PART 5. STATE BOARD OF DENTAL EXAMINERS
CHAPTER 104. CONTINUING EDUCATION
The State Board of Dental Examiners (Board) proposes this amendment to 22 TAC §104.1, concerning continuing education requirements. The proposed amendment allows dentists and dental hygienists to reduce their 24-hour continuing education requirement by 2 hours if they attest they read all newsletters issued by the Texas State Board of Dental Examiners during their renewal period. The proposed amendment does not apply to the 16-hour technical and scientific requirement.
FISCAL NOTE: Casey Nichols, Executive Director, has determined that for the first five-year period the proposed rule is in effect, the proposed rule does not have foreseeable implications relating to cost or revenues of the state or local governments.
PUBLIC BENEFIT-COST NOTE: Casey Nichols has also determined that for the first five-year period the proposed rule is in effect, the public benefit anticipated as a result of this proposed rule will be the protection of public safety and welfare.
LOCAL EMPLOYMENT IMPACT STATEMENT: Casey Nichols has also determined that the proposed rule does not affect local economies and employment.
SMALL AND MICRO-BUSINESS, RURAL COMMUNITY IMPACT STATEMENT: Casey Nichols has determined that no economic impact statement and regulatory flexibility analysis for small businesses, micro-businesses, and rural communities is necessary for this proposed rule.
GOVERNMENT GROWTH IMPACT STATEMENT: The Board has determined that for the first five-year period the proposed rule is in effect, the following government growth effects apply: (1) the proposed rule does not create or eliminate a government program; (2) implementation of the proposed rule does not require the creation or elimination of employee positions; (3) implementation of the proposed rule does not require an increase or decrease in future appropriations; (4) the proposed rule does not require an increase in fees paid to the agency; (5) the proposed rule creates a new regulation; (6) the proposed rule does not expand an existing regulation; (7) the proposed rule does not increase the number of individuals subject to the rule's applicability; and (8) the proposed rule does not positively or adversely affect the state's economy.
Comments on the proposed rule may be submitted to Casey Nichols, Executive Director, 1801 Congress Avenue, Suite 8.600, Austin, Texas 78701, by fax to (512) 649-2482, or by email to official_rules_comments@tsbde.texas.gov for 30 days following the date that the proposed rule is published in the Texas Register. To be considered for purposes of this rulemaking, comments must be: (1) postmarked or shipped by the last day of the comment period; or (2) faxed or e-mailed by midnight on the last day of the comment period.
This rule is proposed under Texas Occupations Code §254.001(a), which gives the Board authority to adopt rules necessary to perform its duties and ensure compliance with state laws relating to the practice of dentistry to protect the public health and safety.
No statutes are affected by this proposed rule.
§104.1.Continuing Education Requirements.
As a prerequisite to the biennial renewal of a dental or dental hygiene license, proof of completion of 24 hours of acceptable continuing education is required.
(1) Each licensee shall select and participate in the continuing education courses endorsed by the providers identified in §104.2 of this title (relating to Providers). A licensee, other than a licensee who resides outside of the United States, who is unable to meet education course requirements may request that alternative courses or procedures be approved by the Licensing Committee.
(A) Such requests must be in writing and submitted to and approved by the Licensing Committee prior to the expiration of the biennial period for which the alternative is being requested.
(B) A licensee must provide supporting documentation detailing the reason why the continuing education requirements set forth in this section cannot be met and must submit a proposal for alternative education procedures.
(C) Acceptable causes may include unanticipated financial or medical hardships or other extraordinary circumstances that are documented.
(D) A licensee who resides outside of the United States may, without prior approval of the Licensing Committee, complete all required hours of coursework by self-study.
(i) These self-study hours must be provided by those entities cited in §104.2 of this title. Examples of self-study courses include correspondence courses, video courses, audio courses, and reading courses.
(ii) Upon being audited for continuing education compliance, a licensee who submits self-study hours under this subsection must be able to demonstrate residence outside of the United States for all periods of time for which self-study hours were submitted.
(E) Should a request to the Licensing Committee be denied, the licensee must complete the requirements of this section.
(2) Effective September 1, 2018, the following conditions and restrictions shall apply to coursework submitted for renewal purposes:
(A) At least 16 hours of coursework must be either technical or scientific as related to clinical care. The terms "technical" and "scientific" as applied to continuing education shall mean that courses have significant intellectual or practical content and are designed to directly enhance the practitioner's knowledge and skill in providing clinical care to the individual patient.
(B) Effective January 1, 2021, a licensed dentist whose practice includes direct patient care must complete not less than 2 hours of continuing education annually, and not less than 4 hours for each biennial renewal, regarding safe and effective pain management related to the prescription of opioids and other controlled substances. These 4 hours may be used to satisfy the 16-hour technical and scientific requirement. The courses taken to satisfy the safe and effective pain management requirement must include education regarding:
(i) reasonable standards of care;
(ii) the identification of drug-seeking behavior in patients; and
(iii) effectively communicating with patients regarding the prescription of an opioid or other controlled substance.
(C) Up to 8 hours of coursework may be in risk-management courses. Acceptable "risk management" courses include courses in risk management, record-keeping, and ethics. Dentists may complete continuing education courses described by §111.1 of this title (relating to Additional Continuing Education Required) to satisfy a portion of the risk-management requirement.
(D) Up to 8 hours of coursework may be self-study. These self-study hours must be provided by those entities cited in §104.2 of this title. Examples of self-study courses include correspondence courses, video courses, audio courses, and reading courses.
(E) Hours of coursework in the standards of the Occupational Safety and Health Administration (OSHA) annual update course or in cardiopulmonary resuscitation (CPR) basic life support training may not be considered in the 24-hour requirement.
(F) Hours of coursework in practice finance may not be considered in the 24-hour requirement.
(3) As part of the 24-hour requirement, a course in human trafficking prevention approved by the executive commissioner of the Texas Health and Human Services Commission must be completed.
(4) Each licensee shall complete the jurisprudence assessment every four (4) years. This requirement is in addition to the twenty-four (24) hours of continuing education required biennially for the renewal of a license.
(5) A licensee may carry forward continuing education hours earned prior to a renewal period which are in excess of the 24-hour requirement and such excess hours may be applied to subsequent years' requirements. Excess hours to be carried forward must have been earned in a classroom setting and within the one year immediately preceding the renewal period. A maximum of 24 total excess credit hours may be carried forward.
(6) Examiners for The Commission on Dental Competency Assessments-The Western Regional Examining Board-The Council of Interstate Testing Agencies (CDCA-WREB-CITA), States Resources for Testing and Assessments (SRTA), and Central Regional Dental Testing Services Inc. (CRDTS) will be allowed credit for no more than 12 hours biennially, obtained from calibration and standardization exercises associated with the examinations.
