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An Audit Report on Enforcement Processes at the Board of Plumbing Examiners

May 2025

Overview

The Board of Plumbing Examiners (Board) had processes in place to support the recording, investigation, and resolution of complaints and violations. The Board appropriately prioritized complaints and opened disciplinary cases based on violations identified during complaint investigations. However, the Board did not perform all necessary enforcement activities to assess and collect administrative penalties for violations. In addition, the Board could not provide documentation to explain why complaint records were missing from its enforcement database.

LOW

COMPLAINT MANAGEMENT

The Board accurately recorded complaints in its enforcement database and obtained the required reviews and approvals.

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MEDIUM

ENFORCEMENT ACTIONS

The Board had processes for assessing and collecting administrative penalties, but it did not consistently follow its processes. As a result, it did not always collect penalties owed.

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HIGH

INFORMATION TECHNOLOGY

The Board lacked documentation for missing complaint records and granted some users excessive permissions to its database.

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1501 North Congress Ave.
Austin, TX 78701
Phone: (512) 936-9500
Fax: (512) 936-9400
Email: auditor@sao.texas.gov
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