Source: http://www.sos.state.tx.us/texreg/archive/July282017/Proposed%20Rules/22.EXAMINING%20BOARDS.html
Timestamp: 2018-01-21 02:57:08
Document Index: 171483497

Matched Legal Cases: ['§367', '§367', '§367', '§367', '§367', '§1301', '§1301', '§1301', '§367', '§1310', '§1301', '§1301', '§367', '§367', '§1301', '§1301', '§1301', '§1301', '§507', '§507', '§507', '§507', '§525', '§525', '§525', '§525', '§53', '§511', '§525', '§525', '§525', '§525']

22 TAC §367.10
The Texas State Board of Plumbing Examiners (Board) proposes amendments to the rule set forth in 22 TAC §367.10, concerning Administrative Penalty, to implement SB 2065 (85th Regular Legislative Session), which grants the Board the authority to adopt a Default Final Order when a respondent fails to respond to the Notice of Alleged Violation and accept the recommended administrative penalty or request a hearing on the alleged violation.
The proposed amendments to §367.10 modify the Board's procedures for imposing an administrative penalty. New subsections (c) and (d) are added to allow the Enforcement Committee to present to the Board a motion for default order along with a proposed Default Order containing findings of fact and conclusions of law when a Respondent fails to respond to the Notice of Alleged Violation. All subsequent subsections are re-lettered accordingly. The amendments also allow the Board to grant the relief recommended in the proposed Default Order, or such other relief as may be justified by the evidence presented by the Enforcement Committee. The existing provision that requires the Enforcement Committee to set a formal hearing at SOAH if, within twenty days of receipt, a respondent fails to respond to the Notice of Alleged Violation is deleted.
Lisa G. Hill, Executive Director of the Texas State Board of Plumbing Examiners, has determined that for the first five-year period the amendments are in effect, there will be no fiscal impact on state or local government as a result of enforcing the amendments as proposed. Because the amendments do not create any new administrative penalties or change the amounts of existing penalties, there should be no significant fiscal impact on small or micro-businesses.
Ms. Hill has also determined that for each of the first five years the amendments as proposed are in effect, the public benefit anticipated as a result of enforcing this proposal will be to have quicker resolution of enforcement cases.
Written comments regarding the proposed amendments to §367.10 may be submitted by mail to Lisa G. Hill at P.O. Box 4200, Austin, Texas 78765-4200; or by email to info@tsbpe.texas.gov with the subject line "367.10." All comments must be received within 30 days.
The rules set forth in 22 TAC §367.10 are proposed under the authority of §1301.251 of the Texas Occupations Code, which requires the Board to adopt and enforce rules necessary to administer and enforce the Plumbing License Law; Subchapter N of the Occupations Code, which grants the Board the authority to impose administrative penalties for violations of Plumbing License Law; and SB 2065, which enacted changes to §1301.704 and §1301.705 of the Plumbing License Law.
No other statute, article, or code is affected by these proposed amendments.
§367.10.Administrative Penalty.
(a) If the Enforcement Committee decides to pursue an administrative penalty, a Notice of Alleged Violation must be issued to the Respondent. This notice will include a brief summary of the alleged violation, state the amount of the administrative penalty pursued, and inform the Respondent of the Respondent's right to a hearing before the State Office of Administrative Hearings on the occurrence of the violation or the amount of the penalty. There is a rebuttable presumption that the notice is received three (3) days after it was mailed.
(b) Not later than the 20th day after the Notice of Alleged Violation is received by the Respondent, the Respondent, in writing, must:
(1) agree to settle the matter without a formal hearing before the State Office of Administrative Hearings and accept the determination and settlement penalty recommended by the Enforcement Committee; or
(2) make a request for a formal hearing before the State Office of Administrative Hearings on the occurrence of the violation, the amount of the penalty, or both.
(c) If, within twenty (20) days of receipt, the Respondent fails to respond to the Notice of Alleged Violation and either accept the Enforcement Committee's determination and recommended administrative penalty, sanction, or both, or make a written request for a hearing on the determination, the Enforcement Committee may propose entry of a default order against the Respondent unless otherwise provided by applicable law.