(7) Any individual or entity may petition one of the providers listed in §104.2 of this title to offer continuing education.
(8) Providers cited in §104.2 of this title will approve individual courses and/or instructors.
(9) A consultant for the SBDE who is also a licensee of the SBDE is eligible to receive up to 12 hours of continuing education credit biennially to apply towards the biennial renewal continuing education requirement under this section.
(A) Continuing education credit hours shall be awarded for the issuance of an expert opinion based upon the review of SBDE cases and for providing assistance to the SBDE in the investigation and prosecution of cases involving violations of the Dental Practice Act and/or the Rules of the SBDE.
(B) The amount of continuing education credit hours to be granted for each consultant task performed shall be determined by the Executive Director, Division Director, or manager that authorizes the consultant task to be performed. The award of continuing education credit shall be confirmed in writing and based upon a reasonable assessment of the time required to complete the task.
(10) A course instructor who offers continuing education through a provider listed in §104.2 of this title is eligible to receive 2 hours of continuing education credit for every 1 hour of instruction provided. This credit applies per course, per renewal period.
(11) The 24-hour requirement may be reduced by 2 hours if licensees attest they read all newsletters issued by the Texas State Board of Dental Examiners during their renewal period. This does not apply to the 16-hour technical and scientific requirement.
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 22, 2024.
TRD-202405722
Lauren Studdard
General Counsel
State Board of Dental Examiners
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 305-8910
SUBCHAPTER D. MOBILE DENTAL FACILITIES
The State Board of Dental Examiners (Board) proposes this amendment to 22 TAC §108.42, concerning obtaining a permit. The proposed amendment removes the requirement that a mobile dental facility or portable dental unit must have a lead apron with thyroid shield when x-rays are made. The American Academy of Oral and Maxillofacial Radiology (AAOMR) recently issued guidelines titled "Patient shielding during dentomaxillofacial radiography" where the AAOMR recommended discontinuing the use of lead aprons and thyroid shields when making x-rays. The Board held a stakeholder meeting on September 27, 2024, where a majority of stakeholders stated that Board rules should be amended to remove requiring the use of lead aprons and thyroid shields based on the AAOMR guidelines.
FISCAL NOTE: Casey Nichols, Executive Director, has determined that for the first five-year period the proposed rule is in effect, the proposed rule does not have foreseeable implications relating to cost or revenues of the state or local governments.
PUBLIC BENEFIT-COST NOTE: Casey Nichols has also determined that for the first five-year period the proposed rule is in effect, the public benefit anticipated as a result of this proposed rule will be the protection of public safety and welfare.
LOCAL EMPLOYMENT IMPACT STATEMENT: Casey Nichols has also determined that the proposed rule does not affect local economies and employment.
SMALL AND MICRO-BUSINESS, RURAL COMMUNITY IMPACT STATEMENT: Casey Nichols has determined that no economic impact statement and regulatory flexibility analysis for small businesses, micro-businesses, and rural communities is necessary for this proposed rule.
GOVERNMENT GROWTH IMPACT STATEMENT: The Board has determined that for the first five-year period the proposed rule is in effect, the following government growth effects apply: (1) the proposed rule does not create or eliminate a government program; (2) implementation of the proposed rule does not require the creation or elimination of employee positions; (3) the implementation of the proposed rule does not require an increase or decrease in future appropriations; (4) the proposed rule does not require an increase in fees paid to the agency; (5) the proposed rule does not create a new regulation; (6) the proposed rule does not expand an existing regulation; (7) the proposed rule does not increase the number of individuals subject to the rule's applicability; and (8) the proposed rule does not positively or adversely affect the state's economy.
Comments on the proposed rule may be submitted to Casey Nichols, Executive Director, 1801 Congress Avenue, Suite 8.600, Austin, Texas 78701, by fax to (512) 649-2482, or by email to official_rules_comments@tsbde.texas.gov for 30 days following the date that the proposed rule is published in the Texas Register. To be considered for purposes of this rulemaking, comments must be: (1) postmarked or shipped by the last day of the comment period; or (2) faxed or e-mailed by midnight on the last day of the comment period.
This rule is proposed under Texas Occupations Code §254.001(a), which gives the Board authority to adopt rules necessary to perform its duties and ensure compliance with state laws relating to the practice of dentistry to protect the public health and safety.
No statutes are affected by this proposed rule.
§108.42.Obtaining a Permit.
(a) A licensed Texas dentist, an organization authorized by the Dental Practice Act or other organization as defined by rule 108.41 (3) of this title (relating to Definitions) and approved by the SBDE wishing to operate a mobile dental facility or a portable dental unit, shall apply to the State Board of Dental Examiners (SBDE) for a permit on a form provided by the Board and pay an application fee in an amount set by the Board. A governmental or educational entity may obtain a single permit, respectively, for all facilities; or all units listed on an application.
(b) A completed application form submitted to the SBDE with all questions answered will be reviewed and if all the requirements listed in this section are met, a permit will be issued. All applications must include:
(1) an address of record that is not a Post Office Box; and,
(2) the name and address of the permit holder.
(c) All applicants except governmental and higher educational entities must also include:
(1) the name and address, and when applicable, the license number of each dentist, dental hygienist, laboratory technician, and dental assistant associated with the facility or unit for which a permit is sought;
(2) a copy of a written agreement for the emergency follow-up care for patients treated in the mobile dental facility, or through a portable dental unit, and such agreement must include identification of and arrangements for treatment in a dental office which is permanently established within a reasonable geographic area;
(3) a statement that the mobile dental facility or portable dental unit has access to communication facilities which will enable dental personnel to contact assistance as needed in the event of an emergency;
(4) a statement that the mobile dental facility or portable dental unit conforms to all applicable federal, state, and local laws, regulations, and ordinances dealing with radiographic equipment, flammability, construction standards, including required or suitable access for disabled individuals, sanitation, and zoning;
(5) a statement that the applicant posses all applicable county and city licenses or permits to operate the facility or unit;
(6) either a statement that the unit will only be used in dental offices of the applicant or other licensed dentists, or a list of all equipment to be contained and used in the mobile dental facility or portable dental unit, which must include:
(A) dental treatment chair;
(B) a dental treatment light;
(C) when radiographs are to be made by the mobile dental facility or portable dental unit, a stable portable radiographic unit that is properly monitored by the authorized agency;
[(D) when radiographs are to be made
by the mobile dental facility or portable dental unit, a lead apron
which includes a thyroid collar;]
(D) [(E)] a portable delivery
system, or an integrated system if used in a mobile dental facility;
(E) [(F)] an evacuation unit
suitable for dental surgical use; and
(F) [(G)] a list of appropriate
and sufficient dental instruments including explorers and mouth mirrors,
and infection control supplies, such as gloves, face masks, etc.,
that are on hand.
