presentation of the evidence to the Commission at least 15 days before presenting the evidence to the Commission.

(2) The respondent may take action to cure all alleged violations within 15 days of receipt of the notification provided in accordance with §C(1) of this regulation, and advise the staff counsel of this action.

(3) In response to the notification of §C(1) of this regulation, the respondent may also submit materials or other proposed resolution for consideration by or negotiation with the staff counsel.

D. Staff Counsel Preliminary Report.

(1) The staff counsel shall provide the Commission with a preliminary report including all evidence collected relating to the allegations of the complaint.

(2) The preliminary report to the Commission shall include any evidence of cure action taken by the respondent, any resolution of the complaint proposed by the respondent, and any other agreement or proposed resolution of the complaint agreed to by respondent and staff counsel.

(3) The preliminary report may include a recommended disposition.

(4) A proposed disposition or proposed resolution agreed to by staff counsel and the respondent is a recommendation only, and may not be binding on the Commission.