22 Tex. Admin. Code § 159.204 - 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 AMC named on the Complaint
Intake Form. Upon receipt of a signed Complaint Intake Form, staff will:
(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 AMC Act or Board rules that:
(1) evidence serious deficiencies, including:
(A) Fraud;
(B) Identity theft;
(C) Unlicensed activity;
(D) Ethical violations;
(E) Violations of appraiser independence;
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)
If the staff determines at any time that the complaint is not within the
Board's jurisdiction, or that no violation exists, the complaint will be
dismissed with no further processing. The Board or the Executive Director may
delegate to staff the duty to dismiss complaints.
(d) A complaint alleging mortgage fraud or in
which mortgage fraud is suspected:
(1) may be
investigated covertly; and
(2) will
be referred to the appropriate prosecutorial authorities.
(e) Staff may request additional information
necessary to determine how to proceed with the complaint from any
person.
(f) 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 will be included in the request unless the complaint qualifies
for covert investigation and the TALCB Division deems covert investigation
appropriate.
(g) 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.
(h)
The Respondent must 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 must include the following:
(1) A copy of the appraisal report(s), if
any, that is (are) the subject of the complaint;
(2) A copy of the documents or other business
records associated with the appraisal report(s), incident(s), or conduct listed
in the complaint, with the following signed statement attached to the response:
I SWEAR AND AFFIRM THAT EXCEPT AS SPECIFICALLY SET FORTH HEREIN, THE COPY OF
EACH AND EVERY BUSINESS RECORD ACCOMPANYING THIS RESPONSE IS A TRUE AND CORRECT
COPY OF THE ACTUAL BUSINESS RECORD, AND NOTHING HAS BEEN ADDED TO OR REMOVED
FROM THIS BUSINESS RECORD OR ALTERED. (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 original documentation,
as long as it is conspicuously labeled as additional documentation and kept
separate from the original documentation. 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.
(i) Staff will
evaluate the complaint within three months of receipt of the response from
Respondent to determine whether sufficient evidence of a potential violation of
the AMC Act or Board rules exists to pursue investigation and possible formal
disciplinary action. If staff determines there is no jurisdiction, no violation
exists, or there is insufficient evidence to prove a violation, or the
complaint warrants dismissal, including contingent dismissal, under subsection
(m) of this section, the complaint will be dismissed with no further
processing.
(j) A formal complaint
will be opened and investigated by a staff investigator or investigative
committee if:
(1) the informal complaint is
not dismissed under subsection (i) of this section; or
(2) staff opens a formal complaint on its own
motion.
(k) Written
notice that a formal complaint has been opened will be sent to the Complainant
and Respondent.
(l) The staff
investigator or investigative committee assigned to investigate a formal
complaint will prepare a report detailing all findings.
(m) 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.
(n) Payment
of an administrative penalty must be submitted in a manner acceptable to the to
the Board. Payment authorized to be submitted online may be subject to fees set
by the Department of Information Resources that are in addition to the
administrative penalty assessed by the Board.
(o) Agreed resolutions of complaint matters
pursuant to Texas Occupations Code §
1104.2081 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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