Okla. Admin. Code § 560:10-1-13.1

Current through Vol. 42, No. 6, December 2, 2024

Section 560:10-1-13.1 - Complaint Procedure

(a)Purpose of order. The purpose of this order is to establish Board procedures for initiation, receipt, and investigation of complaints related to matters under the authority of the Board of Polygraph Examiners.

(b)Receipt of complaints. It shall be the policy of the Board to investigate all complaints or allegations of misconduct committed by person(s) under the Board's authority whether initiated by the Board or complainants.

(c)Requirement for complaint. The investigation of a complaint concerning a licensed polygraph examiner, whether the complaint is made by the Board or by other complainants, may be initiated only when the complaint is in writing, signed, notarized, and filed with the Board.

(1) The notarized complaint form provided by the Board must contain a statement setting forth the allegations of fact and naming the licensee or licensees against whom the complaint is filed.

(2) The complaint provides the basis for the Chair of the Board to request an informal meeting with the licensee, whose participation is voluntary, and/or appointment of an investigator for the matter.

(3) The licensed polygraph examiner will be provided a copy of the complaint prior to any disciplinary action being taken.

(d)Independently verified allegations - written complaint may not be required. In all matters of complaints or inquiries, the Board shall require the complaint or inquiry to be in writing, signed, and notarized. However, alleged violations of the Polygraph Examiners Act which can be independently verified by the Board may not require a written complaint.

(e)Selection of investigator. The Board shall select a licensed polygraph examiner to investigate complaints against polygraph examiners.

(1) The selection may be by appointment by the Chair or Vice Chair.

(2) Complaints initiated will be assigned to an investigator who will cause a preliminary investigation to be initiated into the facts and circumstances surrounding such allegations.

(3) A preliminary or final investigative report is due to the complaint Review Panel within thirty (30) calendar days of receiving the complaint.

(f)Investigator's gathering of information. The licensed polygraph examiner authorized to receive and investigate complaints shall gather all information necessary to adequately apprise a Review Panel.

(1) The investigation may include interviews with the complainant, the licensee complained against, and others as appropriate.

(2) The licensee will have the opportunity during the investigator's interview to show compliance with all lawful requirements.

(3) Gathering information to assist the Board in its disposition of complaints is the only designated function of the investigator during the conduct of the investigation.

(4) The investigator shall not offer an opinion to the complainant and/or to the licensee about the merit of the complaint or any other matter.

(g)Presentation of Review Panel's summary and recommendation. The Review Panel, comprised of the investigator, the Assistant Attorney General representing the Board, and the Board member appointed by the Chair or Vice Chair, is an advisory body whose function is to summarize the complaint and to make an informed recommendation regarding disposition of the complaint to the Board.

(1) The Review Panel's summary, consisting of the alleged violation(s), and applicable laws, rules and/or ethical principles(s) and code(s) of conduct, and the recommendation will be presented at an open meeting of the Board.

(2) The complainant and licensee complained against will be given prior notification by mail of the date, time, and place of such meeting.

(3) During the Review Panel's presentation, no questions will be posed by or to the licensee or the complaining witness pertaining to the substance of the case.

(4) Such questions may be submitted in writing to the Assistant Attorney General representing the Board following the Board meeting.

(h)Dismissal of complaint by majority vote. Upon considering the basis of the complaint, the circumstances of the alleged violation, the summary and recommendation of the Review Panel, or a combination of these, the Board may decide not to pursue further the allegations, and may dismiss the complaint by any approving vote of a majority of the members present in open meeting. Upon dismissal, all related documents shall be filed and maintained in an unfounded complaint file.

(i)Informal disposition of certain complaints. In some situations including, but not limited to, cases where the inquiry or complaint does not allege conduct punishable by suspension or revocation of a license, the matter may be handled informally. However, no matter can be considered closed until so voted by a majority of the Board in open meeting.

(j)Recusal of board member. A Board member, who acts as a Review Panel member, shall be recused from all Board decisions relating to the complaint.

(k)Investigator's expenses. At the conclusion of the inquiry, the investigator may complete a Council expense reimbursement form for payment of investigative expenses.

(l)Complaints received at the Board. Complaints received in person should be completed on the complaint form.

(m)Complaints received by mail or telephone. Complaints received by mail or telephone shall be completed on the complaint form by the Board secretary.

(n)Complaints received in the field. If the complaint is received by a Board representative, the representative will complete the complaint form.

(o)Assignment of complaints. A copy of all complaints received shall be forwarded to the Chair or Vice Chair after being recorded on a complaint log, establishing a file and number. Recorded information shall include:

(1) Name of the licensed polygraph examiner.

(2) Name of the complainant.

(3) Nature of the complaint.

(4) Date complaint was received.

(5) Name of the investigator and date assigned.

(6) Case number.

(p)Investigative reporting procedures.

(1) The investigator will receive a copy of all available information concerning the incident. The investigator will maintain all materials of the investigation until submitted to the Review Panel.

(2) Each investigation shall be conducted in accordance with professionally recognized standards, and in accordance with the laws of the State of Oklahoma and the Constitution of the United States.

(3) Each investigation should include:

(A) Interview with complainant.

(B) Interview with witnesses (if applicable).

(C) Interview with licensed examiner.

(D) Investigative findings.

(E) Judgment and sentence documents or other documents, photographs, and other evidence if needed to prove the case in a hearing.

(F) A report submitted to the Review Panel.

(G) Review and copy of the licensed polygraph examiner's examinee polygraph file.

(H) Review audio and visual recordings of examinee's polygraph examination.

(I) All information may be forwarded to the District Attorney's office for the consideration of the filing of criminal charges.

(q)Completed Investigations. The investigator shall include the case number on all materials related to the investigation, and upon completion, submit all materials to the Review Panel. No reference to the complaint or any copies will be maintained by the investigator.

Okla. Admin. Code § 560:10-1-13.1

Added at 23 Ok Reg 1966, eff 7-1-06