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 22, 2024.
TRD-202405723
Lauren Studdard
General Counsel
State Board of Dental Examiners
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 305-8910
The State Board of Dental Examiners (Board) proposes this amendment to 22 TAC §111.1, concerning additional continuing education requirements. The proposed amendment removes subsection (a) and paragraph (b)(1) because they are no longer in effect. The current continuing education requirement regarding controlled substances is found in paragraph (1) of this amended rule and in 22 TAC §104.1(2)(B). The proposed amendment also updates the name of the title for 22 TAC §104.1.
FISCAL NOTE: Casey Nichols, Executive Director, has determined that for the first five-year period the proposed rule is in effect, the proposed rule does not have foreseeable implications relating to cost or revenues of the state or local governments.
PUBLIC BENEFIT-COST NOTE: Casey Nichols has also determined that for the first five-year period the proposed rule is in effect, the public benefit anticipated as a result of this proposed rule will be a clear regulation.
LOCAL EMPLOYMENT IMPACT STATEMENT: Casey Nichols has also determined that the proposed rule does not affect local economies and employment.
SMALL AND MICRO-BUSINESS, RURAL COMMUNITY IMPACT STATEMENT: Casey Nichols has determined that no economic impact statement and regulatory flexibility analysis for small businesses, micro-businesses, and rural communities is necessary for this proposed rule.
GOVERNMENT GROWTH IMPACT STATEMENT: The Board has determined that for the first five-year period the proposed rule is in effect, the following government growth effects apply:
(1) the proposed rule does not create or eliminate a government program;
(2) implementation of the proposed rule does not require the creation or elimination of employee positions;
(3) the implementation of the proposed rule does not require an increase or decrease in future appropriations;
(4) the proposed rule does not require an increase in fees paid to the agency;
(5) the proposed rule does not create a new regulation;
(6) the proposed rule does not expand an existing regulation;
(7) the proposed rule does not increase the number of individuals subject to the rule's applicability; and
(8) the proposed rule does not positively or adversely affect the state's economy.
Comments on the proposed rule may be submitted to Casey Nichols, Executive Director, 1801 Congress Avenue, Suite 8.600, Austin, Texas 78701, by fax to (512) 649-2482, or by email to official_rules_comments@tsbde.texas.gov for 30 days following the date that the proposed rule is published in the Texas Register. To be considered for purposes of this rulemaking, comments must be: (1) postmarked or shipped by the last day of the comment period; or (2) faxed or e-mailed by midnight on the last day of the comment period.
This rule is proposed under Texas Occupations Code §254.001(a), which gives the Board authority to adopt rules necessary to perform its duties and ensure compliance with state laws relating to the practice of dentistry to protect the public health and safety.
No statutes are affected by this proposed rule.
§111.1.Additional Continuing Education Required.
[(a) Effective until September 1,
2020, each dentist who is permitted by the Drug Enforcement Agency
to prescribe controlled substances shall complete every three years
a minimum of two hours of continuing education in the abuse and misuse
of controlled substances, opioid prescription practices, and/or pharmacology.
This continuing education may be utilized to fill the continuing education
requirements of annual renewal.]
[(b)] Effective beginning September 1, 2020,
each dentist who is permitted by the Drug Enforcement Agency (or any
subsequent permitting authority authorized by state and federal law)
to prescribe controlled substances must complete 2 hours of continuing
education related to approved procedures of prescribing and monitoring
controlled substances as outlined in paragraphs (1) - (2) [(3)] of this section [subsection]. These
2 hours of continuing education may be used to satisfy the recordkeeping
continuing education requirements of §104.1 of this title (relating
to Continuing Education Requirements [Requirement]).
After completing the initial requirement, a dentist may, no more than
once annually, take the course under this section [subsection
] to fulfill hours toward the recordkeeping continuing education requirement.
[(1) For dentists authorized to prescribe
controlled substances before September 1, 2020, the 2 hours of required
continuing education must be completed no later than September 1, 2021.]
(1) [(2)] For dentists who are
authorized to prescribe controlled substances on or after September
1, 2020, the 2 hours of required continuing education must be completed
not later than the first anniversary after the person is issued an
authorization to prescribe.
(2) [(3)] For dentists who have
surrendered the permit or authorization to prescribe controlled substances
or have their permit or authorization to prescribe controlled substances
revoked by any administrative, civil, or criminal proceeding, the
requirements of paragraph (1) [(2)] of this section
[subsection] shall apply to any new permit or authorization
granted on or after September 1, 2020, regardless of whether the dentist
previously satisfied the requirements of this section [subsection].
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 22, 2024.
TRD-202405725
Lauren Studdard
General Counsel
State Board of Dental Examiners
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 305-8910
The State Board of Dental Examiners (Board) proposes this amendment to 22 TAC §113.2, concerning X-Ray Laboratories. The proposed amendment removes the requirement that dental patients must be protected by a lead apron with thyroid collar. The American Academy of Oral and Maxillofacial Radiology (AAOMR) recently issued guidelines titled "Patient shielding during dentomaxillofacial radiography" where the AAOMR recommended discontinuing the use of lead aprons and thyroid shields when making x-rays. The Board held a stakeholder meeting on September 27, 2024, where a majority of stakeholders stated that Board rules should be amended to remove requiring the use of lead aprons and thyroid shields based on the AAOMR guidelines.
FISCAL NOTE: Casey Nichols, Executive Director, has determined that for the first five-year period the proposed rule is in effect, the proposed rule does not have foreseeable implications relating to cost or revenues of the state or local governments.
PUBLIC BENEFIT-COST NOTE: Casey Nichols has also determined that for the first five-year period the proposed rule is in effect, the public benefit anticipated as a result of this proposed rule will be the protection of public safety and welfare.
LOCAL EMPLOYMENT IMPACT STATEMENT: Casey Nichols has also determined that the proposed rule does not affect local economies and employment.
SMALL AND MICRO-BUSINESS, RURAL COMMUNITY IMPACT STATEMENT: Casey Nichols has determined that no economic impact statement and regulatory flexibility analysis for small businesses, micro-businesses, and rural communities is necessary for this proposed rule.
GOVERNMENT GROWTH IMPACT STATEMENT: The Board has determined that for the first five-year period the proposed rule is in effect, the following government growth effects apply: (1) the proposed rule does not create or eliminate a government program; (2) implementation of the proposed rule does not require the creation or elimination of employee positions; (3) the implementation of the proposed rule does not require an increase or decrease in future appropriations; (4) the proposed rule does not require an increase in fees paid to the agency; (5) the proposed rule does not create a new regulation; (6) the proposed rule does not expand an existing regulation; (7) the proposed rule does not increase the number of individuals subject to the rule's applicability; and (8) the proposed rule does not positively or adversely affect the state's economy.