(d) Where the Respondent fails to answer to the Notice of Alleged Violation, the Enforcement Committee may present to the Board a proposed Default Order containing findings of fact and conclusions of law. The Board may grant the relief recommended in the proposed Default Order, or such other relief as may be justified by the evidence presented by the Enforcement Committee.
(e) [(c)] If the Respondent agrees to settle the matter without a formal hearing and accepts the determination and amount of penalty recommended [pursued] by the Enforcement Committee, the Respondent must pay the penalty to the Board according to an agreed schedule, or if there is no agreed schedule, not later than sixty (60) [60] days following the date that the Notice of Alleged Violation was issued.
(f) [(d)] The Enforcement Committee must report the proposed agreement to the Board stating a summary of the facts or allegations against the Respondent and the amount of the recommended administrative penalty. The Board may approve the proposed agreement and its recommended penalty by order. If the Respondent subsequently violates the Board's Order adopting the agreement between the Respondent and the Enforcement Committee by failing to pay the penalty timely, the Board may:
(1) refuse to renew the Respondent's license or registration;
(2) refuse to issue a new license or registration to the Respondent, under §1310.451 of the Plumbing License Law;
(3) revoke the Respondent's license or registration; and
(4) may sue the Respondent to collect the penalty owed under §1301.712 of the Plumbing License Law.
(g) [(e)] The Enforcement Committee must set a formal hearing on the matter as a contested case before an administrative law judge at the State Office of Administrative Hearings if:
(1) the Respondent requests a formal hearing as required by subsection (b)(2) of this section; [not later than the 20th day after the Notice of Alleged Violation is received by the Respondent;]
[(2) the Respondent fails to respond in writing to the Notice of Alleged Violation not later than the 20th day after the Notice of Alleged Violation is received by the Respondent; or]
(2) [(3)] the parties do not agree to settle the matter as stated in subsection (e) [(c) ] of this section; [section, or if]
(3) the Board declines to approve the proposed agreement in subsection (f) [(d)] of this section; or [section.]
(4) the Respondent attends at the time and place prescribed in the notice required by subsection (d) of this section.
(h) [(f)] Following the hearing the administrative law judge must issue a proposal for decision to the Board containing findings of facts and conclusions of law. While the administrative law judge may recommend a sanction, findings of fact and conclusions of law are inappropriate for sanction recommendations, and sanction recommendations in the form of findings of fact and conclusions of law are an improper application of applicable law and these rules. Sections 1301.451, 1301.701, and 1301.706 of the Plumbing License Law provide that the Board must impose the appropriate sanction. In all cases, the Board has the discretion to impose the sanction that best accomplishes the Board's legislatively-assigned enforcement goals. The Board is the ultimate arbiter of the proper penalty.
(i) [(g)] The Board may impose an administrative penalty alone or in addition to other sanctions permitted under the Plumbing License Law.
(j) [(h)] In determining the proper administrative penalty the Board will apply the factors to be considered set forth in §1301.702(b) of the Plumbing License Law. [In particular, these factors are:]
[(1) the seriousness of the violation, including:]
[(A) the nature, circumstance, extent, and gravity of any prohibited act; and]
[(B) the hazard or potential hazard created to the health, safety, or economic welfare of the public;]
[(2) the economic harm to property or the environment caused by the violation;]
[(3) the history of previous violations;]
[(4) the amount necessary to deter a future violation;]
[(5) efforts made to correct the violation; and]
[(6) any other matter that justice may require.]
(k) [(i)] The following table contains guidelines for the assessment of administrative penalties in disciplinary matters. This table is for standard violations under normal circumstances and does not necessarily include every possible violation of the Plumbing License Law or Board Rules. The table is divided into two classes of violations. Class A violations are those violations with greater potential to jeopardize public health, safety, welfare, property, or environment. Class B violations are those with less immediate potential to jeopardize public health, safety, welfare, property, or environment.
