Iowa Administrative Code › Agency 193E - Real Estate Commission › Chapter 18 - Investigations and Disciplinary Procedures › Rule 193E-18.9 - Investigation Procedures

Current through Register Vol. 47, No. 3, July 24, 2024
(1)
Disciplinary committee.
The commission chair may appoint two members of the commission to serve on a
			 commission disciplinary committee. The chair may appoint a standing committee
			 or may appoint different members to serve on the committee on an as-needed
			 basis. The disciplinary committee is a purely advisory body which reviews
			 complaint files referred by the commission's administrator, generally
			 supervises the investigation of complaints, and makes recommendations to the
			 full commission on the disposition of complaints. Except as provided by rule
			 193E-18.10 (17A,272C,543B),
			 members of the committee do not personally investigate complaints, but they may
			 review the investigative work product of others in formulating recommendations
			 to the commission.
(2)
Committee screening of complaints.
Upon the referral of a
			 complaint from the commission's administrator or from the full commission, the
			 committee determines whether the complaint presents facts which, if true,
			 suggest that a licensee may have violated a law or rule enforced by the
			 commission. If the committee concludes that the complaint does not present
			 facts which suggest such a violation or that the complaint does not otherwise
			 constitute an appropriate basis for disciplinary action, the committee refers
			 the complaint to the full commission with the recommendation that it be closed
			 with no further action. If the committee determines that the complaint does
			 present a credible basis for disciplinary action, the committee may either
			 immediately refer the complaint to the full commission recommending that a
			 disciplinary proceeding be commenced or initiate a disciplinary
			 investigation.
(3)
Committee procedures.
If the committee determines that
			 additional information is necessary or desirable to evaluate the merits of a
			 complaint, the committee may assign an investigator or expert consultant,
			 appoint a peer review committee, provide the licensee an opportunity to appear
			 before the disciplinary committee for an informal discussion as described in
			 rule 193E-18.10 (17A,272C,543B) or
			 request commission staff to conduct further investigation. Upon completion of
			 an investigation, the investigator, expert consultant, peer review committee or
			 commission staff presents a report to the committee. The committee reviews the
			 report and determines what further action is necessary. The committee may:
a. Request further investigation.
b. Determine there is not probable cause to
			 believe a disciplinary violation has occurred and refer the case to the full
			 commission with the recommendation of closure.
c. Determine there is probable cause to
			 believe that a law or rule enforced by the commission has been violated, but
			 that disciplinary action is unwarranted on other grounds, and refer the case to
			 the full commission with the recommendation of closure. The committee may also
			 recommend that the licensee be informally cautioned or educated about matters
			 which could form the basis for disciplinary action in the future.
d. Determine there is probable cause to
			 believe a disciplinary violation has occurred and either attempt informal
			 settlement, subject to approval by the full commission, or refer the case to
			 the full commission with the recommendation that the commission initiate a
			 disciplinary proceeding (contested case).
e. Stay further action on the complaint if,
			 for instance, there is a pending criminal case or civil litigation and the
			 committee feels it would be in the best interest of the public and respondent
			 to await the final outcome of the litigation. Additionally, the committee may
			 stay further action on a complaint when the respondent's license is expired or
			 revoked.