8-hour Continuing Education Course for Texas Licensed Air Conditioning and Refrigeration Contractors

SECTION 25 - 7 MINUTES

CONSUMER COMPLAINTS & HOW TO HANDLE

TDLR WILL ACCEPT COMPLAINTS via TELEPHONE, ONLINE EMAILS, or WRITTEN MESSAGES. IF TDLR REQUIRES WRITTEN COMPLAINTS TO BE FILED THE COMPLAINT FORM SHOWN BELOW IS TO BE COMPLETED BY THE COMPLAINTANT.(Shown Next)

Texas Department of Licensing and Regulation
COMPLAINT FORM
Return to TDLR Home Page Email: Complaints@tdlr.texas.gov

NOTICE

In the event an investigation is opened enforcement procedures require a copy of the complaint and all associated documentation be forwarded to the Respondent including your name and contact information.
If you wish to file your complaint anonymously to ensure your identity is not revealed, you must leave section ‘B’ (You, as the complaining party) blank.
Under the Texas Public Information Act, the complainant's identity is subject to being revealed. If the complaining party files anonymously they will not receive automated case information.

In order for the Texas Department of Licensing and Regulation to pursue an investigation of your Electrician complaint please provide all documentation and information related to your complaint. This includes a complete explanation of your complaint (to be entered in Section D of this form). Important information to relate in your complaint may include:

dates work was performed
amount of money paid on each occasion
date you first discovered a problem
names, addresses, and telephone numbers of any electricians who examined the problem after you became dissatisfied
names, addresses and telephone numbers of any witnesses you mention in your complaint.

Documentation required to support your case may include:

advertisements
business cards
canceled checks
credit card receipts
proposals
invoices
letters
photographs
written statements made by alternate electrician who examined your electrical work after you became dissatisfied.

Please submit additional documentation in support of your complaint to the Department by fax (512) 539-5698 or mail to TDLR, P.O. Box 12157, Austin, Texas 78711.

Top of Form

If you answer yes to this question, you are required to supply your name and full address in Section B of this form.

Would you be willing to testify if this case results in a hearing?

Yes

Type of Complaint: Electricians
B.	You, as the complaining party:
	Name:
	Company:
	Address:
	City/State/Zip:
	Work Phone:	Home Phone:
	Fax:	E-mail:

C.	The person or firm you are complaining about:
	Name:
	Company Name:
	Physical Address:
	City/State/Zip:
	Mailing Address:
	City/State/Zip:
	Office Phone:	Fax:
	E-mail:	License or Registration #:

D.	EXPLANATION: Describe your complaint in detail (maximum 5000 characters).
	*

Please hit the Submit button to get a Verification Page and continue the complaint process.

Bottom of Form

Information about Complaint Investigation and Resolution

Receipt of Complaint

When a written complaint is received in the Enforcement Division, the complaint is assigned to the Intake Section for review. At that time, a postcard is sent to the person who filed the complaint (the Complainant), simply to acknowledge receipt of the complaint. The Intake Section performs research and analysis as necessary to determine (1) if TDLR has legal jurisdiction and (2) whether a violation has been alleged in the complaint. In the course of this review, the Intake Section may request additional information from the Complainant.

If Intake determines that TDLR does not have jurisdiction in the matter or that the complaint does not allege a violation, a letter is sent to the Complainant, stating that no investigation will be conducted and explaining the reason why. The original complaint and a copy of this letter are retained in TDLR files for one year.

Investigation

IF A VIOLATION IS ALLEGED TDLR OPENS A CASE

1. TDLR BEGINS AN INVESTIGATION

2. AN OPENING LETTER IS SENT WITHIN 2 DAYS TO THE COMPLAINTANT & TO YOU, THE ALLEGED VIOLATOR WHO IS A LICENSEE THAT BECOMES A RESPONDENT

3. A TDLR INVESTIGATOR WILL INTERVEIW COMPLAINTANT, POSSIBLE WITNESSES, AND YOU OR REQUEST A WRITTEN RESPONSE FROM YOU.

4. INVESTIGATOR CREATES A (TIR)-“TDLR INVESTIGATOR REPORT” & FORWARDS IT TO A PROSECUTOR WITHIN 30 or 60 DAYS, DEPENDING ON COMPLAINT TYPE, FROM RECEIPT OF COMPLAINT

LICENSEE MUST COOPERATE WITH INVESTIGATOR

If Intake (or TDLR internal personnel) determines that the matter is within TDLR’s jurisdiction and a violation has been alleged, a case is opened for investigation. An opening letter is issued to the Complainant and to the Respondent, informing them that an investigation has been initiated. The open case is given a complaint number for identification purposes, and is assigned to an investigator for further action. Upon initially reviewing the case, the investigator may, at his discretion, request a written response to the complaint from the Respondent (i.e. the person against whom the complaint was filed). As a standard practice, the investigator will interview the Complainant, the Respondent, and any pertinent witnesses, either by telephone or in-person contact. The investigator will also gather copies of any documents relevant to the case. After the investigator completes the investigation, he/she submits a detailed report of the facts of the case to a prosecuting attorney. All parties are notified by letter at least quarterly on the status of the case until it is resolved.

