Rule 590-3-1-.18 - Appointment of Investigative Agent, Examiner or Regulatory Monitor(1) In the case of any investigation or examination conducted under Code Section 10-14-15, the Secretary of State may appoint an investigative agent, examiner or regulatory monitor to conduct the investigation or examination who shall have the powers and authority granted by the Secretary of State.(2) An investigative agent, examiner or regulatory monitor must possess the necessary investigative, legal, accounting or financial skills and expertise to properly analyze the evidence, prepare and present a comprehensive report, and follow through until completion of the assigned task. Depending on the nature and complexity of the assignment, special skills and qualifications may be required. This may require a person to be a member of the State Bar of Georgia, a Certified Public Accountant, a trained and experienced state or federal government administrative or criminal investigator, a financial analyst or a current or former licensed person in one of the regulated industries. The investigative agent, examiner or regulatory monitor must certify that he or she does not have, nor is there a perception that he or she may have, a professional conflict of interest in the matter to be investigated. The Secretary of State, in his or her sole discretion, shall determine the qualifications of an investigative agent, examiner or regulatory monitor.(3) Unless otherwise indicated in the order, supervision of the investigative agent is vested in the Secretary of State or his or her designee.(4) An investigative agent, examiner or regulatory monitor shall be appointed by order under the appropriate Code Section. The order shall generally identify the matter, the persons to be investigated, the qualifications of the individual appointed as investigative agent, procedures for securing subpoenas, and reporting requirements. The order shall also establish the rate of compensation and invoicing and billing procedures.(5) Only individuals may be appointed to act as investigative agents, examiners or regulatory monitors. If a matter requires additional individuals or expertise, additional appointments may be made by order in which a supervising investigative agent, examiner or regulatory monitor shall be designated.(6) An investigative agent, examiner or regulatory monitor shall serve for a period of up to twelve (12) months. The period of appointment may be shortened or extended by the Secretary of State as circumstances require.(7) Types of Cases. An investigative agent, examiner or regulatory monitor shall not ordinarily be appointed to handle routine matters and complaints that come before the Secretary of State. Examples of matters in which an appointment would normally occur include, by way of illustration only, any of the following:(a) Complex investigations requiring detailed analytical skills not available to the staff due to staff cutbacks, new and inexperienced staff; or that require skills that are not presently available on staff;(b) The existence of heavy workloads that make current staff unavailable to address the matter in a reasonable amount of time;(c) Matters requiring extensive litigation skills in preparing administrative orders, civil complaints, criminal indictments, or similar documents;(d) Complex audits that require the skills of a senior and qualified CPA specializing in the area;(e) A regulatory enforcement order or consent order that requires the appointment of an investigative agent, examiner or regulatory monitor; or(f) A multi-state cooperative investigation or program that the staff would not be able to complete in a timely manner.(8) In any case where investigations or examinations are conducted by an investigative agent, examiner or regulatory monitor, he or she shall submit to the Secretary of State a written report, including the transcript of the testimony in evidence (if requested by the Secretary of State), the findings and recommendations of the action to be taken by the Secretary of State. The recommendation of the agent may be approved, modified, or disapproved by the Secretary of State. The Secretary of State may direct an investigative agent or examiner to conduct further investigation, take additional testimony or acquire further documentary evidence as may be necessary and appropriate.Ga. Comp. R. & Regs. R. 590-3-1-.18
O.C.G.A. Secs. 10-14-14, 10-14-15, 44-3-137, 44-3-139.
Original Rule entitled "Issuance of Deeds to Cemetery Lots" adopted. F. Dec. 20, 1988; eff. Jan. 9, 1989.Repealed: F. July 26, 2000; eff. August 15, 2000.Amended: New Rule entitled "Appointment of Investigative Agent, Examiner or Regulatory Monitor" adopted. F. May 19, 2005; eff. June 8, 2005.