Judicial Branch Certification Commission

Complaint Review and Resolution

Upon completion of the Investigation

• Once an investigation has been completed by the Compliance department, the complaint and information are referred to the designated Complaint Review Committee for that particular profession. Members of the board have been appointed as subject matters experts. The Complaint Review Committee is not an investigatory body.
• The Complaint Review Committee will meet and review the complaint, submission of information from both the Complainant and Respondent and the investigation report. If the Complaint Review Committee has identified violation(s) occurred, they will make a determination to impose an administrative penalty, a sanction, or both.
• If the Complaint Review Committee determined a violation occurred, the Commission will send a Notice of Violation to the Respondent with the Committee’s determination.
• The Committee may also determine that no violations have occurred and recommend dismissal of the complaint.

The Complaint Review Committee is not an investigatory body and will generally render its determination based on the submissions of the complainant and respondent and the information gathered by the Compliance Investigator.

1. The complainant and respondent may attend the Complaint Review Committee meetings.
2. The Complaint Review Committee must provide its determination to the JBCC in writing.
3. The Complaint Review Committee will give the respondent written notice by certified mail of its determination on whether a violation occurred and each proposed penalty or sanction, if any.

After Receipt of Notice of Violation

Not later than the 20th day after the date the Respondent receives the Notice of Violation, the Respondent must do the following in writing via email or mail:

1. accept the Complaint Review Committee’s determination of the penalty and/or sanction.
   If the Respondent accepts the determination fails to respond to the notice, the Commission may accept, revise, reject, or remand the matter back to the committee. If the Commission revises or rejects the determination, the Respondent will be sent notice and an opportunity to accept the revised administrative and/or penalty or request a hearing.
2. request a hearing to contest the Complaint Review Committee’s determination of the violation, the imposition or amount of the penalty, the imposition of the sanction, or any combination.
   • If the Respondent requests a hearing, the Commission will give the Respondent written notice of the hearing that includes the time, place, legal authority, and jurisdiction under which the hearing is held, and the laws and rules related to the violation. The Commission shall also give the Complainant written notice of the time and place of hearing.

• At the hearing, the Respondent may appear, testify, present evidence, and respond to questions from the Commission.
• The Complainant may appear and may testify at the discretion of the Presiding Officer.

A party may appear by telephone or videoconference or present the testimony of a witness by telephone or video conference.

The Complainant and Respondent may attend the Complaint Review Committee meetings.

Penalty and Sanction Factors

1. The Commission takes into consideration the following information when determining an administrative penalty and/or sanction:
   • The severity or seriousness of the violation.
   • Whether the violation was willful or intentional.
   • Whether the Respondent acted in good faith to avoid or mitigate the violation or to correct the violation after it became apparent.
   • Whether the Respondent has engaged in similar violations in the past.
   • The level of penalty or sanction necessary to deter future violations, both by the Respondent and by the industry as a whole.
2. An administrative penalty is a monetary fine paid by the respondent to the State of Texas. The amount of an administrative penalty may not exceed $500 for each violation, and each day a violation continues or occurs is a separate violation for purposes of imposing a penalty.
3. A sanction is an action upon the respondent’s license, and may include suspension of the license, probated suspension, a written reprimand, refusal to renew, or outright revocation of the license.

Resolution

• The determination will then be reviewed by the Commission and approve or deny the Committee’s determination.
• Once the Commission has made a final decision, the complaint is then considered closed.

Appeals

• • The Respondent’s appeal request will be forwarded to a special committee consisting of three Administrative Regional Presiding Judges, see Texas Government Code Section 153.058.
  • The special committee shall consider the appeal under an abuse of discretion standard of review for all issues except issues involving questions of law. The standard of review for issues involving questions of law is de novo.
  • If the special committee does not sustain the finding that a violation occurred, the special committee shall order that a penalty is not owed and that a sanction may not be imposed.
• The special committee shall notify the Commission and appellant in writing of its decision.
• No rehearing or further appeal shall be allowed.