Comments on the proposed rule may be submitted to Casey Nichols, Executive Director, 1801 Congress Avenue, Suite 8.600, Austin, Texas 78701, by fax to (512) 649-2482, or by email to official_rules_comments@tsbde.texas.gov for 30 days following the date that the proposed rule is published in the Texas Register. To be considered for purposes of this rulemaking, comments must be: (1) postmarked or shipped by the last day of the comment period; or (2) faxed or e-mailed by midnight on the last day of the comment period.
This rule is proposed under Texas Occupations Code §254.001(a), which gives the Board authority to adopt rules necessary to perform its duties and ensure compliance with state laws relating to the practice of dentistry to protect the public health and safety.
No statutes are affected by this proposed rule.
§113.2.X-Ray Laboratories.
(a) All dental licensees, including dentists, dental hygienists or other dental auxiliaries shall comply with Title 25 Texas Administrative Code §289.232 (Radiation Control Regulations for Dental Radiation Machines) as promulgated by the Texas Department of State Health Services Radiation Control Program or its successor.
(b) All dental x-ray laboratories operating in this state must be under the general supervision of a Texas licensed dentist.
[(c) All dental patients must be protected
by a lead apron with the thyroid collar while directly exposed to
x-rays with the exception of those radiographs where it is necessary
to image areas concealed or obstructed by a thyroid collar. A non-lead
apron may be used instead of a lead apron if the non-lead apron provides
protection from x-rays that is equivalent to that of a lead apron.]
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 22, 2024.
TRD-202405724
Lauren Studdard
General Counsel
State Board of Dental Examiners
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 305-8910
The State Board of Dental Examiners (Board) proposes this amendment to 22 TAC §114.12, concerning continuing education for certificate holders. The proposed amendment updates the rule to reflect that dental assistant registrations have a biennial renewal cycle. In addition, the proposed amendment requires registered dental assistants to complete two hours of continuing education in the laws and regulations of the Board.
FISCAL NOTE: Casey Nichols, Executive Director, has determined that for the first five-year period the proposed rule is in effect, the proposed rule does not have foreseeable implications relating to cost or revenues of the state or local governments.
PUBLIC BENEFIT-COST NOTE: Casey Nichols has also determined that for the first five-year period the proposed rule is in effect, the public benefit anticipated as a result of this proposed rule will be the protection of public safety and welfare.
LOCAL EMPLOYMENT IMPACT STATEMENT: Casey Nichols has also determined that the proposed rule does not affect local economies and employment.
SMALL AND MICRO-BUSINESS, RURAL COMMUNITY IMPACT STATEMENT: Casey Nichols has determined that no economic impact statement and regulatory flexibility analysis for small businesses, micro-businesses, and rural communities is necessary for this proposed rule.
GOVERNMENT GROWTH IMPACT STATEMENT: The Board has determined that for the first five-year period the proposed rule is in effect, the following government growth effects apply: (1) the proposed rule does not create or eliminate a government program; (2) implementation of the proposed rule does not require the creation or elimination of employee positions; (3) implementation of the proposed rule does not require an increase or decrease in future appropriations; (4) the proposed rule does not require an increase in fees paid to the agency; (5) the proposed rule creates a new regulation; (6) the proposed rule does not expand an existing regulation; (7) the proposed rule does not increase the number of individuals subject to the rule's applicability; and (8) the proposed rule does not positively or adversely affect the state's economy.
Comments on the proposed rule may be submitted to Casey Nichols, Executive Director, 1801 Congress Avenue, Suite 8.600, Austin, Texas 78701, by fax to (512) 649-2482, or by email to official_rules_comments@tsbde.texas.gov for 30 days following the date that the proposed rule is published in the Texas Register. To be considered for purposes of this rulemaking, comments must be: (1) postmarked or shipped by the last day of the comment period; or (2) faxed or e-mailed by midnight on the last day of the comment period.
This rule is proposed under Texas Occupations Code §254.001(a), which gives the Board authority to adopt rules necessary to perform its duties and ensure compliance with state laws relating to the practice of dentistry to protect the public health and safety.
No statutes are affected by this proposed rule.
§114.12.Continuing Education for Certificate Holders.
(a) To renew a certificate of registration issued under
this chapter, a dental assistant must complete twelve (12) [six (6)] hours of continuing education biennially [each year] in areas covering dental assistant duties.
(1) At least six (6) [three
(3)] of these twelve (12) [six (6)] hours
must be clinical continuing education; and, [.]
(2) Effective September 1, 2025, at least two (2) of these twelve (12) hours must be a course in the laws and regulations of the Texas State Board of Dental Examiners.
(b) A dental assistant may fulfill the continuing education requirement through board-approved self-study, interactive computer courses, or lecture courses. All continuing education must be offered by providers approved under 22 Texas Administrative Code §104.2.
(c) As a prerequisite to the renewal of a dental assistant's certificate of registration, a course in human trafficking prevention approved by the executive commissioner of the Texas Health and Human Services Commission must be completed.
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 22, 2024.
TRD-202405721
Lauren Studdard
General Counsel
State Board of Dental Examiners
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 305-8910
CHAPTER 153. RULES RELATING TO PROVISIONS OF THE TEXAS APPRAISER LICENSING AND CERTIFICATION ACT
The Texas Appraiser Licensing and Certification Board (TALCB) proposes amendments to 22 TAC §153.16, License Reinstatement.
The proposed amendments to §153.16 define the requirements for the reinstatement of an expired trainee license.
Kathleen Santos, General Counsel, has determined that for the first five-year period the proposed amendments are in effect, there will be no fiscal implications for the state or units of local government as a result of enforcing or administering the proposed amendments. There is no adverse economic impact anticipated for local or state employment, rural communities, small businesses, or micro businesses as a result of implementing the proposed amendments. There is no significant economic cost anticipated for persons who are required to comply with the proposed amendments. Accordingly, no Economic Impact statement or Regulatory Flexibility Analysis is required.
Ms. Santos has also determined that for each year of the first five years the proposed amendments and rules are in effect the public benefits anticipated as a result of enforcing the proposed amendments will be requirements that are consistent with statutes and easier to understand, apply, and process.
Growth Impact Statement:
For each year of the first five years the proposed amendments and rules are in effect the amendments and rules will not:
create or eliminate a government program;
require the creation of new employee positions or the elimination of existing employee positions;
require an increase or decrease in future legislative appropriations to the agency;
require an increase or decrease in fees paid to the agency;
create a new regulation;
expand, limit or repeal an existing regulation; and
increase the number of individuals subject to the rule's applicability.
For each year of the first five years the proposed amendments are in effect, there is no anticipated impact on the state's economy.