Resolution

TDLR PROSECUTOR WILL RESOLVE

DEPENDING ON HOW SEVERE THE VIOLATION PROSECUTOR WILL:

1. ISSUE A CLOSING LETTER- INSUFFICIENT INFO TO KEEP CASE OPEN or

2. ISSUE LICENSEE A WARNING LETTER or

ISSUE LICENSEE A (NOAV)-“NOTICE of ALLEGED VIOLATION” via registered mail

3. NOAV STATES A FORMAL REPRIMAND or

4. NOAV STATES ANY RESTITUTION OR CORRECTIVE ACTION REQUIRED and/or

5. NOAV STATES ANY PENALITY IMPOSED and/or

6. NOAV STATES A SUSPENSION, PROBATION, OR REVOCATION OF LICENSE

NOAV MAY STATE A SETTLEMENT OFFER BASED ON PROSECUTERS’ ACTIONS

LICENSEE HAS 20 DAYS TO ACCEPT & COMPLY WITH NOAV SETTLEMENT OFFER OR REQUEST A HEARING IN WRITING

The prosecutor makes the determination on how the case will be resolved. If the prosecutor determines that formal enforcement action is not warranted, due to insufficient evidence or other reasons, the case is informally closed by issuing a closing letter. A warning letter to the Respondent to come into compliance with the applicable law may be issued. The prosecutor may proceed with formal enforcement action by issuing a Notice of Alleged Violation (NOAV) seeking administrative penalties from the Respondent and/or sanctions against the Respondent’s license. An administrative penalty is a monetary fine paid by the Respondent to the State of Texas . A sanction is an action upon the Respondent’s license, and may include suspension of the license, probation, a written reprimand, or outright revocation of the license. Administrative penalties and sanctions applicable to specific violations within each TDLR program are reflected in the TDLR Enforcement Plan and are presented later in this section and, which, may be found on the internet at http://www.tdlr.texas.gov/enforcement.htm. Factors used to determine the amount of penalty or level of sanction include:

(1) The severity or seriousness of the violation.

(2) Whether the violation was willful or intentional.

(3) Whether the Respondent acted in good faith to avoid or mitigate the violation, or to correct the violation after it became apparent.

(4) Whether the Respondent has engaged in similar violations in the past.

(5) The level of penalty or sanction necessary to deter future violations.

(5) Any other matter that justice may require.

Agreed Orders

IF LICENSEE FULFILLS THE SETTLEMENT OFFER AND

SIGNS AN ACKNOWLEMENT TDLR ISSUES AN AGREED ORDER

When an NOAV is sent, it may contain a settlement offer. If an agreement is reached and the Respondent fulfills the requirements of the agreement, an Agreed Order is issued by the Executive Director of TDLR. Efforts to comply with the Agreed Order and/or payment for penalties issued are monitored by the Enforcement Division’s Compliance Officer until the requirements of the Order are completed.

Default Orders

IF LICENSEE DOES NOT AGREE TO THE SETTLEMENT OFFER OR DOES NOT REQUEST A HEARING TDLR ISSUES A DEFAULT ORDER

LICENSEE MUST COMPLY WITH DEFAULT ORDER

If NO agreement is reached, and the Respondent does not request a hearing IN WRITING within 20 days after receiving the NOAV, a Default Order granting penalties and/or sanctions may be entered against the Respondent without first conducting a hearing.

Hearing By An Aministrative Law Judge (ALJ)

REQUESTED HEARINGS ARE CONDUCTED BY SOAH-“STATE OFFICE OF ADMINISTRATIVE HEARINGS”.

TDLR WILL ISSUE A 10-DAY NOH “NOTICE OF HEARING”

STATE JUDGE (ALJ) WILL HEAR EVIDENCE FROM LICENSEE & TDLR AND THE JUDGE WILL ISSUE A PFD- “PROPOSAL FOR DECISION”.

PFD IS SENT TO TDLR COMMISSION FOR A FINAL ORDER

If the Respondent timely requests a hearing in writing, the hearing is scheduled before the State Office of Administrative Hearings (SOAH). Parties are advised of the hearing date and time. If the Respondent does not appear for the hearing, TDLR will ordinarily request that a Default Order be issued. The case is heard by a SOAH Administrative Law Judge, who submits a Proposal for Decision (PFD) to all parties and to the Texas Commission of Licensing and Regulation. The parties have 20 days after the date the PFD was issued to file written exceptions to the PFD, and 10 additional days to file responses to the Exceptions.

Commission Meeting

COMMISSION ISSUES FINAL ORDER

And

LICENSEE MUST COMPLY WITH FINAL ORDER

TO CONDUCT BUSINESS IN TEXAS

All parties are notified of the date of the Commission meeting, at which time the Commission will consider adopting the decision recommended by the Administrative Law Judge. At the Commission meeting, the Respondent may address the Commission regarding the PFD. The Commission rules on the PFD and issues a Final Order. If the Respondent does not agree with the Final Order, he has 20 days to file a motion for rehearing. If no motion is filed, the Final Order becomes final on the 21 st day after it was issued.

