TITLE 25.HEALTH SERVICES

Part 1. TEXAS DEPARTMENT OF HEALTH

Chapter 14. COUNTY INDIGENT HEALTH CARE PROGRAM

The Texas Department of Health (department) adopts the repeal of §§14.2, 14.401-14.406, amendments to §§14.1, 14.101-14.102, 14.104-14.105, 14.201-14.205 and new §14.2 concerning the County Indigent Health Care Program (CIHCP). Sections 14.1, 14.101, 14.201, and 14.204 are adopted with changes to the proposed text as published in the October 29, 1999 issue of the Texas Register (24 TexReg 9516). Sections §14.2, 14.102, 14.104, 14.105, 14.202-14.203, 14.205 and the repeal of §§14.2 and 14.401-14.406 are adopted without change and therefore the sections will not be republished.

The repeal, amendments, and new section comply with House Bill 1398 and Chapter 61, Health and Safety Code, which requires that the standards and procedures used to determine eligibility must be consistent with the Temporary Assistance to Needy Families (TANF) and Medicaid standards and procedures.

Pursuant to Government Code §2001.039, each state agency is required to review and consider for readoption each rule adopted by that agency. The sections have been reviewed and the department has determined that reasons for adopting the sections continue to exist. Sections 14.103, 14.106-14.108, 14.301, and 14.302 are being readopted without any changes.

The department published a Notice of Intention to Review for §§14.1; 14.2; 14.101-14.108; 14.201-14.205; 14.301; 14.302; and 14.401-14.406 as required by Rider 167 in the Texas Register (23 TexReg 9077) on September 4, 1998. No comments were received by the department due to publication of this notice.

The following written comments were received. A public hearing was held on January 13, 2000, but no persons who wished to comment were present.

Comment: Concerning §14.201(a)(11), a comment was received that the term Nurse Practitioner (NP) replace Advanced Practice Nurse (APN), and a category of Clinical Nurse Specialist (CNS) be added that could provide psychotherapy.

Response: The department diasagrees because Medicaid does not have a provider category of NP or CNS services. No change was made as a result of this comment.

Comment: Concerning §14.201(a)(11), a comment was received that APN services include performing annual physicals and ordering associated testing, diabetic supplies, colostomy supplies, psychotherapy, and durable medical equipment.

Response: The department agrees and language was added to §14.201(7)-(10) to indicate that an APN can provide services within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners.

Comment: Concerning §14.201(b)(6) two comments were received that suggested the language concerning Certified Registered Nurse Anesthestist (CRNA) services delete all language regarding physician supervision.

Response: The department disagrees, but did change the wording to correspond to the supervision language for Medicaid as defined in 25 TAC §29.502(a) and 25 TAC §29.2101 that states that CRNA services must be prescribed and supervised by a physician (MD or DO), dentist, or podiatrist, who must be licensed in the state in which he or she practices.

Comment: Concerning §14.201(b)(8), a comment was received requesting humulin pens be included in the diabetic supplies as an optional service.

Response: The department agrees and a change was made to include humulin pens in the diabetic supplies as an optional service because they are covered in the Medicaid Vendor Drug Program.

The department is making the following changes due to staff comments.

Change: Concerning §14.1(e)(3), language was added relating to a county that provides indigent health care services to its eligible residents through a hospital established by a board of managers jointly appointed by a county and a municipality was added as a result of House Bill 1398.

Change: Concerning §14.101(h)(2), a semicolon was inserted to correct punctuation.

Change: Concerning §14.204(h)(4)(C)(iii), mandatory services was changed to basic and department approved optional services.

Subchapter A. COUNTY PROGRAM ADMINISTRATION

25 TAC §14.1

The amendment is adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

§14.1.County Program Administration.

(a)

Definitions. The following words and terms, when used in this section, shall have the following meanings, unless the context clearly indicates otherwise:

(1)

A county refers to:

(A)

a county not fully served by a public hospital or a hospital district; or

(B)

a county that provides indigent health care services to its eligible residents through a hospital established by a board of managers jointly appointed by a county and a municipality.

(2)

Day on which county expends funds--The county expends funds on the day the county writes a check paying for a bill.

(3)

Days--Calendar days.

(4)

Eligibility staff--Individuals who determine program eligibility. These individuals may be county officials, county personnel, or persons determining program eligibility under contract with the county. If the term "staff" is used alone, it has the same meaning.

(5)

General revenue tax levy (GRTL) - The county's annual general revenue tax levy. The GRTL includes all county property taxes and sales and use tax revenue that the county expects to receive in the calendar year in which the state fiscal year begins. Sales and use tax revenue is collected under the County Sales and Use Tax Act in compliance with the Tax Code, §26.042(c). The GRTL excludes the $.30 county tax for farm-to-market roads or flood control (lateral road fund) and the $.15 county tax for maintenance of public roads (special road and bridge fund). The GRTL used to establish the county's 8.0% limit for the County Indigent Health Care Program in the coming state fiscal year is the county's adjusted GRTL as of July 31 of the current year minus the amount of revenue dedicated for program services in the previous year. In counties partially served by a hospital district, the counties' 8.0% limit is based on the GRTL for the property outside the area served by the hospital district.

(6)

Public facility--A public hospital or a hospital district owned, operated, or leased by a hospital district.

(7)

Public hospital--A hospital owned, operated, or leased by a county, city, town, hospital authority, or other political subdivision of the state, excluding a hospital district and hospital authority. A hospital is not considered to be a public hospital for the purposes of providing indigent care if the hospital:

(A)

is owned, operated, or leased by a city with a population of less than 5,500, according to the most recent federal decennial census;

(B)

was leased before January 1, 1981, by a city that at the time of the lease did not have a legal obligation to provide indigent care;

(C)

was established under Texas Civil Statutes, Article 4494i-1; or

(D)

was leased to a nongovernmental person or entity at the time of sale and was sold on or after January 1, 1988, to a nongovernmental purchaser.

