Nothing in this rule shall be deemed to vest substantive or procedural rights in any person. The rule's purpose is twofold: to give affected persons notice of the process the commission follows in the processing of complaints; and to comply with the rulemaking requirements imposed by Texas Occupations Code, §651.202.

1. (1) Any person may file a complaint with the commission concerning alleged violations of any statute over which the commission has regulatory authority as well as commission rules. Complaints should be addressed to the Commission's address that appears on its website at www.tfsc.state.tx.us.

2. (2) Staff will provide Complaint forms to a person who wishes to file a complaint. Complaint forms may also printed from the commission's website in both Word and PDF format. The commission-approved form provides space for the following information:

   1. (A) the name and business address of the person or establishment Complained of;
   2. (B) the time and place where the acts occurred;
   3. (C) the nature of the acts set out in sufficient detail to enable the Commission to investigate the complaint and the person or entity complained of to identify the incident and prepare a defense; and
   4. (D) the names, addresses, and telephone numbers of any persons who witnessed the acts.
3. (3) The form also asks for any pertinent contracts, photographs, letters, advertisements or other documents.
4. (4) All complaints must be in writing, other than complaints alleging conduct which, if true, would constitute an imminent or continuing threat to the public health, safety, or welfare. These latter complaints must be reduced to writing before the conclusion of the investigative process.
5. (5) Complaints are initially referred to an investigator who will acknowledge receipt of the complaint in writing to the complainant. The investigator next will send a copy of the complaint to the respondent by certified mail. The letter of transmittal will request a written narrative response and possibly documents from the respondent within 15 days of receipt of the letter.
6. (6) The investigator, at the conclusion of the investigation, will prepare a preliminary summary of the allegations, the investigator's findings, and a recommendation for disposition to the executive director.
7. (7) The director will determine first if the substance of the complaint falls within the commission's jurisdiction. If not, staff will dismiss the complaint, notify the complainant, and possibly refer the matter to an entity having authority over the matter, if the facts show a probable violation of law. If the investigator determines that the facts indicate a probable violation of law or rule over which the commission has regulatory authority, the investigator will prepare a Preliminary Report. This Report will state the facts, upon which it is based and that a violation has occurred. The director will assess the penalty amount based on the disciplinary guidelines described in §201.11 of this title (relating to Disciplinary Guidelines).
8. (8) The investigator will send the person charged with the violation (respondent) a copy of the Preliminary Report and notification of an informal conference.
9. (9) Staff will send the report by first class mail, certified and regular, to the respondent's address on file with the Commission.
10. (10) The executive director presides over informal conferences. The conferences are usually attended by the legal assistant, the administrator of compliance and consumer affairs and the investigator who investigated the complaint. The commission's legal counsel may attend. The complainant is entitled to attend the conference as well. In this event the panel typically hears first from the complainant followed by the person charged with the violation. The respondent is entitled to counsel.
11. (11) No court reporter will be present, the parties will not be placed under oath, and no audio or video recording of the conference will be made or allowed for use in any subsequent proceeding. Staff may notate whether or not the complainant and/or the respondent attended the informal conference as well as any pertinent information provided by either participant relating to the complaint. The executive director or legal counsel will first explain the process used at the informal conference. The respondent is then given the opportunity to show compliance with all applicable laws and rules.
12. (12) The conference panel will confer about the complaint following the respondent's presentation. The executive director makes a decision after receiving input from the legal assistant, the administrator of compliance and consumer affairs, the investigator, and counsel, if in attendance. The executive director may decide to dismiss the complaint, investigate further, or take disciplinary action. The executive director will give respondent verbal notice of the director's decision at the conclusion of the conference. If the complaint is dismissed, staff will notify the complainant.
13. (13) The executive director, administrator of compliance and consumer affairs, or the investigator will provide a case summary, informal conference notes, respondent's complaint history and the executive director's recommendation to the commission at the next scheduled meeting, unless further investigation is needed. The commission may affirm the executive director's decision made at the informal conference, increase or decrease a penalty imposed, dismiss or order further investigation.

14. (14) Staff will mail notice of the commission's decision to the respondent by first class mail, certified and regular, within 10 days of the meeting date to the respondent's address on file with the Commission. If the decision imposes sanctions, respondent shall, within 30 days accept the decision and pay the penalty amount; request a SOAH formal hearing; or request mediation at the SOAH.

    1. (A) Staff will notify the complainant if respondent accepts the decision and pays the penalty imposed.
    2. (B) The Administrative Procedure Act, Texas Government Code Chapter 2001, §2001.051 et seq. and SOAH's Rules of Practice and Procedure, 1 TAC Chapter 155 et seq. govern SOAH formal hearings and subsequent decisions.
    3. (C) The commission's Alternate Dispute Resolution Policy and Procedure Rule, §207.1 of this title govern SOAH meditations.
15. (15) The commission will notify complainants upon the final disposition of any complaint.
16. (16) The Office of the Attorney General represents the commission before SOAH and in court.

Source Note:The provisions of this §201.3 adopted to be effective March 5, 2003, 28 TexReg 1885; amended to be effective September 6, 2005, 30 TexReg 5364; amended to be effective February 2, 2006, 31 TexReg 494; amended to be effective October 10, 2010, 35 TexReg 8917.