Section 450.10  Complaint Procedures

 

a)         Filing of Complaint.  All complaints must be in writing, signed by the complainant and, if the complainant is represented by an attorney, signed by the complainant and such attorney.  Complaints may be filed in person or by mail.  Copies of all relevant documents including advertisements should be attached to the complaint.

 

b)         Docketing and Numbering Complaints.  Each complaint filed shall be docketed and given a number.  Correspondence with the Division should bear the complaint number.

 

c)         Determination of Jurisdiction.  Within a reasonable time after filing, each complaint will be reviewed to determine whether the Attorney General has jurisdiction thereof.  The Division shall notify the complainant by mail respecting its determination concerning jurisdiction.

 

d)         Notice of Complaint.  If the Division determines that it has jurisdiction, it shall inform the respondent by mail:

 

1)         the substance of the complaint filed against him;

 

2)         when and by whom is was filed;

 

3)         that the respondent has the right to respond to the complaint;

 

4)         that any response must be sent by mail within 5 days following receipt of the Division's letter;

 

5)         that unless a response is made demonstrating clearly that the Division lacks jurisdiction or that there is no substantial claim, a hearing may be set on the matter.

 

Section 450.20  Hearings

 

a)         Calling and Notice of Hearing.  The Division may call a hearing respecting any complaint and fix the date and place of hearing.  The Division shall mail to each party, at least 5 days prior to the hearing date, a notice stating:

 

1)         the time and place of the hearing;

 

2)         any statute or rule involved, and

 

3)         unless the substance of the complaint was adequately stated in the original notice of complaint, the substance of the complaint.

 

b)         Conduct of Hearing.

 

1)         A hearing is an informal proceeding.  The parties shall appear before a duly assigned Hearing Officer.  Opportunity shall be afforded to the complainant and respondent to present evidence and argument on all issues involved and to cross-examine all witnesses who have testified.  The Hearing Officer may question any party or witness.

 

2)         The Division may, on its own motion, subpoena witnesses or tangible evidence.  A party may, within a reasonable time before the hearing date, request the Division to subpoena witnesses or tangible evidence.  Such request shall be granted when the Hearing Officer deems it appropriate.

 

3)         Any relevant evidence which is not privileged is admissible without regard to whether such evidence is hearsay or otherwise inadmissible in a court of law.  The Hearing Officer may exclude irrelevant, immaterial or unduly repetitious evidence.

 

4)         Each party has the right to representation by counsel at his own expense.

 

5)         Either party or the Division may cause the hearing to be transcribed at his or its own expense.

 

6)         The Hearing Officer may make a finding, based on substantial evidence, that a violation of any statute under the Division's jurisdiction has occurred.  The finding shall be reflected in a written order.  The respondent and complainant shall be notified either personally or by mail of any such finding or order.

 

7)         A Hearing Officer may administer an oath or affirmation to any person upon request of either party or upon his own initiative.

 

8)         A Hearing Officer may expel any party or attorney from any hearing for improper, disorderly, or contemptuous conduct.

 

c)         Failure to Appear at Hearing.

 

1)         Upon failure of a duly notified respondent to appear at a hearing, the Division may cause a subpoena to be issued compelling the respondent to appear at a hearing on a future date certain.  Failure of one party to appear at a scheduled hearing does not preclude the Hearing Officer from receiving evidence from and hearing arguments by the other party.  The Hearing Officer may make a finding notwithstanding the absence of one of the parties.

 

2)         Upon failure of the complainant to appear, the Hearing Officer may, in his discretion, terminate the matter.

 

d)         Hearing Officer to be Impartial.  No person with financial or other interest relative to a complaint shall serve as Hearing Officer.  Any party may challenge the impartiality of any Hearing Officer by presenting an objection in writing to the Hearing Officer or to the Chief of the Division.  The Chief of the Division shall consider and determine such objection.

 

e)         Continuance of Date of Hearing.  A continuance may be granted in the discretion of the Hearing Officer for good cause.  A request for a continuance must be made not later than 48 hours prior to the hearing whenever possible.  Requests for continuances made within 48 hours of the hearing will be granted only in a case of unexpected emergency.

 

f)         Compliance with Order.  Upon a finding by a Hearing Officer that a violation has occurred, the respondent shall have 5 days to comply with the order of the Division except that if a later date is specified in the order, the later date is the effective date.

 

Section 450.30  Assurance of Voluntary Compliance

 

a)         The Chief of the Division may, in his discretion, in lieu of or in addition to calling a hearing, accept an Assurance of Voluntary Compliance from any respondent.  Giving an Assurance of Voluntary Compliance does not constitute an admission that a violation of any law has taken place.  An Assurance may include a stipulation for payments by respondent to the complainant and to other consumers.  An Assurance may include a stipulation for payment by respondent to the Division of the costs incurred in connection with the complaint against the respondent.  An Assurance may, in the discretion of the Chief of the Division, be made open to public inspection or disseminated to the public media.  An Assurance may be filed with the trial court of general jurisdiction of any county in which the respondent does business.  From time to time, a person who has made an Assurance of Voluntary Compliance must provide such information as the Division reasonably requests to determine whether such person is in compliance with his Assurance.

 

b)         The Division is not precluded from further action by its acceptance of an Assurance of Voluntary Compliance.