Figure: 22 TAC §367.10(k)
[Figure: 22 TAC §367.10(i)]
(l) [(j)] The amounts specified in the table in subsection (k) [(i)] of this section are guidelines only. The Board retains the right to increase or decrease the amount of an administrative penalty based on the circumstances in each case. In particular, the Board may increase the amount of administrative penalties when the Respondent has committed multiple violations (e.g., some combination of different violations).
(m) [(k)] Because it is the policy of the Board to pursue expeditious resolution of complaints when appropriate, administrative penalties in uncontested cases may be less than the amounts specified in the table in subsection (k) [(i)] of this section. Among other reasons, this may be because the Respondent admits fault, takes steps to rectify matters, timely responds to Board concerns, or identifies mitigating circumstances, and because settlements avoid additional administrative costs to the Board.
(n) [(l)] [Other Costs.] The cost of preparing the transcript of an administrative hearing is not an administrative penalty. Yet in all cases where the Board has determined that a violation occurred, the Board assesses the cost of the transcript of the administrative hearing to the Respondent.
(o) [(m)] Based on the proposal for decision, including the findings of fact and conclusions of law, the Board must issue an Order stating its decision in the contested case and a notice to the Respondent of the Respondent's right to judicial review of the Order.
(p) [(n)] When the Default Order adopted under subsection (d) of this section or the [Board's ] Order adopted under subsection (o) of this section includes the imposition of an administrative penalty:
(1) not later than the 30th day after the date that the Default Order or [Board's] Order becomes final:
(A) the Respondent must pay the penalty to the Board; or
(B) the Respondent must file a petition for judicial review contesting the occurrence of the violation, the amount of the penalty, or both, in accordance with §1301.707 or §1301.708 of the Plumbing License Law.
(2) after all opportunities for judicial review have passed and it is determined that the Respondent owes the penalty and fails to pay the penalty timely:
(A) the Board is authorized to refuse to renew the Respondent's license or registration and refuse to issue a new license or registration to the Respondent, under §1301.707 of the Plumbing License Law; and
(B) the Attorney General may sue the Respondent to collect the penalty under §1301.712 of the Plumbing License Law.
Filed with the Office of the Secretary of State on July 12, 2017.
TRD-201702629
22 TAC §507.6
The Texas State Board of Public Accountancy (Board) proposes an amendment to §507.6, concerning Employee Training and Education Assistance Program.
The amendment to §507.6 no longer lists a specific dollar amount but clarifies that the fees will be established by the Board.
Written comments may be submitted to J. Randel (Jerry) Hill, General Counsel, Texas State Board of Public Accountancy, 333 Guadalupe, Tower 3, Suite 900, Austin, Texas 78701 or faxed to his attention at (512) 305-7854, no later than noon on August 28, 2017.
§507.6.Employee Training and Education Assistance Program.
(a) Pursuant to the State Employees Training Act, Chapter 656, Subchapter C of the Texas Government Code, it is the policy and practice of the board to encourage an employee's professional development through training and education programs.
(b) The board may provide assistance for education and training for an employee if the executive director determines that the education or training will enhance the employee's ability to perform current or prospective job duties and will benefit both the board and the employee.
(c) Financial assistance may be awarded for some or all of the following expenses:
(1) tuition, including correspondence courses that fulfill degree, professional or General Equivalence Diploma (GED) program plan requirements;
(2) degree plan pertinent College Level Equivalency Program examinations if the employee receives college credit or waiver of course requirements;
(3) degree plan pertinent Life Experience Assessments if the employee receives college credit; and
(4) required fees, including lab fees, and books.
(d) Financial assistance granted under this program shall be established by the board [not exceed $3,600 per year per employee].
TRD-201702668
22 TAC §525.1
The Texas State Board of Public Accountancy (Board) proposes an amendment to §525.1, concerning Applications for the UCPAE, Issuance of the CPA Certificate, or a License.
The amendment to §525.1 incorporates language from Chapter 53 of the Occupations Code regarding criminal convictions with additional revisions so that the rule addresses only individuals applying to take the UCPAE.
