Judicial Branch Certification Commission

Complaint Review and Resolution

Upon completion of the Investigation

• The Compliance Section refers the complaint to a Complaint Review Committee, established by the JBCC and comprised of members of the appropriate advisory board.
• The Complaint Review Committee shall meet to review the complaint and answer, make the initial determination on whether a violation occurred; and, if so, identify violations and propose the imposition of an administrative penalty, a sanction, or both.

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.

Resolution

Based on the review of the complaint, the Complaint Review Committee may:

1. Recommend dismissal of the complaint, or
2. Issue a Notice of Violation (NOV) seeking administrative penalties and possible sanctions against the respondent’s license.

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.

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.

Penalty and Sanction Factors

Factors considered by the JBCC in determining 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, both by the respondent and by the industry as a whole.
6. Any other matter that justice may require.