Comments on the proposed amendments may be submitted to Kathleen Santos, General Counsel, Texas Appraiser Licensing and Certification Board, P.O. Box 12188, Austin, Texas 78711-2188 or emailed to general.counsel@talcb.texas.gov. Comments may also be submitted electronically at https://www.talcb.texas.gov/agency-information/rules-and-laws/comment-on-proposed-rules. The deadline for comments is 30 days after publication in the Texas Register.
The amendments are proposed under Texas Occupations Code §1103.151, which authorizes TALCB to adopt rules related to certificates and licenses that are consistent with applicable federal law and guidelines adopted by the AQB; §1103.152, which authorizes TALCB to prescribe qualifications for appraisers that are consistent with the qualifications established by the Appraiser Qualifications Board; and §1103.154, which authorizes TALCB to adopt rules relating to professional conduct.
The statute affected by these amendments is Chapter 1103, Texas Occupations Code. No other statute, code or article is affected by the proposed amendments.
§153.16.License Reinstatement.
(a) Subsections (a) - (f) apply [This
section applies] only to a person who:
(1) previously held a residential appraiser license or certification or general appraiser certification issued by the Board that has been expired for more than six months; and
(2) seeks to obtain the same level of appraiser license previously held by the person before its expiration.
(b) A person who seeks to reinstate a license expired less than five years must:
(1) submit an application for reinstatement on a form approved by the Board;
(2) pay the required fee;
(3) satisfy the Board as to the person's honesty, trustworthiness and integrity;
(4) satisfy the fingerprint and criminal history check requirements in §153.12 of this title; and
(5) complete all AQB continuing education requirements that would have been required had the license not expired.
(c) A person who seeks to reinstate a license expired five years or more must:
(1) satisfy the requirements of subsection (b); and
(2) submit an experience log demonstrating his or her experience complies with USPAP, as outlined in subsection (d).
(d) An experience log submitted under subsection (c) must include at least 10 appraisals of a property type accepted by the AQB for the applicable license category, completed within 5 years from the date of application under this section.
(e) Unless otherwise provided in this section, the board will verify and award experience submitted under subsection (d) in accordance with §153.15 of this title (relating to Experience Required for Licensing).
(f) If a person who seeks to reinstate a license under subsection (c) is unable to submit appraisals or supporting documentation for verification, he or she may apply for a license as an appraiser trainee for the purposes of acquiring the appraisal experience required for reinstatement.
(g) Subsections (g) - (h) apply only to a person who previously held a trainee license issued by the Board that has been expired for more than six months and seeks to reinstate the trainee license.
(h) A person who seeks to reinstate a trainee license must:
(1) submit an application for reinstatement on a form approved by the Board;
(2) pay the required fee;
(3) satisfy the Board as to the person's honesty, trustworthiness and integrity;
(4) satisfy the fingerprint and criminal history check requirements in §153.12 of this title; and
(5) complete all AQB continuing education requirements that would have been required had the license not expired.
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 20, 2024.
TRD-202405627
Kathleen Santos
General Counsel
Texas Appraiser Licensing and Certification Board
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 936-3088
The Texas Appraiser Licensing and Certification Board (TALCB) proposes amendments to 22 TAC §159.204, Complaint Processing and new 22 TAC §159.203, Sanctions Guidelines.
The proposed amendments to §159.204 clarifies the preliminary investigative review process, adds a subsection for the online payment of administrative penalties and required fees, and removes the sanctions guidelines for placement into new rule, 159.203.
New §159.203 is formerly section (m) of §159.204 that outlines the Board's sanctions guidelines and factors taken into consideration for case disposition. Both rules are amended for renumbering and to reflect corresponding references to sections within the rule.
Kathleen Santos, General Counsel, has determined that for the first five-year period the proposed amendments and new rule are in effect, there will be no fiscal implications for the state or units of local government as a result of enforcing or administering the proposed amendments. There is no adverse economic impact anticipated for local or state employment, rural communities, small businesses, or micro businesses as a result of implementing the proposed amendments or new rule. There is no significant economic cost anticipated for persons who are required to comply with the proposed amendments or new rule. Accordingly, no Economic Impact statement or Regulatory Flexibility Analysis is required.
Ms. Santos has also determined that for each year of the first five years the proposed amendments and rules are in effect the public benefits anticipated as a result of enforcing the proposed amendments and new rule will be requirements that are consistent with statutes are more transparent, and easier to understand, apply, and process.
Growth Impact Statement:
For each year of the first five years the proposed amendments and rules are in effect the amendments and rules will not:
create or eliminate a government program;
require the creation of new employee positions or the elimination of existing employee positions;
require an increase or decrease in future legislative appropriations to the agency;
require an increase or decrease in fees paid to the agency;
create a new regulation;
expand, limit or repeal an existing regulation; and
increase the number of individuals subject to the rule's applicability.
For each year of the first five years the proposed amendments and new rule are in effect, there is no anticipated impact on the state's economy.
Comments on the proposed amendments and new rule may be submitted to Kathleen Santos, General Counsel, Texas Appraiser Licensing and Certification Board, P.O. Box 12188, Austin, Texas 78711-2188 or emailed to general.counsel@talcb.texas.gov. Comments may also be submitted electronically at https://www.talcb.texas.gov/agency-information/rules-and-laws/comment-on-proposed-rules. The deadline for comments is 30 days after publication in the Texas Register.
The amendments and new rule are proposed under Texas Occupations Code §1104.151, which authorizes TALCB to adopt rules necessary to administer the provisions of Chapter 1104, Texas Occupations Code.
The statute affected by these amendments and new rule is Chapter 1104, Texas Occupations Code. No other statute, code or article is affected by the proposed amendments.
§159.203.Sanctions Guidelines.
In determining the proper disposition of a formal complaint pending as of or filed after the effective date of this section, and subject to the maximum penalties authorized under Chapter 1104, Texas Occupations Code, staff, the administrative law judge in a contested case hearing and the Board shall consider the following sanctions guidelines and list of non-exclusive factors as demonstrated by the evidence in the record of a contested case proceeding.
(1) For the purposes of these sanctions guidelines:
(A) An AMC will not be considered to have had a prior warning letter, contingent dismissal or discipline if that prior warning letter, contingent dismissal or discipline occurred more than ten years ago;
(B) A prior warning letter, contingent dismissal or discipline given less than ten years ago will not be considered unless the Board took final action against the AMC before the date of the incident that led to the subsequent disciplinary action;
(C) Prior discipline is defined as any sanction, including an administrative penalty, received under a Board final or agreed order;
(D) A violation refers to a violation of any provision of the AMC Act or Board rules;
(E) "Minor deficiencies" is defined as violations of the AMC Act or Board rules which do not call into question the qualification of the AMC for licensure in Texas;
(F) "Serious deficiencies" is defined as violations of the Act or Board rules which do call into question the qualification of the AMC for licensure in Texas;
(G) "Remedial measures" include training, auditing, or any combination thereof; and
(H) The terms of a contingent dismissal agreement will be in writing and agreed to by all parties. Staff may dismiss the complaint with a non-disciplinary warning upon written agreement that the Respondent will complete all remedial measures within the agreed-upon timeframe. If the Respondent fails to meet the deadlines in the agreement, the Respondent's license or certification will be automatically set to inactive status until the Respondent completes the remedial measures set forth in the agreement.
