270 CMR 4.02 - Investigations, Formal Docketed Complaints and Licensee's Responsibility to Respond Prior to the Issuance of an Order to Show Cause

(1) Investigations Generally. Any person or organization may submit information, in any form, alleging misconduct by a licensee to the offices of the Board. The Board may direct or authorize one or more of following actions to be taken on its behalf:
(a) Review all information received alleging or indicating acts or omissions by a licensee and identify whether such acts or omissions, if true constitute grounds for Board action pursuant to 270 CMR 4.03;
(b) Request the licensee who is alleged to have engaged in the alleged acts or omissions submit a written response to the allegations and any documents or other evidence in the licensee's possession and control that may be relevant to the allegations;
(c) Gather additional information as necessary to determine if the alleged acts or omissions are supported by evidence; and
(d) Initiate a formal, docketed complaint against a licensee based on evidence that the licensee has engaged in specific acts or omissions constituting grounds for Board action.
(2) Licensee's Response. Except as otherwise provided by law, a licensee who is asked to submit a written response to a pending investigation or docketed complaint pursuant to 270 CMR 4.02(1) shall provide such response within 21 days of the licensee's receipt of the request. The licensee's written response shall be signed by the licensee. A licensee who claims to be exempt by law from either responding to the Board or from producing requested documents or evidence to the Board shall provide a written statement setting forth the legal authority on which he or she relies.
(3) Closure of Investigation. If a formal, docketed complaint has not been initiated, the Board may direct or authorize one or more of the following actions be taken on its behalf:
(a) Close the investigation for any of the reasons set forth in 270 CMR 4.04(1)(a)1. through 3.;
(b) Send an advisory letter in accordance with 270 CMR 4.06(1) to the licensee who is the subject of an investigation.
(c) Reopen a closed investigation on the receipt of new or previously unavailable evidence.


270 CMR 4.02
Amended by Mass Register Issue 1329, eff. 12/30/2016.

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