Current through Reg. 49, No. 38; September 20, 2024
(a) A person may
file a complaint by submitting the following information to the Board:
(1) the name of and contact information for
the complainant unless evidence regarding a possible violation was submitted
anonymously;
(2) the name of the
person against whom the complaint is filed;
(3) the address, telephone number, Web site,
or other contact information for the person against whom the complaint is
filed, if available;
(4) the date
and location of the alleged violation that is the subject of the
complaint;
(5) a description of
each alleged violation; and
(6) the
name, address, and telephone number for any known witness who can provide
information regarding the alleged violation.
(b) A complaint should be submitted on the
complaint form that may be obtained by accessing the form on the Board's Web
site or by contacting the Board's staff. If a completed complaint form is not
submitted, the Board's staff will not be able to initiate an investigation
unless the Board's staff receives information sufficient to establish probable
cause to believe an actionable violation might have occurred.
(c) Once a complaint has been received, the
Board's enforcement staff shall:
(1) conduct
a preliminary evaluation of the complaint within thirty (30) days to determine:
(A) Jurisdiction: whether the complaint
provides information sufficient to establish probable cause for the Board's
staff to believe an actionable violation might have occurred;
(B) Disciplinary History: whether there has
been previous enforcement activity involving the person against whom the
complaint has been filed; and
(C)
Priority Level: the seriousness of the complaint relative to other pending
enforcement matters;
(2)
provide the complainant and respondent with information which will permit
review of the Board's policies and procedures from the Board's web site
regarding complaint investigation and resolution. If the complainant or
respondent requests a copy of the policies and procedures in written format a
copy shall be mailed upon request.
(3) notify the complainant and respondent of
the status of the investigation at least quarterly unless providing notice
would jeopardize an investigation; and
(4) maintain a complaint file that includes
at least:
(A) the name of the person who
filed the complaint unless the complaint was filed anonymously;
(B) the date the complaint was received by
the Board's staff;
(C) a
description of the subject matter of the complaint;
(D) the name of each person contacted in
relation to the complaint;
(E) a
summary of the results of the review and investigation of the complaint;
and
(F) an explanation for the
reason the complaint was dismissed if the complaint was dismissed without
action other than the investigation of the complaint.
(d) After the preliminary
evaluation period, the Board's staff may contact the complainant, the
respondent, and any known witness concerning the complaint.
(e) After the preliminary evaluation period,
the Board's staff shall take steps to dismiss the complaint or proceed with an
investigation of the allegation(s) against the respondent. A complaint may be
referred to another government agency if it appears that the other agency might
have jurisdiction over the issue(s) raised in the complaint.
(f) If the Board's staff proceeds with an
investigation, the staff shall:
(1)
investigate the complaint according to the priority level assigned to the
complaint;
(2) notify the
complainant and respondent that, as a result of the staff's preliminary
evaluation of the complaint, the staff has determined that the Board has
jurisdiction over the allegations(s) described in the complaint and has decided
to proceed with an investigation of the allegation(s) against the respondent;
and
(3) gather sufficient
information and evidence to determine whether there is probable cause to
believe that a violation of a statutory provision or rule enforced by the Board
has occurred.
(g) The
Board's staff may conduct an investigation regardless of whether a complaint
form was received as described in subsection (a) of this section.
(h) If the information and evidence gathered
during an investigation are insufficient to establish probable cause to believe
that a violation has occurred, the Board's staff shall:
(1) dismiss the complaint;
(2) send notices to the complainant and
respondent regarding the dismissal;
(3) if warranted, include in the respondent's
notice a recommendation or warning regarding the respondent's future conduct;
and
(4) if a complaint is
determined to be unfounded, state in the respondent's notice that no violation
was found.
(i) If the
information and evidence gathered during an investigation are sufficient to
establish probable cause to believe that a violation has occurred, the Board's
staff shall:
(1) seek to resolve the matter
pursuant to §§
1.165,
1.166 or
1.173
of this subchapter; or
(2) issue a
warning in accordance with subsection (j).
(j) A warning may be issued by the Executive
Director only as follows:
(1) the violation
is the Respondent's only violation of the Board's laws and rules;
(2) the Respondent has not previously been
subject to a Board warning or order;
(3) the Respondent has provided a
satisfactory remedy which has eliminated any harm or threat to the health or
safety of the public; and
(4) The
Respondent has committed one of the following violations:
(A) failure to provide or timely provide
plans and specifications to TDLR under the requirements of Govt. Code Chap. 469
(Elimination of Architectural Barriers);
(B) Unauthorized use of term "architect" or
"architecture";
(C) Failure to
respond to a Board inquiry;
(D)
Failure to provide a statement of jurisdiction;
(E) Use of a non-compliant seal by
registrant;
(F) Failure to
register or annually renew the registration of a business; or
(G) Creation of misleading impression by an
architect advertising for services.
(k) The decision to issue a warning is at the
sole discretion of the Executive Director and not available as a result of a
contested case proceeding conducted pursuant to the Government Code Chapter
2001.
(l) Before a proposed
settlement agreement may be approved by the Board,
the terms of the agreement must be reviewed by legal
counsel for the Board to ensure that all legal requirements have been
satisfied.
(m) If a
complaint is dismissed, the complainant may submit to the Executive Director a
written request for reconsideration. The written request must explain why the
complaint should not have been dismissed. The Executive Director may, but is
not required to, respond to the request for reconsideration.
