520-RICR-00-00-3. Procedures - Complaints and Investigations (version Periodic Refile, 01/28/2002 to 05/25/2018)

Regulation 1002 - Review of Complaint. (a) Any Complaint filed shall be reviewed as to form. If the Complaint is defective as to form, it shall be returned to the Complainant for correction. If it is not returned to the Commission by the Complainant within twenty (20) days of mailing by the Commission, the Complaint shall not be processed as filed. (1) Notwithstanding subparagraph (a) of this Regulation, if the Executive Director or designee determines that the facts stated in a defective Complaint are sufficient to allege a violation of the Code of Ethics, the Executive Director or designee may initiate a preliminary investigation, regardless of any defects as to form, or the failure of the Complainant to refile the Complaint. (2) If the Complaint contains no defect as to form, it shall be reviewed by the Executive Director or designee to determine whether or not the Complaint alleges facts suffi- cient to constitute a knowing and willful violation of the Code of Ethics, who shall forward the Complaint to the Commission for review at an initial determination. (b) Subsequent to receipt of a Complaint in proper form, within three (3) working days, the Complainant and Respondent shall be mailed a copy of the Complaint, Notification of Re- ceipt of Complaint, and a copy of the Code of Ethics and any Regulations promulgated thereto.