(2) List of factors to consider in determining proper disposition of a formal complaint:
(A) Whether the Respondent has previously received a warning letter or contingent dismissal, and if so, the similarity of facts or violations in that previous complaint to the facts or violations in the instant complaint matter;
(B) Whether the Respondent has previously been disciplined;
(C) If previously disciplined, the nature of the discipline, including:
(i) Whether it concerned the same or similar violations or facts;
(ii) The nature of the disciplinary sanctions imposed;
(iii) The length of time since the previous discipline;
(D) The difficulty or complexity of the incident at issue;
(E) Whether the violations found were of a negligent, grossly negligent or a knowing or intentional nature;
(F) Whether the violations found involved a single appraisal or instance of conduct or multiple appraisals or instances of conduct;
(G) To whom were the appraisal report(s) or the conduct directed, with greater weight placed upon appraisal report(s) or conduct directed at:
(i) A financial institution or their agent, contemplating a lending decision based, in part, on the appraisal report(s) or conduct at issue;
(ii) The Board;
(iii) A matter which is actively being litigated in a state or federal court or before a regulatory body of a state or the federal government;
(iv) Another government agency or government sponsored entity, including, but not limited to, the United States Department of Veteran's Administration, the United States Department of Housing and Urban Development, the State of Texas, Fannie Mae, and Freddie Mac;
(v) A consumer contemplating a real property transaction involving the consumer's principal residence;
(H) Whether Respondent's violations caused any harm, including financial harm, and the amount of such harm;
(I) Whether Respondent acknowledged or admitted to violations and cooperated with the Board's investigation prior to any contested case hearing;
(J) The business operating history of the AMC, including:
(i) The size of the AMC's appraiser panel;
(ii) The length of time Respondent has been licensed as an AMC in Texas;
(iii) The length of time the AMC has been conducting business operations, in any jurisdiction;
(iv) The nature and extent of any remedial measures and sanctions the Respondent had received related to the areas in which violations were found; and
(v) Respondent's affiliation with other business entities;
(K) Whether Respondent can improve the AMC's practice through the use of remedial measures; and
(L) Whether Respondent has voluntarily completed remedial measures prior to the resolution of the complaint.
(3) The sanctions guidelines contained herein shall be employed in conjunction with the factors listed in paragraph (2) of this section to assist in reaching the proper disposition of a formal complaint:
(A) 1st Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in one of the following outcomes:
(i) Dismissal;
(ii) Dismissal with non-disciplinary warning letter;
(iii) Contingent dismissal with remedial measures.
(B) 1st Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in one of the following outcomes:
(i) Contingent dismissal with remedial measures;
(ii) A final order which imposes one or more of the following:
(I) Remedial measures;
(II) Required adoption and implementation of written, preventative policies or procedures;
(III) A probationary period with provisions for monitoring the AMC;
(IV) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(V) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(VI) Minimum of $1,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(C) 1st Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:
(i) A period of suspension;
(ii) A revocation;
(iii) Remedial measures;
(iv) Required adoption and implementation of written, preventative policies or procedures;
(v) A probationary period with provisions for monitoring the AMC;
(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(D) 2nd Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in one of the following outcomes:
(i) Dismissal;
(ii) Dismissal with non-disciplinary warning letter;
(iii) Contingent dismissal with remedial measures;
(iv) A final order which imposes one or more of the following:
(I) Remedial measures;
(II) Required adoption and implementation of written, preventative policies or procedures;
(III) A probationary period with provisions for monitoring the AMC;
(IV) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(V) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(VI) Minimum of $1,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(E) 2nd Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in a final order which imposes one or more of the following:
(i) A period of suspension;
(ii) A revocation;
(iii) Remedial measures;
(iv) Required adoption and implementation of written, preventative policies or procedures;
(v) A probationary period with provisions for monitoring the AMC;
(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of AMC Act or Board rules; each day of a continuing violation is a separate violation.
(F) 2nd Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:
(i) A period of suspension;
(ii) A revocation;
(iii) Remedial measures;
(iv) Required adoption and implementation of written, preventative policies or procedures;
(v) A probationary period with provisions for monitoring the AMC;
(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(viii) Minimum of $4,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(G) 3rd Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in a final order which imposes one or more of the following:
(i) A period of suspension;
(ii) A revocation;
(iii) Remedial measures;
(iv) Required adoption and implementation of written, preventative policies or procedures;
(v) A probationary period with provisions for monitoring the AMC;
(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(H) 3rd Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in a final order which imposes one or more of the following:
(i) A period of suspension;
(ii) A revocation;
(iii) Remedial measures;
(iv) Required adoption and implementation of written, preventative policies or procedures;
(v) A probationary period with provisions for monitoring the AMC;
(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;
(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;
(viii) Minimum of $4,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(I) 3rd Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:
(i) A revocation; and
(ii) Minimum of $7,000 in administrative penalties per act or omission which constitutes a violation(s) of Board Rules, or the AMC Act; each day of a continuing violation is a separate violation.
(J) 4th Time Discipline--violations of the AMC Act or Board rules will result in a final order which imposes one or more of the following:
(i) A revocation; and
(ii) $10,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.
(K) Unlicensed AMC activity will result in a final order which imposes a $10,000 in administrative penalties per unlicensed AMC activity; each day of a continuing violation is a separate violation.
(4) In addition, staff may recommend any or all of the following:
(A) Reducing or increasing the recommended sanction or administrative penalty for a complaint based on documented factors that support the deviation, including but not limited to those factors articulated under paragraph (2) of this section;
(B) Probating all or a portion of any remedial measure, sanction, or administrative penalty for a period not to exceed three years;
(C) Requiring additional reporting requirements;
(D) Payment of costs expended by the Board associated with the investigation, and if applicable, a contested case, including legal fees and administrative costs; and
(E) Such other recommendations, with documented support, as will achieve the purposes of the AMC Act or Board rules.
§159.204.Complaint Processing.
(a) Receipt of a Complaint Intake Form by the Board does not constitute the filing of a formal complaint by the Board against the AMC named on the Complaint Intake Form. Upon receipt of a signed Complaint Intake Form, staff will:
(1) assign the complaint a case number in the complaint tracking system; and
(2) send written acknowledgement of receipt to the complainant.