Mr. Treacy has determined that for the first five-year period the amendment is in effect the public benefits expected as a result of adoption of the proposed amendment will be clarity in that a rule that tracks the statutory language found in the Occupations Code regarding criminal convictions and to distinguish between an applicant to take the CPA exam from an application for license renewal.
§525.1.Applications for the UCPAE, Issuance of the CPA Certificate, or Initial [a] License.
(a) The board may prohibit [deny] an individual from taking [applicant's application to take] the UCPAE [for a period not to exceed five years from the date of application], and may [shall] not issue the CPA certificate, or [issue] an initial license, for a period not to exceed five years from the date of the application, for an offense that does not directly relate to the duties and responsibilities of the practice of public accountancy when the conviction of the offense occurred less than five years before the person applied for the license [or renew a license, and shall revoke a current license, if the board finds that the applicant or licensee has been convicted of a felony offense or upon revocation of applicant's or licensee's felony probation, parole, or mandatory supervision].
(b) Regardless of the date of the offense, the [The] board may prohibit an individual from taking [deny applicant's application to take] the UCPAE, and may not [the application to] issue the CPA certificate, or [the application to issue] an initial license, for up to five years from the date of the application, if the board finds that the applicant has been convicted of a felony, or misdemeanor offense which directly relates to the duties and responsibilities of the practice of public accountancy. In determining whether the felony or misdemeanor conviction directly relates to the [such] duties and responsibilities of the practice of public accountancy, the board shall consider:
(2) the relationship of the crime to the board's statutory responsibility to ensure that persons professing to practice public accountancy maintain high standards of competence and integrity in light of the reliance of the public on professional accounting services;
(3) the extent to which a license to practice public accountancy might offer an opportunity to engage in further criminal activity of the same type as that in which the person was previously involved;
(4) the relationship of the crime to the ability, capacity, or fitness required to perform the duties and discharge the responsibilities of a CPA or public accountant;
(5) fraud or dishonesty as an element of the offense; and
(6) all conduct indicating a lack of fitness to serve the public as a professional accountant.
(c) In addition to the factors stated in subsection (b) of this section, the board shall consider §53.023 (Texas Occupations Code) in determining the present fitness of an applicant who has been convicted of a crime.
(d) Because an accountant is often placed in a position of trust with respect to client funds, and the public in general relies on professional accounting services, the Texas State Board of Public Accountancy considers that the following crimes directly relate to the practice of public accountancy:
(1) any felony or misdemeanor of which fraud or deceit is an essential element;
(2) any felony or misdemeanor conviction which results in the suspension or revocation of the right to practice before any state or federal agency for a cause which in the opinion of the board warrants its action; and
(3) any crime involving moral turpitude.
(e) The following procedures shall apply in the processing of an application to take the UCPAE.
(1) The applicant will be asked to respond, under penalty of perjury, to the question if he or she has ever been convicted of a felony or misdemeanor.
(2) The board may submit identifying information to the Texas Department of Public Safety and or other appropriate agencies [on board letterhead] requesting conviction records on all applicants about whom the executive director finds evidence to warrant a record search.
(3) The board will review the conviction records of applicants and will approve or disapprove applications as the evidence warrants. If the requested information is not provided by the Texas Department of Public Safety and or other appropriate agencies at least 10 days prior to the examination, an applicant may be permitted to take the UCPAE, with his or her scores subject to being voided. An applicant may have his or her scores voided or may be denied the opportunity to take the UCPAE on the basis of a prior conviction pursuant to a hearing as provided for in the Act.
(4) The examination eligibility fee of an applicant whose application to take the UCPAE has been denied under this section or §511.70 of this title (relating to Grounds for Disciplinary Action of Applicants) and who has not taken any portion of the examination shall be refunded.
(f) An applicant who has not been permitted to sit for the UCPAE as a result of having been convicted of a felony offense must provide evidence of rehabilitation as the board may request.
(g) The following procedure shall apply in the processing of an application for issuance of the CPA certificate.