(8)

State fiscal year--The 12-month period beginning September 1 of each calendar year and ending August 31 of the following calendar year.

(b)

County responsibility for an indigent health care program. Each county without a public facility legally obligated to serve the entire county must administer a county indigent health care program that serves all or that portion of the county not served by a public facility. The county's program must provide basic health care services to eligible county residents who do not live in a county area served by a public facility. A county that adopts a property tax rate exceeding 8.0% (as calculated under the Tax Code, §26.04) and designates a portion of that tax rate for basic health care services must spend the revenues produced by that portion of the designated rate for basic health care services only. If a county owns a public hospital, and the county sells or leases the hospital to another party, the terms of the sale or lease agreement determine the type and level of county responsibility. If the sale or lease represents the county's attempt to totally divest itself of the public hospital or reduce the level of services provided by the hospital, the Indigent Health Care and Treatment Act, Subtitles D and E, apply.

(c)

General administrative requirements. Each county required to administer a program must:

(1)

provide public notice and make a reasonable effort to notify the public, at the beginning of the state's fiscal year, of the county's eligibility standards, and the county's application, documentation, and verification procedures and the verification and documentation procedures that applicants must comply with to establish eligibility;

(2)

establish an application procedure;

(3)

furnish each applicant with a written application form;

(4)

assist applicants in completing the application form and the application process, and inform applicants that this assistance is available;

(5)

require applicants to sign a written statement swearing to the truth of the information they supply;

(6)

determine eligibility within 14 days after the date a completed application is received;

(7)

provide applicants with a written notice of the eligibility decision. Each county must include on its notice to denied applicants the reason for denial and an explanation of the county's appeal process;

(8)

inform approved households that they must report any changes in income and resources within 14 days after the date the change occurs;

(9)

review the eligibility of each household at least once every six months;

(10)

develop a process for reviewing denied cases and for hearing appeals requested by households that are denied assistance;

(11)

maintain a case record for each eligible and denied applicant. Case records for denied applicants must be maintained for a minimum of three state fiscal years after the relevant state fiscal year;

(12)

allow denied applicants to resubmit an application whenever circumstances justify an eligibility redetermination.

(13)

All counties required to provide indigent health care shall submit annual financial reports to the department. A county satisfies the annual reporting requirements if the county submits information to the department as required by law to obtain an annual distribution under the Agreement Regarding Disposition of Settlement Proceeds filed on July 24, 1998, in the United States District Court, Eastern District of Texas, in the case styled The State of Texas v. The American Tobacco Co., et al., No. 5-96CV-91.

(d)

County administrative option.

(1)

Counties may administer or may contract with others to administer a program that uses:

(A)

the eligibility policies; the application, documentation, and verification procedures; and the service definitions contained in this chapter; or

(B)

county-developed standards and procedures that are less restrictive than those contained in this chapter.

(2)

Counties may change eligibility standards to make them more or less restrictive than their preceding standards. However, the new standards can be no more restrictive than those contained in Subchapter B of this chapter (relating to Determining Eligibility).

(3)

If a city in the county with a population below 15,000 according to the last federal census owns, operates, or leases a public hospital, the city and county may enter into an agreement transferring part of the public hospital's indigent health care responsibility to the county. The transfer agreement is irrevocable and cannot be amended unless a hospital district is created after the effective date of the agreement and the boundaries of the district cover all or part of the county. It must:

(A)

specify that the county is assuming the hospital's responsibility for paying other providers for services delivered to eligible city residents on an emergency basis or because the service is unavailable at the hospital;

(B)

require that the city public hospital continues to otherwise provide health care services to eligible city residents as required by law;

(C)

occur by August 31, 1989, by adoption of an ordinance, resolution, or order by the commissioners' court and city governing body; and

(D)

take effect on a September 1, within two years after the date of the agreement.

(4)

The county and city must establish coordinated application and eligibility verification procedures that comply with subsection (c) of this section and the Indigent Health Care and Treatment Act, §10.03. These procedures must ensure the efficient and timely referral of the eligible city residents to the proper city or county entity. County expenditures for services made under the terms of the agreement are creditable towards the county's 8.0% limit if the city resident otherwise meets the eligibility standards contained in Chapter 4 of this title (relating to Determining Eligibility). County expenditures for coordinating application and verification procedures cannot be credited towards the county's 8.0% limit. Within 30 days after the agreement is made, the city and county must notify the department of the agreement and its effective date and send the department a copy of all ordinances, resolutions, or other orders pertaining to the County Indigent Health Care Program agreement.

(5)

Upon county request, the Texas Medicaid or Vendor Drug Program will reimburse the counties for basic services provided to otherwise eligible county residents appealing a social security disability determination denial and who are later determined to be retroactively SSI/Medicaid-eligible. County eligibility for reimbursement is subject to §14.204(h) and (i) of this title (relating to Services and Payment Liability, Limitations, and Options). Reimbursement is available only for services covered by the Texas Medicaid or Vendor Drug Program.

(e)

State assistance fund.

(1)

The Texas Department of Health (department) is responsible for distributing state assistance to eligible counties to the extent appropriated state funds are available.

(2)

A county is eligible for the state assistance fund only if the county:

(A)

complied with the eligibility policies and the application, documentation, and verification procedures contained in this chapter; and

(B)

expended 8.0% of the applicable GRTL in the state fiscal year for the provision of basic and department approved optional health care services to eligible county residents;

(C)

the department may waive the requirement that the county meet the minimum expenditure level and provide state assistance at a lower level determined by the department. The county must submit the waiver request to the department prior to the beginning of the state fiscal year for which the waiver is being requested. The department must make a determination on the request not later than 90 days after the department's receipt of the request and shall notify the county of their determination. The county must demonstrate on their waiver request, through an appropriate actuarial analysis, that the county is unable to satisfy the 8.0% GRTL level based on the following:

(i)

although the county's GRTL has increased significantly, expenditures for health care services have not increased by the same percentage; or

(ii)

the county is at the maximum allowable ad valorem tax rate, has a small population, or has insufficient taxable property.

