1. (a) INSPECTIONS.

   1. (1) Any premise on which embalming or funeral directing is conducted shall be open at all times to inspection for any violation of Chapter 651, Texas Occupations Code, or of Chapter 193 or 361, Health and Safety Code.
   2. (2) Each licensed establishment shall be, as a minimum, inspected once every two years.

   3. (3) The inspector shall review the previous inspection report on the facility prior to the inspection.

      1. (A) A permanent computerized database of inspection deficiencies shall be maintained for recording the deficiencies reported by inspectors.
      2. (B) The computerized record will note: the name of the establishment, the date of inspection, the type of deficiency, proof of compliance provided within 15 days of inspection, the inspector's initial.
   4. (4) Inspections shall be unannounced. Upon entering the facility, the inspector shall provide agency identification and state the purpose of the visit. The inspector shall physically inspect the facilities, noting all exceptions on the inspection checklist. The inspector shall also inspect all required forms and shall personally draw and inspect a random sample of at least five files of cases that have been performed since the last inspection date.
   5. (5) Upon completion of the inspection, the inspector shall complete all forms, explain all exceptions to an establishment representative, ask the establishment representative to sign the acknowledgment section, and tell the establishment representative that the establishment must correct any noted exceptions and provide proof of such corrective action in writing to the commission within 15 days of the inspection. The inspector shall give one copy of the inspection form to the establishment representative, forward one copy to the commission office, and keep one copy for his files.

2. (b) INVESTIGATIONS.

   1. (1) The commission shall investigate each complaint received relating to a funeral director, embalmer, provisional license holder, funeral establishment, or other person licensed or registered under Chapter 651, Texas Occupation Code in accordance with the Commission Policy and Procedures Manual.
   2. (2) The beginning of the investigation process shall be the assignment of a tracking number, followed by an intake process to determine if the complaint alleges a violation of statute or rule that the Commission has the ability to resolve.
   3. (3) The complainant will be notified of receipt of the complaint within ten working days of the assignment of the tracking number and at least every three months regarding the status of the investigation until final resolution.
   4. (4) If no allegation of a violation of statute or rule under the jurisdiction of the Commission exists, the complaint will be closed, subject to approval by the executive director, or the executive director's designee.
   5. (5) If a violation of law is alleged that would be better suited for another agency to investigate, the complaint will be forwarded to that agency and a letter of explanation of the Commission's actions sent to the complainant.
   6. (6) A notification of the complaint will be sent to the subject of the complaint, unless the complaint or subsequent investigation is covert in nature.
   7. (7) For complaints not dismissed under paragraph (4) or referred under paragraph (5) the investigator will submit a preliminary report in summary form including a Findings of Fact and Conclusions of Law to the commission for consideration.
   8. (8) The executive director will use the guidelines in §201.11 of this title (relating to Disciplinary Guidelines) and prepare a suggested assessment of an administrative penalty for the commissioners to consider and vote on following a finding of fault.
   9. (9) The subject of the investigation will be notified of the Findings and Conclusions and given 30 days to respond by either paying the penalty and accepting any conditions or requesting in writing an informal conference before a panel chosen by the executive director to consider the evidence in the possession of the Commission or the penalty assessed for the violation or request in writing a formal hearing to appeal the decision.
   10. (10) The Complainant will be notified of the opportunity to appear at the informal conference.
   11. (11) The Informal Conference Panel may uphold, reverse, or modify the preliminary Findings and Conclusions and sanctions. If the decision of the Informal Conference Panel is accepted, an agreed resolution will be signed by both the executive director, representing the Commission and the subject of the investigation or an appropriate designee. When the respondent timely performs all obligations under the agreement, the complaint is closed and the final resolution reported to the Board of Commissioners and the complainant.
   12. (12) Disputed complaint cases that cannot be resolved by informal conference, will be forwarded to the Office of the Attorney General to prosecute at the State Office of Administrative Hearings (SOAH), in accordance with the Texas Administrative Procedure Act and SOAH's procedural rules found at 1 TAC 155.
3. (c) Conclusion of the investigation will be followed by the issuance of a letter of dismissal from the Executive Director in appropriate circumstances or Findings of Fact, Conclusions of Law when a violation exists.

Source Note:The provisions of this §201.13 adopted to be effective November 17, 1992, 17 TexReg 7768; amended to be effective October 8, 2000, 25 TexReg 9955; amended to be effective December 23, 2001, 26 TexReg 10283.