(b) Priority of complaint investigations. The Board prioritizes and investigates complaints based on the risk of harm each complaint poses to the public. Complaints that pose a high risk of public harm include violations of the AMC Act or Board rules that:
(1) evidence serious deficiencies, including:
(A) Fraud;
(B) Identity theft;
(C) Unlicensed activity;
(D) Ethical violations;
(E) Violations of appraiser independence; or
(F) Other conduct determined by the Board that poses a significant risk of public harm; and
(2) were done:
(A) with knowledge;
(B) deliberately;
(C) willfully; or
(D) with gross negligence.
(c) If the staff determines at any time that the complaint is not within the Board's jurisdiction, or that no violation exists, the complaint will be dismissed with no further processing. The Board or the Executive Director may delegate to staff the duty to dismiss complaints.
(d) A complaint alleging mortgage fraud or in which mortgage fraud is suspected:
(1) may be investigated covertly; and
(2) will be referred to the appropriate prosecutorial authorities.
(e) Staff may request additional information necessary to determine how to proceed with the complaint from any person.
(f) If the TALCB Division requires additional
information from a Respondent during the [As part of a]
preliminary investigative review, a copy of the Complaint Intake Form
and all supporting documentation will be included in the request [sent to the Respondent] unless the complaint qualifies for covert
investigation and the TALCB Division deems covert investigation appropriate.
(g) The Board will:
(1) protect the complainant's identity to the extent possible by excluding the complainant's identifying information from a complaint notice sent to a respondent.
(2) periodically send written notice to the complainant and each respondent of the status of the complaint until final disposition. For purposes of this subsection, "periodically" means at least once every 90 days.
(h) The Respondent must submit a response within 20 days of receiving a copy of the Complaint Intake Form. The 20-day period may be extended for good cause upon request in writing or by e-mail. The response must include the following:
(1) A copy of the appraisal report(s), if any, that is (are) the subject of the complaint;
(2) A copy of the documents or other business records associated with the appraisal report(s), incident(s), or conduct listed in the complaint, with the following signed statement attached to the response: I SWEAR AND AFFIRM THAT EXCEPT AS SPECIFICALLY SET FORTH HEREIN, THE COPY OF EACH AND EVERY BUSINESS RECORD ACCOMPANYING THIS RESPONSE IS A TRUE AND CORRECT COPY OF THE ACTUAL BUSINESS RECORD, AND NOTHING HAS BEEN ADDED TO OR REMOVED FROM THIS BUSINESS RECORD OR ALTERED. (SIGNATURE OF RESPONDENT);
(3) A narrative response to the complaint, addressing each and every item in the complaint;
(4) A list of any and all persons known to the Respondent to have actual knowledge of any of the matters made the subject of the complaint and, if in the Respondent's possession, contact information;
(5) Any documentation that supports Respondent's position that was not in the original documentation, as long as it is conspicuously labeled as additional documentation and kept separate from the original documentation. The Respondent may also address other matters not raised in the complaint that the Respondent believes need explanation; and
(6) a signed, dated and completed copy of any questionnaire sent by Board staff.
(i) Staff will evaluate the complaint within three months of receipt of the response from Respondent to determine whether sufficient evidence of a potential violation of the AMC Act or Board rules exists to pursue investigation and possible formal disciplinary action. If staff determines there is no jurisdiction, no violation exists, or there is insufficient evidence to prove a violation, or the complaint warrants dismissal, including contingent dismissal, under subsection (m) of this section, the complaint will be dismissed with no further processing.
(j) A formal complaint will be opened and investigated by a staff investigator or investigative committee if:
(1) the informal complaint is not dismissed under subsection (i) of this section; or
(2) staff opens a formal complaint on its own motion.
(k) Written notice that a formal complaint has been opened will be sent to the Complainant and Respondent.
(l) The staff investigator or investigative committee assigned to investigate a formal complaint will prepare a report detailing all findings.
[(m) In determining the proper disposition
of a formal complaint pending as of or filed after the effective date
of this subsection, and subject to the maximum penalties authorized
under Chapter 1104, Texas Occupations Code, staff, the administrative
law judge in a contested case hearing and the Board shall consider
the following sanctions guidelines and list of non-exclusive factors
as demonstrated by the evidence in the record of a contested case proceeding.]
[(1) For the purposes of these sanctions guidelines:]
[(A) An AMC will not be considered to have had a prior warning letter, contingent dismissal or discipline if that prior warning letter, contingent dismissal or discipline occurred more than ten years ago;]
[(B) A prior warning letter, contingent dismissal or discipline given less than ten years ago will not be considered unless the Board took final action against the AMC before the date of the incident that led to the subsequent disciplinary action;]
[(C) Prior discipline is defined as any sanction, including an administrative penalty, received under a Board final or agreed order;]
[(D) A violation refers to a violation of any provision of the AMC Act or Board rules;]
[(E) "Minor deficiencies" is defined as violations of the AMC Act or Board rules which do not call into question the qualification of the AMC for licensure in Texas;]
[(F) "Serious deficiencies" is defined as violations of the Act or Board rules which do call into question the qualification of the AMC for licensure in Texas;]
[(G) "Remedial measures" include training, auditing, or any combination thereof; and]
[(H) The terms of a contingent dismissal agreement will be in writing and agreed to by all parties. Staff may dismiss the complaint with a non-disciplinary warning upon written agreement that the Respondent will complete all remedial measures within the agreed-upon timeframe. If the Respondent fails to meet the deadlines in the agreement, the Respondent's license or certification will be automatically set to inactive status until the Respondent completes the remedial measures set forth in the agreement.]
[(2) List of factors to consider in determining proper disposition of a formal complaint:]
[(A) Whether the Respondent has previously received a warning letter or contingent dismissal, and if so, the similarity of facts or violations in that previous complaint to the facts or violations in the instant complaint matter;]
[(B) Whether the Respondent has previously been disciplined;]
[(C) If previously disciplined, the nature of the discipline, including:]
[(i) Whether it concerned the same or similar violations or facts;]
[(ii) The nature of the disciplinary sanctions imposed;]
[(iii) The length of time since the previous discipline;]
[(D) The difficulty or complexity of the incident at issue;]
[(E) Whether the violations found were of a negligent, grossly negligent or a knowing or intentional nature;]
[(F) Whether the violations found involved a single appraisal or instance of conduct or multiple appraisals or instances of conduct;]
[(G) To whom were the appraisal report(s) or the conduct directed, with greater weight placed upon appraisal report(s) or conduct directed at:]
[(i) A financial institution or their agent, contemplating a lending decision based, in part, on the appraisal report(s) or conduct at issue;]
[(ii) The Board;]
[(iii) A matter which is actively being litigated in a state or federal court or before a regulatory body of a state or the federal government;]
[(iv) Another government agency or government sponsored entity, including, but not limited to, the United States Department of Veteran's Administration, the United States Department of Housing and Urban Development, the State of Texas, Fannie Mae, and Freddie Mac;]
[(v) A consumer contemplating a real property transaction involving the consumer's principal residence;]
[(H) Whether Respondent's violations caused any harm, including financial harm, and the amount of such harm;]
[(I) Whether Respondent acknowledged or admitted to violations and cooperated with the Board's investigation prior to any contested case hearing;]
[(J) The business operating history of the AMC, including:]
[(i) The size of the AMC's appraiser panel;]
[(ii) The length of time Respondent has been licensed as an AMC in Texas;]
[(iii) The length of time the AMC has been conducting business operations, in any jurisdiction;]
[(iv) The nature and extent of any remedial measures and sanctions the Respondent had received related to the areas in which violations were found; and]
[(v) Respondent's affiliation with other business entities;]
[(K) Whether Respondent can improve the AMC's practice through the use of remedial measures; and]
[(L) Whether Respondent has voluntarily completed remedial measures prior to the resolution of the complaint.]