(3)

Counties may not credit expenditures towards eligibility for state assistance if the expenditures are for a resident eligible under less restrictive eligibility standards but ineligible under the department eligibility standards, except for net income standards up to 50% of the Federal Poverty Income Limits (FPIL). A county that provides indigent health care services to its eligible residents through a hospital established by a board of managers jointly appointed by a county and a municipality may use less restrictive eligibility and resource standards and may credit expenditures towards eligibility for state assistance. If a county has a contract with a state agency to provide basic services to eligible county residents in a hospital maintained or operated by the state agency, the county may credit all expenditures for a county resident eligible under the department or less restrictive county standards.

(4)

The department distributes funds to eligible counties based on a maximum annual allocation for each county potentially eligible for state assistance, subject to funding. The maximum annual allocation for each county will be based on such factors as spending history, population, and the number of residents living below the Federal Poverty Income Limit. The maximum annual allocation will be recomputed at least every six months. The minimum annual allocation, subject to funding, will be no less than the average of what a county would have received in state fiscal years 1997, 1998, and 1999 at the 8.0% GRTL threshold with a 90% state match. At the end of the state fiscal year the department may reallocate the distribution of money to eligible counties.

(f)

Eligibility requirements for counties applying for state assistance.

(1)

Each county that plans to credit expenditures towards eligibility for the state assistance fund must:

(A)

comply with the eligibility standards and the application, documentation, and verification procedures contained in this chapter. County use of the department application for assistance form, the eligibility worksheet, and the monthly financial/activity report is also required. County use of other department forms is not required if the county substitutes a similar form with the same content as the department form;

(B)

notify the department by telephone as soon as possible before the dates on which the county anticipates it will expend both 6.0% and 8.0% of its GRTL. The telephone calls reporting these expenditure levels must occur no later than the date on which the county reaches these expenditure levels;

(C)

notify the department in writing within seven days after the county telephones the department to report that the county has reached the 6.0% expenditure level. The county must also notify the department and the county's mandated providers in writing within seven days after the county telephones the department to report that the county has reached the 8.0% expenditure level;

(D)

use adequate, auditable accounting records and procedures that establish a clear, accurate audit trail for each expenditure;

(E)

complete and submit reports prescribed by the department to the department within 10 days after the end of each month. All counties that are eligible to receive state assistance must submit monthly financial reports covering the 12-month period preceding the date on which state assistance is sought.

(F)

complete and submit a State of Texas purchase voucher to the department to claim state matching funds;

(G)

maintain a case record for each eligible and denied resident;

(H)

cooperate fully with the department by providing any and all information requested by the department in an audit of county records or a review of county eligibility for state assistance;

(I)

maintain all records and vouchers for three state fiscal years after the relevant state fiscal year; and

(J)

report the county's GRTL, as shown in county records on July 31 of each year, to the State Property Tax Board no later than October 1 of the same year. If part of the county is served by a hospital district, request the county appraisal district to determine the GRTL of county propertylocated outside the area served by a hospital district.

(2)

Counties may not credit payments for the following towards eligibility for state assistance:

(A)

ineligible individuals;

(B)

non-basic or department non-approved optional services;

(C)

amounts for basic or department approved optional services that exceed the payment rates established by the department;

(D)

basic or department approved optional services if:

(i)

a physician provides the service and does not certify in writing that the service was medically necessary; or

(ii)

a nonphysician provides the service and does not certify in writing that the service was ordered by a physician;

(E)

county program administrative expenses.

(3)

Counties may also credit toward eligibility for state assistance the value of health care services credited or paid in a state fiscal year and provided to county residents eligible under the eligibility and payment standards established by the department in Subchapters B, C, and D of this chapter (relating to Determining Eligibility, Providing Services, and Care Management) under the following types of contracts:

(A)

a health care provider and a county entered into a contract, on or before January 1, 1985, require that the provider furnish a certain level of mandatory health care services to eligible county residents; or

(B)

the terms of a sales contract between a county and a purchaser of the county's hospital require the purchaser to provide inpatient and outpatient hospital services. The sale must have occurred on or after January 1, 1988, and the hospital must have been:

(i)

leased to a nongovernmental person or entity at the time of sale; and

(ii)

purchased by a nongovernmental person or entity.

(g)

Determining county eligibility for state assistance.

(1)

Within 30 days from the date the department receives written notification that the county expended 6.0% of its GRTL for basic and department approved optional services for eligible residents, the department must:

(A)

complete a review of the county's eligibility system;

(B)

provide the county with a report of the findings of the review; and

(C)

provide information relevant to a department audit of the country's financial accounting system.

(2)

If the eligibility systems review does not identify any serious deficiencies in the county's eligibility system, the county is eligible for state assistance when it reaches the 8.0% expenditure level. If deficiencies are identified, the county must correct the deficiencies before claiming state assistance funds.

(h)

The department state-assistance-fund audits.

(1)

The department may routinely audit a county that receives state assistance funds. The audit may occur after the state assistance fund is depleted or at the end of the state fiscal year.

(2)

A county may request an administrative review of the department audit report if the county disagrees with the report findings. The county requests an administrative review by sending written notice, an explanation of the county's reason for disagreement, and all relevant information to the department Indigent Health Care Policy Section. The county's written request must be postmarked within 30 days from the date of the county's audit exit conference.

