22 Tex. Admin. Code § 153.24 - Complaint Processing
(a) Receipt of a
Complaint Intake Form by the Board does not constitute the filing of a formal
complaint by the Board against the individual named on the Complaint Intake
Form. Upon receipt of a signed Complaint Intake Form, staff shall:
(1) assign the complaint a case number in the
complaint tracking system; and
(2)
send written acknowledgement of receipt to the Complainant.
(b) Priority of complaint
investigations. The Board prioritizes and investigates complaints based on the
risk of harm each complaint poses to the public. Complaints that pose a high
risk of public harm include violations of the Act, Board rules, or USPAP that:
(1) evidence serious deficiencies, including:
(A) Fraud;
(B) Identity theft;
(C) Unlicensed activity;
(D) Ethical violations;
(E) Failure to properly supervise an
appraiser trainee; or
(F) Other
conduct determined by the Board that poses a significant risk of public harm;
and
(2) were done:
(A) with knowledge;
(B) deliberately;
(C) willfully; or
(D) with gross negligence.
(c) The Board or the
Executive Director may delegate to staff the duty to dismiss complaints. The
complaint shall be dismissed with no further processing if the staff determines
at any time that:
(1) the complaint is not
within the Board's jurisdiction;
(2) no violation exists; or
(3) an allegation or formal complaint is
inappropriate or without merit.
(d) A determination that an allegation or
complaint is inappropriate or without merit includes a determination that the
allegation or complaint:
(1) was made in bad
faith;
(2) filed for the purpose of
harassment;
(3) to gain a
competitive or economic advantage; or
(4) lacks sufficient basis in fact or
evidence.
(e) Staff shall
conduct a preliminary inquiry to determine if dismissal is required under
subsection (d) of this section.
(f)
A complaint alleging mortgage fraud or in which mortgage fraud is suspected:
(1) may be investigated covertly;
and
(2) shall be referred to the
appropriate prosecutorial authorities.
(g) Staff may request additional information
from any person, if necessary, to determine how to proceed with the
complaint.
(h) If the TALCB
Division requires additional information from a Respondent during the
preliminary investigative review, a copy of the Complaint Intake Form and all
supporting documentation shall be included in the request, unless the complaint
qualifies for covert investigation and the TALCB Division deems covert
investigation appropriate.
(i) The
Board will:
(1) protect the complainant's
identity to the extent possible by excluding the complainant's identifying
information from a complaint notice sent to a respondent.
(2) periodically send written notice to the
complainant and each respondent of the status of the complaint until final
disposition. For purposes of this subsection, "periodically" means at least
once every 90 days.
(j)
The Respondent shall submit a response within 20 days of receiving a copy of
the Complaint Intake Form. The 20-day period may be extended for good cause
upon request in writing or by e-mail. The response shall include the following:
(1) a copy of the appraisal report that is
the subject of the complaint;
(2) a
copy of the Respondent's work file associated with the appraisal(s) listed in
the complaint, with the following signed statement attached to the work
file(s): I SWEAR AND AFFIRM THAT EXCEPT AS SPECIFICALLY SET FORTH HEREIN, THE
COPY OF EACH AND EVERY APPRAISAL WORK FILE ACCOMPANYING THIS RESPONSE IS A TRUE
AND CORRECT COPY OF THE ACTUAL WORK FILE, AND NOTHING HAS BEEN ADDED TO OR
REMOVED FROM THIS WORK FILE OR ALTERED AFTER PLACEMENT IN THE WORK FILE.
(SIGNATURE OF RESPONDENT);
(3) a
narrative response to the complaint, addressing each and every item in the
complaint;
(4) a list of any and
all persons known to the Respondent to have actual knowledge of any of the
matters made the subject of the complaint and, if in the Respondent's
possession, contact information;
(5) any documentation that supports
Respondent's position that was not in the work file, as long as it is
conspicuously labeled as non-work file documentation and kept separate from the
work file. The Respondent may also address other matters not raised in the
complaint that the Respondent believes need explanation; and
(6) a signed, dated and completed copy of any
questionnaire sent by Board staff.
(k) Staff will evaluate the complaint within
three months after receipt of the response from Respondent to determine whether
sufficient evidence of a potential violation of the Act, Board rules, or the
USPAP exists to pursue investigation and possible formal disciplinary action.
If the staff determines that there is no jurisdiction, no violation exists,
there is insufficient evidence to prove a violation, or the complaint warrants
dismissal, including contingent dismissal, under §
153.241 of this title (relating to
Sanctions Guidelines), the complaint shall be dismissed with no further
processing.
(l) A formal complaint
will be opened and investigated by a staff investigator or peer investigative
committee, as appropriate, if:
(1) the
informal complaint is not dismissed under subsection (k) of this section;
or
(2) staff opens a formal
complaint on its own motion.
(m) Written notice that a formal complaint
has been opened will be sent to the Complainant and Respondent.
(n) The staff investigator assigned to
investigate a formal complaint shall prepare a report detailing its findings on
a form approved by the Board.
(o)
The Board may order a person regulated by the Board to refund the amount paid
by a consumer to the person for a service regulated by the Board.
(p) Agreed resolutions of complaint matters
pursuant to Texas Occupations Code §
1103.458 or §
1103.459 must be
signed by:
(1) the Board Chair or if the Board
Chair is unavailable or must recuse him or herself, the Board Chair's designee,
whom shall be (in priority order) the Board Vice Chair, the Board Secretary, or
another Board member;
(2)
Respondent;
(3) a representative of
the TALCB Division; and
(4) the
Executive Director or his or her designee.
Notes
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