[(3) The sanctions guidelines contained herein shall be employed in conjunction with the factors listed in paragraph (2) of this subsection to assist in reaching the proper disposition of a formal complaint:]
[(A) 1st Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in one of the following outcomes:]
[(i) Dismissal;]
[(ii) Dismissal with non-disciplinary warning letter;]
[(iii) Contingent dismissal with remedial measures.]
[(B) 1st Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in one of the following outcomes:]
[(i) Contingent dismissal with remedial measures;]
[(ii) A final order which imposes one or more of the following:]
[(I) Remedial measures;]
[(II) Required adoption and implementation of written, preventative policies or procedures;]
[(III) A probationary period with provisions for monitoring the AMC;]
[(IV) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(V) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(VI) Minimum of $1,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(C) 1st Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:]
[(i) A period of suspension;]
[(ii) A revocation;]
[(iii) Remedial measures;]
[(iv) Required adoption and implementation of written, preventative policies or procedures;]
[(v) A probationary period with provisions for monitoring the AMC;]
[(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(D) 2nd Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in one of the following outcomes:]
[(i) Dismissal;]
[(ii) Dismissal with non-disciplinary warning letter;]
[(iii) Contingent dismissal with remedial measures;]
[(iv) A final order which imposes one or more of the following:]
[(I) Remedial measures;]
[(II) Required adoption and implementation of written, preventative policies or procedures;]
[(III) A probationary period with provisions for monitoring the AMC;]
[(IV) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(V) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(VI) Minimum of $1,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(E) 2nd Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in a final order which imposes one or more of the following:]
[(i) A period of suspension;]
[(ii) A revocation;]
[(iii) Remedial measures;]
[(iv) Required adoption and implementation of written, preventative policies or procedures;]
[(v) A probationary period with provisions for monitoring the AMC;]
[(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(F) 2nd Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:]
[(i) A period of suspension;]
[(ii) A revocation;]
[(iii) Remedial measures;]
[(iv) Required adoption and implementation of written, preventative policies or procedures;]
[(v) A probationary period with provisions for monitoring the AMC;]
[(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(viii) Minimum of $4,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(G) 3rd Time Discipline Level 1--violations of the AMC Act or Board rules which evidence minor deficiencies will result in a final order which imposes one or more of the following:]
[(i) A period of suspension;]
[(ii) A revocation;]
[(iii) Remedial measures;]
[(iv) Required adoption and implementation of written, preventative policies or procedures;]
[(v) A probationary period with provisions for monitoring the AMC;]
[(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(viii) Minimum of $2,500 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(H) 3rd Time Discipline Level 2--violations of the AMC Act or Board rules which evidence serious deficiencies will result in a final order which imposes one or more of the following:]
[(i) A period of suspension;]
[(ii) A revocation;]
[(iii) Remedial measures;]
[(iv) Required adoption and implementation of written, preventative policies or procedures;]
[(v) A probationary period with provisions for monitoring the AMC;]
[(vi) Monitoring and/or preapproval of AMC panel removals for a specified period of time;]
[(vii) Monitoring and/or preapproval of the licensed activities of the AMC for a specified time period or until specified conditions are satisfied;]
[(viii) Minimum of $4,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(I) 3rd Time Discipline Level 3--violations of the AMC Act or Board rules which evidence serious deficiencies and were done with knowledge, deliberately, willfully, or with gross negligence will result in a final order which imposes one or more of the following:]
[(i) A revocation; and]
[(ii) Minimum of $7,000 in administrative penalties per act or omission which constitutes a violation(s) of Board Rules, or the AMC Act; each day of a continuing violation is a separate violation.]
[(J) 4th Time Discipline--violations of the AMC Act or Board rules will result in a final order which imposes one or more of the following:]
[(i) A revocation; and]
[(ii) $10,000 in administrative penalties per act or omission which constitutes a violation(s) of the AMC Act or Board rules; each day of a continuing violation is a separate violation.]
[(K) Unlicensed AMC activity will result in a final order which imposes a $10,000 in administrative penalties per unlicensed AMC activity; each day of a continuing violation is a separate violation.]
[(4) In addition, staff may recommend any or all of the following:]
[(A) Reducing or increasing the recommended sanction or administrative penalty for a complaint based on documented factors that support the deviation, including but not limited to those factors articulated under paragraph (2) of this subsection;]
[(B) Probating all or a portion of any remedial measure, sanction, or administrative penalty for a period not to exceed three years;]
[(C) Requiring additional reporting requirements;]
[(D) Payment of costs expended by the Board associated with the investigation, and if applicable, a contested case, including legal fees and administrative costs; and]
[(E) Such other recommendations, with documented support, as will achieve the purposes of the AMC Act or Board rules.]
(m) [(n)] The Board may order
a person regulated by the Board to refund the amount paid by a consumer
to the person for a service regulated by the Board.
(n) Payment of an administrative penalty must be submitted in a manner acceptable to the to the Board. Payment authorized to be submitted online may be subject to fees set by the Department of Information Resources that are in addition to the administrative penalty assessed by the Board.
(o) Agreed resolutions of complaint matters pursuant to Texas Occupations Code §1104.2081 must be signed by:
(1) The Board Chair or if the Board Chair is unavailable or must recuse him or herself, the Board Chair's designee, whom shall be (in priority order) the Board Vice Chair, the Board Secretary, or another Board member;
(2) Respondent;
(3) A representative of the TALCB Division; and
(4) The Executive Director or his or her designee.
The agency certifies that legal counsel has reviewed the proposal and found it to be within the state agency's legal authority to adopt.
Filed with the Office of the Secretary of State on November 20, 2024.
TRD-202405626
Kathleen Santos
General Counsel
Texas Appraiser Licensing and Certification Board
Earliest possible date of adoption: January 5, 2025
For further information, please call: (512) 936-3088