(3)

If the policy section does not receive a written request for administrative review as stipulated in paragraph (2) of this subsection, the findings of the department audit report are final.

(4)

The policy section must determine the accuracy of the department audit report and notify the county of its decision by letter postmarked within 30 days from the date the department received the county's audit.

(5)

If the county disagrees with the policy section's decision on the audit report, the county may file a request to appeal the policy section's decision with the department's office of the general counsel. The county must send its written request appealing the policy section's decision, and all other relevant information, within 14 days from the date the county received the policy section's decision.

(6)

The office of the general counsel conducts the appeal hearing according to the department's contract appeal rules.

(i)

The department administration of state assistance funds. The following procedures are established to assist the department in its administration of state assistance funds and to assist counties in the management of their programs.

(1)

After a county reaches the 6.0% GRTL expenditure level, the county must contact the department by telephone immediately before any commissioners court meets to authorize program expenditures; the county must report the amount of expenditures the court will be asked to authorize and the amount of any other unpaid bills for services.

(2)

After a county reaches the 8.0% expenditure level, the county must contact the department by telephone to encumber available state assistance funds to match expenditures that the commissioners court will be asked to authorize.

(A)

The department provides the county with an approval code number for the state-assistance-encumbered funds.

(B)

The county must complete the State of Texas purchase voucher form, enter the approval code number for the encumbered funds on the voucher, and submit the voucher to the department within 30 days after the commissioners court authorizes the expenditures. If the county does not submit the purchase voucher within the 30-day period, the encumbered state assistance funds become unencumbered.

(3)

The department prepares a weekly report on the status of the state assistance fund after 50% of the fund is expended, and the department sends the report to counties that reported reaching the 6.0% expenditure level.

(4)

The department cannot ensure that a county will expend only the amount it is legally obligated to spend on its program unless the county complies with the requirements contained in this section.

(5)

If a county underclaims state assistance funds for a state fiscal year, and state assistance funds for that fiscal year are expended, the department cannot match the underclaimed county expenditures.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001863

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


25 TAC §14.2

The repeal is adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001864

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


The new section is adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001865

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


Subchapter B. DETERMINING ELIGIBILITY

25 TAC §§14.101, 14.102, 14.104, 14.105

The amendments are adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

§14.101.Application Processing.

(a)

The following words and terms, when used in Subchapters (B)-(E) of this chapter (relating to Determining Eligibility, Providing Services, and Case Management, shall have the following meanings, unless the context clearly indicates otherwise:

(1)

Application completion date--The date the county receives a complete Application for Assistance Form.

(2)

Application file date--The date the county first received an identifiable application.

(3)

Complete application--An application with:

(A)

the applicant's full name and address;

(B)

the applicant's social security number, if available;

(C)

the names of all other household members (excluding AFDC, Medicaid, or SSI recipients) and their relationship to the applicant;

(D)

the applicant's county of residence;

(E)

information about any medical insurance and hospital or health care benefits the household members receive;

(F)

the gross monthly income of each household member;

(G)

information about the assets and property that the household members own and the equity value of any vehicles or property;

(H)

the applicant's signature and the date the form is filled out; and

(I)

all needed verifications.

(4)

Identifiable application--An application that minimally contains the applicant's name, address, signature, and the date signed.

(5)

SSI--Supplemental security income.

(6)

SSDI--Social security disability income.

(7)

Social security disability denial--A Social Security Administration denial of either SSI and/or SSDI when disability is the basis for application.

(8)

SSI/SSDI appellant--A person appealing a supplemental security income and/or social security disability income denial.

(9)

Temporary Assistance to Needy Families (TANF)--Name change for the Aid to Families with Dependent Children (AFDC) program.

(b)

The applicant for indigent health care or his representative may request an application form by contacting the office designated by the county or a provider participating in the program. If the applicant wants help in completing the form, he may request that eligibility staff assist him.

(c)

Eligibility staff must mail or give the Texas Department of Health (department) Application for Assistance Form to the applicant or his representative on the same day the request is received. Eligibility staff must briefly explain the application process and applicant's responsibilities to the requestor.

(d)

The applicant is responsible for correctly filling out the form; providing all needed verification for all eligible household members; and reporting any individual, entity, or other third party legally liable for all or any part of the cost of health care services received by the household during the period of county program eligibility. The applicant must provide the county with necessary information about the third party. If the applicant is married and his spouse is a household member, the spouse must also sign the form. By signing the form, the applicant, spouse, or authorized representative assign, to the county, the household's rights to recovery of health care costs from any individual, entity, or other third party legally liable for any health care services paid by the county, and swear to the truth of the information supplied. Persons that intentionally misrepresent information to receive benefits they are not entitled to receive:

(1)

are responsible for reimbursing the county for the cost of benefits they were ineligible to receive; and

(2)

may be subject to prosecution under the Texas Penal Code.

(e)

If the applicant requests help in completing the application process, eligibility staff must assist the applicant in correctly filling out the form and completing the process. Anyone who helped fill out the application form must sign it.

(f)

If the applicant is not physically or mentally able to complete the application form, his spouse, relative, or other representative may complete and sign the form for him.

(g)

Eligibility staff may determine eligibility without interviewing the applicant. Interviews may be face-to-face or by telephone.

(h)

Eligibility staff must not accept an application for processing unless it is identifiable.

(i)

Eligibility staff must enter on the identifiable Application for Assistance Form the date they accept the form. This date is the application file date.

(j)

Eligibility staff must screen the application to determine any missing components. Eligibility staff must determine if the application is complete or incomplete.

