Initiation of Enforcement Case

PURPOSE: This rule sets forth the manner in which a case is initiated. (1) A case initiated pursuant to subsection 3 of section 105.961, RSMo, shall be commenced after the commission has received and reviewed a report from a special investigator made pursuant to subsection 1 of section 105.961, RSMo, or an audit conducted pursuant to section 105.959, RSMo, and the commission has concluded, based upon such report or upon such audit, that there are reasonable grounds to believe that a violation of any law has occurred which would authorize the commission to take action pursuant to section 105.961, RSMo. Upon such conclusion— (A) A complaint, directed to the object(s) of the special investigator’s report or audit, shall be prepared as provided by section 536.063, RSMo; (B) Such complaint shall be filed with the commission and shall affirmatively request relief within the jurisdiction of the commission should the commission determine, after conducting a hearing, that probable cause exists to find the person named in the complaint in violation of the provisions of law set forth in the complaint; (C) If any commissioner, the attorney general or any member of their staff is the subject of any investigation or complaint, or is in any manner related or connected to the subject of any investigation or com plaint to a degree indicative or suggestive of a conflict of interest, neither the commissioner nor commission staff members, the attorney general, nor any assistants shall participate in any manner in the handling or disposition of the investigation and complaint; and (D) An amended complaint may be filed without the commission’s leave any time before the respondent serves a responsive pleading, but no later than ten (10) days before a scheduled hearing. An amended complaint may be filed with the commission’s leave at any time before the hearing by the requesting party filing a motion to amend the complaint with the commission. The motion shall include the amended complaint proposed to be filed. Nothing in this rule shall prevent an amendment of the complaint to conform to the evidence. (2) The executive director shall issue and serve in the name of the commission, a written notice, together with a copy of the complaint, requiring the person named in the complaint, hereafter referred to as “respondent,” to answer the charges at a hearing before the commission, at a time and place as specified in the notice. Such written notice shall be given at least ten (10) days before a hearing unless otherwise consented to by the parties. (3) The commission shall be a party to the action and shall be represented as provided in section 105.955.15(4), RSMo. (4) The hearing shall be conducted in the manner provided by sections 536.063 to 536.090, RSMo. (5) Any period of time prescribed or allowed by these rules or by other order of the commission, which is not otherwise specifically provided for, shall be computed as provided by the Missouri Rules of Civil Procedure and Chapters 105 and 536, RSMo. (A) The commission may extend the time set by these rules or set by the commission either before or after the time period has expired. (B) A party may move for an extension of the time set by these rules or set by the commission. The motion shall be in writing and shall state whether any party objects to the extension or that efforts to contact the nonmoving party have been futile. (6) A licensed attorney who has not previously entered an appearance on behalf of a person before the commission pursuant to rule 1 CSR 50-4.010 shall enter an appearance in writing with the commission as provided in that rule. AUTHORITY: section 105.955.14(7), RSMo Supp. 2015, and section 105.961.3, RSMo Supp. 2013.* Original rule filed March 24, 1997, effective Sept. 30, 1997. Amended: Filed Sept. 4, 2007, effective Feb. 29, 2008. Amended: Filed Sept. 1, 2015, effective Feb. 29, 2016. *Original authority: 105.955, RSMo 1991, amended 1994, 1995, 1996, 1997, 1999, 2010, 2015 and 105.961, RSMo 1991, amended 1997, 2010.