Agreed Order with the Commission which is signed by the Executive Director. Once an Agreed Order is signed or the penalty is paid, the case is closed. (e) If no resolution is reached as outlined by subsection (d) of this section, the Respondent is sent a Notice of Hearing and Complaint and the Commission sets the case on the SOAH Docket for a hearing before a SOAH Administrative Law Judge (ALJ). (f) Once the ALJ renders a Proposal for Decision (PFD), the PFD is presented to the Commissioners at the Commission’s next regularly scheduled meeting. (g) The Commissioners accept or modify the PFD by Commission Order. (h) The Respondent can either accept the Commission’s Order, or after exhausting all administrative remedies, the Respondent can appeal the Commission’s decision by filing suit for judicial review in accordance with Government Code, Chapter 2001, and Occupations Code §651.555. (i) All correspondence to the Respondent(s) will be sent by both certified mail and first-class mail to the Respondent’s address of record on file with the Commission. (j) The Commission will notify the Complainant of the final disposition of the complaint. (k) Government Code §§2001.051 2001.103; Occupations Code §651.506; and SOAH’s Rules of Practice and Procedure (Tex. Admin. Code, Title 1, §155) govern hearings held at SOAH. (l) The Commission’s Alternative Dispute Resolution Policy and Procedure Rule, found in §207.1 of this title, and SOAH’s Rules of Practice and Procedure, Tex. Admin. Code, Title 1, §155.351, govern ADR with Commission staff and mediation at SOAH. Rule 203.43 Administrative Penalties and Sanctions (a) If a person violates any provision of Occupations Code, Chapter 651; Health and Safety Code, Chapters 193, 361, 695, 711, 716; Finance Code Chapter 154; Tex. Admin. Code, Title 22, Part 10; or an order of the Executive Director or Commissioners, proceedings may be instituted to impose administrative penalties, administrative sanctions, or both administrative penalties and sanctions in accordance with the provisions of Occupations Code §§651.5515 651.552. (b) The Administrative Penalties and Sanctions Schedule [see https://texreg.sos.state.tx.us/fids/201903281-1.pdf] sets penalty limits and ranges by class of offense and number of offenses. (c) The Commission may negotiate a lower penalty than outlined in the Administrative Penalties and Sanctions Schedule based on the following factors: (1) Attempts by the licensee to correct or stop the violation; (2) Number of complaints previously found justified against licensee; (3) Whether the act was unintentional; and (4) Other mitigating factors that could warrant a lower penalty. (d) Multiple violations of Occupations Code, Chapter 651; Health and Safety Code, Chapters 193, 361, 695, 711, 716; Finance Code Chapter 154; Tex. Admin. Code, Title 22, Part 10, may result in higher penalties. Multiple violations may consist of violation of more than one section of the law, numerous violations of the same section of the law, or a combination of both. (e) The Commission may require a licensee to issue a refund to a consumer in lieu of or in addition to assessing an administrative penalty. The amount of a refund ordered under this section may not exceed the actual amount paid by the person to the license holder.
and the licensee or establishment complained of to identify the incident and prepare a response; and (4) The names, addresses, and telephone numbers of any persons who witnessed the acts. (c) The complaint form asks the complainant to provide any pertinent contracts, photographs, letters, advertisements, or other documents that show evidence of the alleged violation. (d) 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 by the Complainant before the conclusion of the investigative process. Rule 203.41 Investigations (a) Upon receiving a written complaint, the complaint is given a complaint number and assigned to an Investigator for review. The Investigator performs an initial analysis to determine if the Commission has jurisdiction over the alleged violation and whether a violation of a statute or rule may have occurred. (b) If the Investigator, in consultation with the Staff Attorney, determines that the Commission does not have jurisdiction of the matter or that the complaint does not reflect a violation, the case is administratively closed. (c) If the Investigator, in consultation with the Staff Attorney, determines that the Commission has jurisdiction of the matter and that the complaint reflects a violation, the Investigator will send a summary of the complaint to the Respondent(s) along with a letter which outlines the alleged violation(s) and requests a written narrative response and relevant documents. A redacted copy of the complaint may be provided to the Respondent upon request. The Respondent(s) has 15 days from receipt of the letter to respond. (d) In the course of the investigation or upon request of the Staff Attorney, the Investigator may request additional information from the Complainant, the Respondent(s), or any witnesses. (e) The Investigator will prepare an Investigative Report (Report) for the Staff Attorney’s review. The Report must contain the Investigator’s findings and any applicable administrative penalties or license sanctions based upon the Administrative Penalties and Sanctions Schedule under §203.43 of this title. Rule 203.42 Notice and Hearings (a) Upon Staff Attorney approval of an Investigative Report (Report) finding a violation has occurred, the Investigator will send the Respondent(s) a copy of the Report and a letter notifying the Respondent(s) of the Commission’s determination to assess an administrative penalty and/or sanction the Respondent’s license(s). (b) The Respondent(s) has 30 days from receipt of the letter to respond to this correspondence. The Respondent(s) can accept the Commission’s determination or can request to settle the case by formal or informal methods. Failure to respond within 30 days waives the right to a hearing and requires payment of the assessed penalty and/or enforcement of the license sanction. (c) Informal methods to settle a case can include the following options: (1) Informal negotiation with the Staff Attorney or (2) Informal settlement conference with Executive Director, Staff Attorney, and Investigator. Additionally,
the complainant shall be given an opportunity to present his/her allegations at the settlement conference.
(d) If the Respondent accepts the Commission’s determination to assess an administrative penalty and/or license sanction or if a settlement is reached via informal methods, the Respondent shall pay the penalty or shall enter into an
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Book Code: FTX1624
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