(k)

If the application is complete, eligibility staff must determine if the applicant is eligible or ineligible within 14 days after the complete application is received. A provider may consider a patient automatically eligible if the 14-day processing limit is not met. By the 14th day, eligibility staff must give or send a notice of his eligibility or denial. The grounds for denial include but are not limited to income over the income limits; resources over the resource limits; failure to provide verification or information; failure to keep appointment; failure to return review application; failure to comply with requirements to obtain other assistance; not being a resident of the county; being a recipient of Medicaid; or voluntary withdrawal.

(1)

Eligibility staff must enter the application completion date on the eligibility worksheet.

(2)

Eligibility staff must consider each eligibility factor and document the basis for the eligibility decision on the department eligibility worksheet.

(3)

Notice of approval to the applicant must include information about the services he is entitled to receive and his rights and responsibilities.

(l)

If eligibility staff determine an identifiable application is incomplete because it is missing some components of a complete application, other than verification of ineligibility for AFDC, SSI, or Medicaid:

(1)

eligibility staff must give or mail the applicant the Eligibility Verification Form, identify the needed information, and request that the applicant provide the information within 14 days;

(2)

by the end of 14 days, eligibility staff must:

(A)

process the complete application if the applicant has provided the requested information in accordance with subsection (k) of this section; or

(B)

give or send the Notice of Ineligibility Form to the applicant and any provider who assisted in the application process if the applicant did not provide the requested information.

(m)

If eligibility staff determine an identifiable application is incomplete only because verification of ineligibility for TANF, Medicaid, or SSI is needed, eligibility staff must give or mail the applicant the Eligibility Verification Form and the Case Information Release Form. Eligibility staff must:

(1)

use the Eligibility Verification Form to:

(A)

inform the applicant that:

(i)

his eligibility cannot be determined until his ineligibility for TANF, Medicaid, or SSI is verified by the appropriate program; and

(ii)

he has 14 days to provide proof of application or appointment for application to the appropriate program; and

(B)

refer the applicant to:

(i)

the Department of Human Services for a TANF or Medicaid application, if eligibility for these programs is likely; or

(ii)

the Social Security Administration for an SSI application if the applicant is seriously disabled, terminally ill, or age 65 or over;

(2)

deny the incomplete application if the applicant does not provide proof of application or appointment for application to the appropriate program by the 14th day, and give or send the applicant (and provider, if appropriate) the Notice of Ineligibility Form for failure to cooperate with the county application process. If the applicant provides the required proof, periodically check with the appropriate program to determine the status of the eligibility decision;

(3)

request the applicant to provide notice of eligibility or ineligibility when he receives it. If the applicant is:

(A)

ineligible for TANF, Medicaid, or SSI, eligibility staff process the complete application for current and retroactive eligibility in accordance with subsection (k) of this section;

(B)

eligible for TANF, Medicaid, or SSI, eligibility staff give or send a notice of denial to the applicant and any provider who assisted in the application process.

(n)

An approved household is retroactively eligible for services beginning with the first calendar day in any one or all of the three months before the identifiable application was received if:

(1)

the household met all eligibility requirements;

(2)

the household received basic or department approved optional services; and

(3)

the bills for these services are unpaid.

(o)

Current eligibility begins on the first calendar day in the:

(1)

month an identifiable application was filed, if the applicant was otherwise eligible for that month; or

(2)

earliest month after the month the identifiable application was filed in which all eligibility requirements were met, if not eligible in the month the application was filed.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001866

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


Subchapter C. PROVIDING SERVICES

25 TAC §§14.201 - 14.205

The amendments are adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

§14.201.Required and Optional Services, and Their Definitions.

(a)

Except as specified in §14.202 of this title (relating to Exclusions and Limitations), counties are required to provide the following services to eligible households by reimbursing providers of services who meet the requirements of the Indigent Health Care and Treatment Act, this chapter, and the responsible county.

(1)

Inpatient hospital services. Services must be medically necessary and:

(A)

provided in a licensed hospital;

(B)

provided to hospital inpatients;

(C)

provided under the direction of a physician (MD or DO); and

(D)

provided for diagnosis or treatment.

(2)

Outpatient hospital services. Services must be medically necessary and:

(A)

must be diagnostic, therapeutic, rehabilitative, or palliative;

(B)

furnished to hospital outpatients;

(C)

furnished by or under the direction of a physician (MD or DO); and

(D)

furnished by a licensed hospital facility.

(3)

Physician services. Services must be medically necessary and provided by a medical or an osteopathic doctor in the doctor's office, a hospital, a skilled nursing facility, or elsewhere.

(4)

Up to three prescriptions for drugs per recipient per month. New and refilled prescriptions count equally towards this total prescription limit. Drugs must be prescribed by a physician or other licensed practitioner within the scope of practice under law.

(5)

Skilled nursing facility services. Services must be medically necessary, ordered by a physician, and provided in a licensed, skilled nursing facility that provides daily services on an inpatient basis.

(6)

Rural health care clinic services. Primary health care services must be provided in a licensed or an approved rural health clinic by a physician, a physician's assistant, a nurse practitioner, a nurse midwife, or other specialized nurse practitioner.

(7)

Family planning services. These are services that enable individuals to limit family size or space their children and to prevent or reduce births out of wedlock.

(8)

Laboratory and x-ray services. These are technical laboratory and radiological services ordered and provided by or under the direction of a physician (MD or DO) in an office or a similar facility other than a hospital outpatient department or clinic. An independent laboratory must be certified.

(9)

Immunizations.

(10)

Medical screening services, including blood pressure, blood sugar, and cholesterol.

(11)

Annual physical examinations, once per calendar year, can be provided by a M.D., a D.O, or a P.A. Associated testing such as mammograms can be covered with a physician's referral. These services may also be provided by an Advanced Practice Nurse (APN) if they are within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners and published in 22 Texas Administrative Code §221.13.

