Step 1 - Initial Review – The Commission’s executive director, with the assistance of Commission staff or outside contractors, conducts an initial review of the allegations in the complaint and provides an initial review completion report to the Commission. The Commission may summarily dismiss the complaint if: (1) the complaint does not fall within the Commission’s jurisdiction; (2) the complaint is insufficient to identify a possible violation; (3) the complaint fails to comply with rules adopted by the Commission; or (4) the complaint was submitted in bad faith.
After the Commission completes the initial review, the executive director provides a copy or written summary of the complaint to the respondent.
Step 2 – Informal Resolution – If the complaint is not summarily dismissed at step 1, the Commission provides an opportunity for the complainant and the respondent to informally resolve the complaint. The informal resolution process involves mediating the complaint to reach a mutually agreeable resolution between the complainant and the respondent. At this stage, the Commission’s staff acts as an intermediary to attempt resolution.
Step 3 - Settlement Opportunity and Investigation – If the informal resolution process between the complainant and the respondent is unsuccessful, the Commission may work with the respondent to settle and close the complaint at any time before the Commission takes final action on the complaint. The Commission has adopted settlement guidelines to provide consistent and even-handed settlement offers across all complaints.
If the complaint is not summarily dismissed or informally resolved, the executive director, with the assistance of Commission staff or outside contractors, conducts a thorough investigation of the allegations in the complaint. After completion of an investigation, the executive director then prepares a preliminary report and recommendation for the Commission. The Commission may issue an alleged violation, require additional investigation, or close the complaint matter.
Step 4 - Commission Action – If the Commission issues an alleged violation, the executive director prepares a final report and recommendation which will include written findings from the investigation and the executive director’s recommendation for Commission action on the complaint. The respondent will receive a copy of the final report and recommendation and the record for the complaint matter. The Commission will then conduct a hearing on the complaint in executive session. The respondent may appear and the respondent’s legal counsel may appear, if represented. Following the hearing, the Commission will deliberate on the complaint and issue an order with its decision.
Due to the confidential requirements for complaints, the Commission may only provide public information related to complaints in two scenarios:
A respondent authorizes the Commission to release the information; or
The Commission determines an ethical violation occurred and, if appealed, the district court affirms the Commission’s decision.