OAR 801-001-0040: Procedure for Complaints

Pursuant to ORS 673.185, the Board is authorized to investigate complaints alleging violations of ORS 673.010 through 673.455 and OAR chapter 801. The following procedures govern complaints received by the Board: (1) The Board may investigate complaints that describe activities that are subject to the jurisdiction of the Board and that provide information in support of the complaint. (2) Anonymous, unsigned complaints, or complaints submitted without a Board-provided complaint form may not be investigated. (3) The Board may also investigate other information of which the Board has knowledge, such as media stories and information provided by law enforcement or other regulatory agencies, which indicates that a violation of the statutes or rules enforced by the Board may have occurred. (4) Any person submitting a complaint may be asked to support the complaint by personal appearance before the Board. (5) The Board may employ private investigators or contract investigators to provide assistance in determining the facts of any case being investigated. (6) A licensee who is the subject of a complaint may meet with the Complaints Committee to discuss the complaint. (7) In accordance with ORS 673.415 the Board may obtain a copy of the signature block, including the name, address and signature of the tax preparer, for any tax return or report permitted or required to be filed with the Oregon Department of Revenue, if the Board has reasonable grounds to believe that a licensee who prepared such tax return or report may have violated any provision of ORS 673.010 to 673.455 or rules promulgated by the Board. (8) If the Board determines that the available evidence is insufficient to indicate that a violation may have occurred, the Board shall dismiss the complaint. (9) If the Board determines that the available evidence is sufficient to indicate that a violation may have occurred, the Board shall make a preliminary finding of a violation(s) and offer the subject of the complaint a contested case hearing. (10) A person under investigation and the Board’s Executive Director may negotiate a proposed Stipulated Final Order to conclude a matter. (11) A negotiated settlement as described in paragraph (10) shall not be binding on either party until approved by the Board and signed by the Chairperson of the Board or the Executive Director.