(b)

The following services are optional services. A county must notify the department of the county's intent to provide any of the following services prior to the beginning of a state fiscal year. If the services are approved by the department or if the department fails to notify the county of the department's disapproval before the 31st day after the date the department receives the county's request, the county may credit the services toward eligibility for state assistance for the state fiscal year following the date of the request. A county must notify the department in writing if they decide to discontinue providing any of the optional services that were department approved. (For state fiscal year 2000 only, a county must notify the department of the county's intent to provide any of the following services within 45 days of the final adoption of these rules. If approved by the department, the county may credit these services toward eligibility for state assistance the month following the date of the approval.)

(1)

Ambulatory surgical center (ASC) services. These services must be provided in a Title XIX Medicaid enrolled ASC, and are limited to items and services furnished in reference to an ambulatory surgical procedure, including those services on the HCFA approved list and selected Medicaid-only procedures.

(2)

Federally Qualified Health Center (FQHC) services. These services must be provided in an approved FQHC by a physician, a physician's assistant, a nurse practitioner, a clinical psychologist, or a clinical social worker.

(3)

Physician assistant (PA) services. These services must be medically necessary and provided by a PA under the direction of a M.D. or a D.O. and must be billed by and paid to the supervising physician.

(4)

Advanced practice nurse (APN) services. These services must be medically necessary and provided within the scope of practice of an APN and covered in the Texas Medicaid Program when provided by a licensed physician.

(5)

Certified nurse midwife (CNM) services. These services must be medically necessary and provided within the scope of practice of the CNM, and covered by the Texas Medicaid Program when provided by a licensed physician.

(6)

Certified registered nurse anesthetist (CRNA) services. These services must be medically necessary; provided within the scope of practice of a CRNA; and prescribed and supervised by a physician, dentist, or podiatrist who must be licensed in the state in which they practice.

(7)

Counseling services. Psychotherapy services must be medically necessary based on a physician referral and provided by a licensed professional counselor (LPC), a licensed master social worker-advanced clinical practitioner (LMSW-ACP), a licensed marriage family therapist (LMFT), or a PhD psychologist. These services may also be provided based on an APN referral if the referral is within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners and published in 22 Texas Administrative Code §221.13.

(8)

Diabetic medical supplies and equipment. These supplies and equipment must be medically necessary and prescribed by a physician. The county may require the supplier to receive prior authorization. Items covered are lancets, alcohol prep pads, syringes, test strips, humulin pens and glucometers. These supplies and equipment may also be prescribed by an APN if this is within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners and published in 22 Texas Administrative Code §221.13.

(9)

Colostomy medical supplies and equipment. These supplies and equipment must be medically necessary and prescribed by a physician. The county may require the supplier to receive prior authorization. Items covered are colostomy bags/pouches; cleansing irrigation kits, paste or powder; and wafers. These supplies and equipment may also be prescribed by an APN if this is within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners and published in 22 Texas Administrative Code §221.13.

(10)

Durable medical equipment. This equipment must be medically necessary; meet the Medicare/Medicaid requirements; and provided under a written, signed and dated physician's prescription. The county may require the supplier to receive prior authorization. Items can be rented or purchased whichever is the least costly. Items covered are crutches, canes, walkers, standard wheel chairs, hospital beds, TENS units, home oxygen equipment (including masks, oxygen hose, and nebulizers) and reasonable and appropriate appliances for measuring blood pressure. These supplies and equipment may also be prescribed by an APN if this is within the scope of their practice in accordance with the standards established by the Board of Nurse Examiners and published in 22 Texas Administrative Code §221.13.

(11)

Home and community health care services. These services must be medically necessary; meet the Medicare/Medicaid requirements; and provided by a certified home health agency. A plan of care must be recommended, signed, and dated by the recipient's attending physician prior to care being given. The county may require prior authorization. Items covered are R.N. visits for skilled nursing observation, assessment, evaluation, and treatment provided a physician specifically requests the R.N. visit for this purpose. A home health aide to assist with administering medication is also covered. Visits made for performing housekeeping services are not covered.

(12)

Dental care. These services must be medically necessary and provided by a DDS, a DMD, or a DDM. The county may require prior authorization. Items covered are an annual routine dental exam and the least costly service for emergency dental conditions for the removal or filling of a tooth due to abscess, infection or extreme pain.

(13)

Vision care, including eyeglasses. The county may require prior authorization. Items covered are one examination of the eyes by refraction and one pair of prescribed glasses meeting the Medicaid requirements every 24 months.

§14.204.Services and Payment Liability, Limitations, and Options.

(a)

This section defines county liability. Counties are liable for payment for basic and department approved optional services unless an eligible county resident:

(1)

is adequately covered for the services through another public or private health care source. A service is adequately covered if the health care source pays an amount equal to the appropriate payment standard specified in §14.203 of this title (relating to Payments for Basic and Department Approved Optional Services). If the health care source pays less than the appropriate payment standard, the county is responsible for the amount remaining up to the payment standard amount;

(2)

receives services in a hospital that is out of compliance with a Hill-Burton obligation to provide free services to indigent persons. The county may require the hospital to verify that it is in compliance with its Hill-Burton obligation;

(3)

is eligible for Medicaid benefits or would be eligible if he/she applied.

(b)

The county is the payor of last resort; however, a state hospital or clinic (excluding those listed in §14.102(d)(2)) of this title (relating to Residency) shall be entitled to payment for services rendered to an eligible resident under the provisions of this chapter applicable to other providers.