(1) The applicant shall be asked to respond, under penalty of perjury, to the question if he or she has ever been convicted of a felony or misdemeanor.
(2) The board may submit identifying information to the Texas Department of Public Safety and or other appropriate agencies [on board letterhead] requesting conviction records on an applicant requesting issuance of the CPA certificate.
(3) The board shall review the individual applications and the conviction records of applicants and shall approve or disapprove applications as the evidence warrants. No CPA certificate or initial license may be issued to an applicant whose application for a CPA certificate has been denied. The board may disqualify a person from receiving a CPA certificate or initial license on the basis of a prior conviction pursuant to a hearing as provided for in the Act.
TRD-201702669
22 TAC §525.2
The Texas State Board of Public Accountancy (Board) proposes an amendment to §525.2, concerning Application for or Renewal of a License for Applicants or Licensees with Criminal Backgrounds.
The amendment to §525.2 incorporates language from Chapter 53 of the Occupations Code regarding criminal convictions with additional revisions so that the rule addresses licensees applying for license renewal.
Mr. Treacy has determined that for the first five-year period the amendment is in effect the public benefits expected as a result of adoption of the proposed amendment will be clarity of a rule that tracks the statutory language found in the Occupations Code regarding criminal convictions and to distinguish between an application for license renewal from an applicant to take the CPA exam.
Written comments may be submitted to J. Randel (Jerry) Hill, General Counsel, Texas State Board of Public Accountancy, 333 Guadalupe, Tower 3, Suite 900, Austin, Texas 78701, or faxed to his attention at (512) 305-7854, no later than noon on August 28, 2017.
§525.2.Applications for or Renewal of a License for [Applicants or] Licensees with Criminal Backgrounds.
(a) The following procedure shall apply when renewing a license annually.
(1) Each licensee shall be asked to respond, under penalty of perjury, to the question if he or she has ever been convicted of a felony or misdemeanor of which the board has not previously been informed. If the licensee responds in the negative and pays the required license fee, a renewal license shall be issued in accordance with established procedures. If the licensee responds affirmatively and pays the required license fee, the board may submit identifying information [on board letterhead] to the Texas Department of Public Safety and other appropriate agencies requesting conviction records on the licensee.
(2) The board shall review the conviction records and either approve or deny the application for a renewal license as the evidence warrants. The board shall refund any renewal fee submitted if the application is denied. The board may suspend or revoke or refuse to renew an annual license on the basis of a prior conviction pursuant to a hearing as provided for in the Act.
(b) The board may suspend the license or revoke the certificate [or decline to renew a licensee's valid license] as a result of a licensee's prior conviction of a crime relevant to the license and/or certificate following the opportunity for a hearing as provided for in the Act. The board shall notify the person in writing of the reasons for the suspension, revocation, denial or disqualification. [The board may deny an applicant a license or certificate or the opportunity to sit for the UCPAE or void the applicant's grades as a result of an applicant's prior conviction of a crime relevant to the license and/or certificate pursuant to the opportunity for a hearing as provided for in the Act. Following such an action, the board shall notify the person in writing:]
[(1) of the reasons for the suspension, revocation, denial, or disqualification;]
[(2) that the applicant or licensee, after exhausting administrative appeals, may file an action in district court in Travis County, for review of the evidence presented to the board and its decision in accordance with the Act;]
[(3) that an applicant or licensee shall begin the judicial review within 30 days after the board's decision is final and appealable; and]
[(4) that the earliest date an applicant or licensee may appeal is when a motion for rehearing is denied, or when the time for filing a motion for rehearing has expired and no motion has been filed.]
(c) The board shall revoke a certificate for a felony offense that does not relate to the duties and responsibilities of a licensee when the felony conviction occurred less than five years before the date the person applies for a license renewal or the board becomes aware of the conviction and shall revoke a certificate for an offense listed in Article 42A.054 of the Code of Criminal Procedure or a sexually violent offense as defined in 62.001 of the Code of Criminal Procedure.
TRD-201702670