298 Neb. Admin. Code, ch. 8, § 003 - VIOLATION OF THE AMC REGISTRATION ACT
003.01 All
registered appraisal management companies and all applicants for a registration
in the State of Nebraska are subject to the complaint procedures established by
this Chapter for any alleged violations of the AMC Act, the standards
established by this Title, or of this Title. Such procedure shall not suspend
or preclude any other proceedings otherwise allowed by the AMC Act or by other
law.
003.02 If technical assistance
is required to assist with the investigation and/or hearing, the Board may
contract with or use qualified individuals or companies. A member of the Board
may participate in the investigation; however, no board member may vote on any
matter in which he or she was appointed by his or her fellow board members to
participate in an investigation. Any person under contract with the Board to
provide technical assistance for an investigation reports his or her findings
to the Board's investigator as requested.
003.03 Upon receipt of a grievance not filed
by the Board, the following steps are generally followed:
003.03A If applicable, the aggrieved person
is notified in writing that the grievance has been received, and provided the
investigation number assigned to the grievance and directions to follow the
matter through the minutes of the Board meetings in which the grievance is
discussed.
003.03B The person
against whom the grievance is filed is notified in writing of the grievance and
the allegations, and may be requested to answer the allegations in writing,
electronically, or verbally within an appropriate period of time as determined
by the investigator.
003.03C The
Board's investigator evaluates the grievance, along with any information
obtained pursuant to Section
003.03B of this
Chapter, to determine jurisdiction and to make a preliminary determination as
to whether any violations of the AMC Act or this Title have been alleged. Upon
conclusion of the evaluation, the investigator will make a presentation to the
Board as to whether sufficient evidence exists to proceed with an
investigation.
003.03D The Board
reviews the evidence provided by the investigator and determines whether the
allegation(s) should be dismissed, or whether the allegation(s) should be
investigated.
003.03D.1 If the Board
determines that the allegations(s) should be investigated, the person under
investigation is notified of the investigation and any alleged violations of
the AMC Act or this Title in writing; or
003.03D.2 If the Board determines that the
allegation(s) should be dismissed, the person under investigation is notified
of dismissal in writing.
003.04 For a grievance filed by the Board,
the following steps are generally followed:
003.04A The person against whom the Board is
considering filing a grievance is notified in writing of the Board's concerns,
and may be requested to submit information within an appropriate period of time
as determined by the investigator.
003.04B The Board's investigator evaluates
the matter, along with any information obtained pursuant to Section
003.04A of this
Chapter, to determine jurisdiction and make a preliminary determination as to
whether any violations of the AMC Act or this Title have been alleged. Upon
conclusion of the evaluation, the investigator will make a presentation to the
Board as to whether sufficient evidence exists to proceed with an
investigation.
003.04C The Board
reviews the evidence provided by the investigator and determines whether the
matter should be investigated.
003.04C.1 If
the Board determines that the matter should be investigated, the Board files a
grievance and notifies the person under investigation of grievance, including
any alleged violations of the AMC Act or this Title in writing; or
003.04C.2 If the Board determines that the
matter should not be investigated, notice of such determination is provided to
the person against whom the Board was considering filing a
grievance.
003.05 If the Board determines to proceed
with an investigation, the following steps are generally followed:
003.05A In conducting an investigation, and
prior to filing a formal complaint on the grievance, the person who is under
investigation may be requested to:
003.05A.1
Submit documentation, including but not limited to, report(s) and workfile(s),
appraisal review report(s), AMC appraiser panel information, Uniform Standards
of Professional Appraisal Practice compliance, AMC appraiser fees, and record
of AMC appraiser valuation services within an appropriate period of time as
determined by the investigator; and/or
003.05A.2 Provide any other information
concerning the investigation, in writing, electronically, or verbally as
determined by the investigator.
003.05B In conducting an investigation, the
aggrieved person may be requested to:
003.05B.1 Submit documentation as
requested;
003.05B.2 Respond to any
request for information in writing, electronically, or verbally as determined
by the investigator; and/or,
003.05B.3 Discuss the allegations with the
investigator.
003.05C In
conducting an investigation, the investigator may interview or request
information in writing, electronically, or verbally as determined by the
investigator, from any other person.
003.05D Upon the conclusion of an
investigation, the Board's investigator may prepare an investigative report.
The report includes documentation that supports the findings as needed to
dismiss the allegation(s) or file a formal complaint.
003.05E If the investigation reveals that
there is not good cause to believe that the person under investigation has
violated the AMC Act or this Title, or the violation(s) is/are minor in nature
as determined by the Board, the matter will be dismissed and no formal
complaint will be initiated by the Board. Upon dismissal, the Board may issue
an advisory opinion, or recommend a specific action that the Board deems
beneficial to the person under investigation.
003.05F If the investigation discloses
evidence that the actions of the person under investigation constitute a
violation of the AMC Act or this Title, a formal complaint may be prepared by
the Board.
003.06 The
Board may enter into a consent agreement or negotiated settlement at any time
before or after filing a formal complaint. Voluntary surrender or nonrenewal of
a registration to avoid or expedite enforcement or disciplinary action does not
preclude any enforcement action or sanction for any alleged violation and will
prohibit the person under investigation from applying for subsequent
reinstatement or registration.
003.07 Disciplinary action taken by the Board
may include but is not limited to:
(1)
Conditional or unconditional revocation,
(2) Conditional or unconditional
suspension,
(3) Fine,
(4) Censure,
(5) Admonishment,
(6) Civil penalty not to exceed five thousand
dollars for a first offense and not to exceed ten thousand dollars for a second
or subsequent offense,
(7)
Advisement,
(8) Cease and desist
order, and/or
(9) Costs associated
with investigation.
003.08 Pursuant to NEB. REV. STAT. §
76-3222, at any time during or
upon completion of an investigation, whenever in the judgement of the Board,
any person has engaged or is about to engage in any acts or practices which
constitute or will constitute a violation of the AMC Act or this Title, the
Board may request that Attorney General maintain an action in the name of the
State of Nebraska to abate and temporarily and permanently enjoin such acts and
practices and to enforce compliance with the AMC Act or this Title.
Notes
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