(c)

County liability for services and payments is limited to:

(1)

payment of no more than $30,000 in the state fiscal year for basic and department approved optional services for an eligible county resident delivered by all providers, including hospitals and skilled nursing facilities;

(2)

payment for a total of 30 days (cumulative) in the state fiscal year for hospital and/or skilled nursing facility care, or a combination of both, or a maximum payment of $30,000 for all basic and department approved optional services provided to an eligible county resident, whichever comes first;

(3)

8.0% of the county's general revenue tax levy, if state assistance funds are not available;

(4)

8.0% of the county's general revenue tax levy and, if state assistance funds are available, 10% of the expenditures above the 8.0% GRTL;

(5)

payments for basic and department approved optional services equivalent to the established payment standard for the service;

(6)

payments to providers who certify in writing that:

(A)

the service was medically necessary. This applies only to physicians, and dentists and podiatrists providing physician services;

(B)

the service was ordered by a physician. This applies only to nonphysician providers.

(d)

Counties have the option to:

(1)

make payments above those payment standards specified in §14.203 of this title (relating to Payments for Basic and Department Approved Optional Services);

(2)

provide additional services not specified in §14.201 of this title (relating to Required and Optional Services, and Their Definitions).

(e)

If the county chooses the options contained in subsection (d) of this section, expenditures above the established payment standards or for additional services cannot be credited towards the county's eligibility for the state assistance fund.

(f)

Counties have the option to request that an eligible county resident, except an SSI/SSDI appellant, contribute a nominal amount toward the cost of basic and department approved optional services. If, however, the resident is unable or unwilling to make the nominal contribution, the county cannot deny eligibility or limit services. Counties that select this option must define the nominal amount.

(g)

The county may recover the cost of health care services provided to a recipient if any individual, entity, or other third party is legally liable for the cost of the health care services. Third parties include, but are not limited to, worker's compensation, automobile, medical or other insurance, and individuals determined liable through litigation. Applicants assign their rights to third party recovery to the county upon their signature of the Application for Assistance Form.

(h)

Only counties not fully served by a public hospital or hospital district may submit claims for Texas Medicaid or Vendor Drug Program reimbursement to the department for basic and department approved optional services provided to an otherwise eligible SSI/SSDI appellant if the services are furnished by a Title XIX-enrolled provider; if the SSI/SSDI appellant is later determined to be retroactively eligible for SSI/Medicaid; and the appellant and the provider assign reimbursement rights by completing the appellant/provider assignment form.

(1)

An SSI/SSDI appellant assigns his third-party recovery rights to the county and the Texas Department of Health (department) by completing and signing the appellant/provider assignment form. The SSI/SSDI appellant's Medicaid ineligibility is verified by a social security denial.

(2)

By assigning his Medicaid reimbursement rights to the county and the department, the provider agrees that payment by the county of the lesser of the billed amount or the CIHCP payment standard constitutes payment in full; and the provider is prohibited from billing the eligible county resident for any services reimbursed by the county.

(3)

The county determines the Medicaid eligibility status of all eligible residents who are also SSI/SSDI appellants by using the National Heritage Insurance Company (NHIC) automated inquiry system (NAIS) at least once a month.

(A)

To use NAIS, the county requests a telephone access code number from the department in writing. Upon receipt of the county's written request, the department sends the county the access code number and instructions for using the NAIS toll-free number from a touch-tone telephone.

(B)

NAIS provides the county with information about the SSI/SSDI appellant's current Medicaid eligibility.

(C)

The county must follow all procedures established by the department for CIHCP counties accessing NAIS.

(4)

Within 10 workdays of determining the SSI/SSDI appellant's current Medicaid eligibility, in accordance with paragraph (4) of this subsection, the county must:

(A)

complete and send the notice of ineligibility form to the Medicaid-eligible person; and

(B)

notify all providers who assigned their Medicaid reimbursement rights:

(i)

of the person's Medicaid eligibility;

(ii)

that the Medicaid-eligible person is ineligible for the County Indigent Health Care Program;

(iii)

that all unpaid bills for services should be filed directly with the Texas Medicaid or Vendor Drug Program; and

(C)

separately claim reimbursement for prescription drugs and non-prescription services provided during the period of retroactive Medicaid eligibility by:

(i)

fully completing the SSI/SSDI Appellant Notification Claim Form;

(ii)

attaching one copy of the Appellant/Provider Assignment Form for the county resident and each provider who received county reimbursement; and

(iii)

enclosing the original bills for all paid basic or department approved optional services.

(5)

The department will process the claim, complete a State of Texas purchase voucher, and send it to the county for signature and submittal to the department to receive reimbursement.

(A)

Upon receipt of reimbursement, the county subtracts the amount of reimbursement from expenditures creditable toward eligibility for state assistance funds in the state fiscal year in which reimbursement is received.

(B)

County expenditures for basic and department approved optional services provided to an SSI/SSDI appellant are creditable toward the county's 8.0% GRTL liability and eligibility for state assistance funds whether or not the county claims Texas Medicaid or Vendor Drug Program reimbursement. Not creditable are county expenditures for bills received by the county on or after the date the county is notified of the appellant's Medicaid/SSI eligibility.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001867

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


Subchapter E. SLIAG REIMBURSEMENT FOR COUNTY INDIGENT HEALTH CARE PROGRAM SERVICES PROVIDED TO ELIGIBLE LEGALIZED ALIENS

25 TAC §§14.401 - 14.406

The repeals are adopted under Health and Safety Code Chapter 61 and Human Resources Code Chapters 22 and 32. The department has rule making authority for the County Indigent Health Care Program under Health and Safety Code Chapter 61. Government Code §2001.039 passed by the 76th Legislature, 1999 is implemented by this proposal.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001862

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: October 29, 1999

For further information, please call: (512) 458-7236


Chapter 29. PURCHASED HEALTH SERVICES

Subchapter F. PHYSICIAN SERVICES

25 TAC §29.502

On behalf of the State Medicaid Director, the Texas Department of Health (department) adopts an amendment to §29.502 concerning the addition of anesthesiologist assistants (AAs) services to be covered under authorized physician services without changes to the proposed text as published in the December 24, 1999, issue of the Texas Register (24 TexReg 11690). Therefore, the section will not be republished.