Rehearing and Judicial Review

COMMISSION MAY or MAY NOT GRANT A REHEARING

IF A REHEARING IS NOT GRANTED

LICENSEE MAY ASK FOR A JUDICIAL REVIEW IN DISTRICT COURT

If a motion for rehearing is filed by a Respondent, the Commission may grant or deny the motion, or may take no action, in which case the motion gets overruled by operation of law after 45 days. If a motion for rehearing is denied, the Respondent has 30 days following the denial to file a request for judicial review in District Court. If a request for judicial review is filed, the agency is represented in District Court by the Attorney General of the State of Texas.

RESOLUTION OF COMPLAINTS

VIA

ALTERNATIVE DISPUTE RESOLUTION

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.400	Alternative Dispute Resolution (ADR)--Mediation

In addition to the procedures under §60.304 of this chapter, the Department uses mediation as an alternative method for resolving contested cases consistent with Texas Government Code, Chapters 2001 and 2009; Texas Civil Practice and Remedies Code, Chapter 154; and the model guidelines for the use of ADR by state agencies developed by SOAH.

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.401	Referral of Contested Matter for Mediation

The Department's Director of Enforcement, on behalf of the Department, may seek to resolve a contested matter through mediation involving all parties, and if so, shall refer the matter for mediation in accordance with this subchapter.

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.402	Appointment of Mediator

(a) For each matter referred for mediation, the ADR Administrator shall:

(1) preside over the mediation proceeding,

(2) assign a Departmental mediator,

(3) appoint a mediator from another state agency, or

(4) appoint a private mediator.

(b) A private mediator may be appointed provided that:

(1) the parties unanimously agree to use a private mediator;

(2) the parties unanimously agree to the selection of the person to serve as the private mediator; and

(3) the private mediator agrees to be subject to the direction of the ADR Administrator and to all time limits imposed by the ADR Administrator, statute or regulation.

(c) If a private mediator or a mediator from another state agency is used, the costs for the services of that mediator shall be apportioned equally among the parties, unless otherwise agreed upon by the parties, and shall be paid directly to the private mediator or the other state agency.

(d) Unless the parties agree otherwise in writing, each party shall be responsible for its own costs incurred in connection with the mediation, including without limitation, costs of document reproduction, attorney's fees, consultant fees and expert fees.

(e) The ADR Administrator may assign a substitute or additional mediator to a proceeding as the ADR Administrator deems necessary.

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.406	Commencement of Mediation

(a) Mediation may begin, at the discretion of the Director of Enforcement, anytime after the Department anticipates initiation of an adverse action against an applicant or respondent. The Department may issue a Notice of Mediation along with a Notice of Alleged Violation or with a notice of a proposed denial of licensure or opportunity to take an examination. Prior to the submission of a Request for Docket Case form to SOAH, and with agreement of all parties, the ADR Administrator may schedule mediation upon any party's request.

(b) After a Request for Docket Case form has been submitted to SOAH, the contested case is subject to SOAH's procedures under 1 TAC Chapter 155, and it is at the discretion of the ALJ whether mediation may apply or may continue to apply to a contested case.

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.408	Agreements

(a) All agreements between or among parties that are reached as a result of mediation must be committed to writing and the terms of the agreement will be incorporated in an order that is subject to approval by the Executive Director or Commission.

(b) A final written agreement to which the Department is a signatory that is reached as a result of the mediation is subject to or excepted from required disclosure in accordance with Texas Government Code, Chapter 552.

Texas Administrative Code

TITLE 16	ECONOMIC REGULATION
PART 4	TEXAS DEPARTMENT OF LICENSING AND REGULATION
CHAPTER 60	PROCEDURAL RULES OF THE COMMISSION AND THE DEPARTMENT
SUBCHAPTER J	MEDIATION FOR CONTESTED CASES
RULE §60.409	Confidentiality

(a) Except as provided in subsections (c) and (d), a communication relating to the subject matter made by a participant in mediation, whether before or after the institution of formal mediation proceedings, is confidential, is not subject to disclosure, and may not be used as evidence in any further proceeding.

(b) Any notes or records made regarding a mediation are confidential, and participants, including the mediator, may not be required to testify in any proceedings relating to or arising out of the matter in dispute or be subject to process requiring disclosure of confidential information or data relating to or arising out of the matter in dispute.

(c) An oral communication or written material used in or made a part of a mediation process is admissible or discoverable only if it is admissible or discoverable independent of the mediation.

(d) If this section conflicts with other legal requirements for disclosure of communications or materials, the issue of confidentiality may be presented to the judge to determine, in camera, whether the facts, circumstances, and context of the communications or materials sought to be disclosed warrant a protective order or whether the communications or materials are subject to disclosure.

(e) All communications in the mediation between parties and between each party and the mediator are confidential. No shared information will be given to the other party unless the party sharing the information explicitly gives the mediator permission to do so. Material provided to the mediator will not be provided to other parties and will not be filed or become part of the contested case record. All notes taken during the mediation conference will be destroyed at the end of the process.