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(a)A complaint about the conduct of an arbitrator must be submitted to the comptroller in writing. The comptroller will investigate a complaint if it: (1)identifies the arbitrator and the complaining party; and (2)provides enough coherent information about the incident, behavior, act, or omission on which the complaint is based to enable the comptroller to discern the relevant facts alleged and to further pursue the matter. (b)The comptroller will notify the complainant that the complaint has been received and: (1)if the complaint provided enough information to conduct an investigation, that an investigation will be conducted; or (2)if the complaint did not provide enough information to conduct an investigation, that additional information is required to pursue the matter and, if additional information is not provided within the 30 days of the date of the letter, the file will be closed. (c)If the information is sufficient to conduct an investigation, the comptroller will initiate an investigation and notify the arbitrator of the complaint and investigation, and may request that the arbitrator provide a response, information, or documentation concerning the complaint. (d)The comptroller may temporarily suspend an arbitrator during an investigation by providing the arbitrator with written notice and a brief statement of the reasons for the suspension, if the allegations made in the complaint or the comptroller's own information indicate that: (1)suspension is in the best interest of the arbitrator, the public, or the parties to an arbitration accepted by the arbitrator who is the subject of the investigation; or (2)if the arbitrator is not suspended, the public could lose confidence in the fairness or efficacy of the arbitration process or in the comptroller's ability to administer the arbitration program. (e)After conducting an investigation, the comptroller will determine the appropriate response, if any, to the complaint, based on the facts, the law, this subchapter, and the surrounding circumstances. (f)If the comptroller's investigation validates the complaint, but the comptroller determines that there is not good cause for further action, the comptroller will notify the complainant of the results and the reasons for the determination, place the complaint and the complaint response in the arbitrator's arbitration registry file, and send a copy of both to the arbitrator. The arbitrator's written response, if any, will be placed in the arbitrator's file. (g)If the comptroller's investigation invalidates the complaint, the comptroller will notify the complainant that it found no basis for the complaint and why, place both the complaint and complaint response in the arbitrator's arbitration registry file, and send copies to the arbitrator. The arbitrator's written response will be placed in the arbitrator's file.
This agency hereby certifies that the proposal
has been reviewed by legal counsel and found to be within the agency's
legal authority to adopt.
Filed with the Office
of the Secretary of State on December 17, 2009
TRD-200905922 Ashley
Harden
General Counsel
Comptroller of Public Accounts
Earliest possible date of adoption: January 31, 2010
For further information, please call: (512) 475-0387
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