Adoption of this amendment will allow AAs to provide services under the supervision of an anesthesiologist in the Texas Medical Assistance Program. This adopted rule will allow for Medicaid reimbursement to the anesthesiologist when AAs perform services pursuant to protocols jointly developed with the anesthesiologist, and in accordance with their scope of practice and state law.

No comments were received concerning the amendment during the comment period.

The amendment is adopted under the Human Resources Code, §32.021 and the Texas Government Code, §531.021, which provide the Health and Human Services Commission with the authority to administer the state's medical assistance program. Rules are submitted by the Texas Department of Health under its agreement with the Health and Human Services Commission to operate the purchased health services program as authorized by Acts of the 72nd Legislature, First Called Session, Chapter 15, §1.07, (1991).

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001845

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: December 24, 1999

For further information, please call: (512) 458-7236


Subchapter EE. LICENSED PROFESSIONAL COUNSELORS, LICENSED MASTER SOCIAL WORKER ADVANCED CLINICAL PRACTITIONERS, AND LICENSED MARRIAGE AND FAMILY THERAPISTS

25 TAC §29.3001, §29.3002

On behalf of the State Medicaid Director, the Texas Department of Health (department) adopts amendments to §§29.3001 and 29.3002, concerning the addition of licensed marriage and family therapists to provide counseling services in the Texas Medical Assistance Program without changes to the proposed text as published in the December 24, 1999 issue of the Texas Register (24 TexReg 11691). Therefore, the sections will not be republished.

Adoption of these amendments will allow licensed marriage and family therapists to enroll in the Texas Medical Assistance Program to provide counseling services for emotional disorders or conditions as allowed by their licensing law. The department has determined the need to amend its rules to comply with the terms of House Bill 2304, 76th Legislative Session, 1999, which allows licensed marriage and family therapists to participate in the Medicaid program.

No comments were received concerning the proposal during the comment period.

The amendments are adopted under the Human Resources Code, §32.021 and the Texas Government Code, §531.021, which provide the Health and Human Services Commission with the authority to adopt rules to administer the state's medical assistance program. Rules are submitted by the Texas Department of Health under its agreement with the Health and Human Services Commission to operate the purchased health services program as authorized by Acts of the 72nd Legislature, First Called Session, Chapter 15, §1.07, (1991).

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001836

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: April 1, 2000

Proposal publication date: December 24, 1999

For further information, please call: (512) 458-7236


Chapter 289. RADIATION CONTROL

Subchapter F. LICENSE REGULATIONS

25 TAC §289.257

The Texas Department of Health (department) adopts the amendment to §289.257 concerning packaging and transportation of radioactive material with changes to the proposed text published in the December 3, 1999 issue of the Texas Register (24 TexReg 10789).

The amendment to §289.257 clarifies that if an inspection and maintenance program for radiography containers approved by the United States Nuclear Regulatory Commission (NRC) is maintained in accordance with industrial radiography requirements in another section, the requirements of this section are met. This requirement has been designated as an item of compatibility by the NRC and as an Agreement State, Texas must adopt it.

References to other sections of this chapter are clarified to reflect the Texas Register format. Definitions are modified to reflect changes made as a result of House Bill 1172 passed by the 76th Legislature. Language is added that clarifies transportation of radioactive material, including low-level radioactive waste, must be done in accordance with federal routing requirements. Other minor grammatical changes are made to the section for clarification. These amendments are part of the department's continuing effort to update, clarify, and simplify its rules regarding the control of radiation based upon technological changes, public concerns, legislative directives, compatibility with NRC, or other factors.

The department received no public comments during the comment period for this amendment. However, the department is making the following change due to a staff comment to clarify the intent and improve the accuracy of the section.

Change: Concerning §289.257(d)(19)(B), the department clarified that the Act, §401.003(3)(B), is the Health and Safety Code, §401.003(3)(B). The department also added transuranics greater than 100 nanocuries per gram to the list of materials not included in the definition of low-level radioactive waste to clarify the intent of the definition.

The amendment is adopted under the Health and Safety Code, Chapter 401, which provides the Texas Board of Health (board) with authority to adopt rules and guidelines relating to the control of radiation; and Health and Safety Code, §12.001, which provides the Texas Board of Health (board) with the authority to adopt rules for its procedure and for the performance of each duty imposed by law on the board, the department, or the commissioner of health.

§289.257.Packaging and Transportation of Radioactive Material.

(a)

Purpose.

(1)

This section establishes requirements for packaging, preparation for shipment, and transportation of radioactive material including radioactive waste.

(2)

The packaging and transport of radioactive material are also subject to the requirements of §289.201 of this title (relating to General Provisions), §289.202 of this title (relating to Standards for Protection Against Radiation), §289.203 of this title (relating to Notices, Instructions, and Reports to Workers; Inspections), §289.204 of this title (relating to Fees for Certificates of Registration, Radioactive Material(s) Licenses, Emergency Planning and Implementation, and Other Regulatory Services), §289.205 of this title (relating to Hearing and Enforcement Procedures), §289.251 of this title (relating to Exemptions, General Licenses, and General License Acknowledgements), §289.252 of this title (relating to Licensing of Radioactive Material), §289.254 of this title (relating to Licensing of Radioactive Waste Processing and Storage Facilities), and §289.260 of this title (relating to Licensing of Uranium Recovery and Byproduct Material Disposal Facilities) and to the regulations of other agencies (e.g., the United States Department of Transportation (DOT) and the United States Postal Service) having jurisdiction over means of transport. The requirements of this section are in addition to, and not in substitution for, other requirements.

(b)

Scope.

(1)

The requirements in this section apply to any licensee authorized by a specific or general license issued by the agency to receive, possess, use, or transfer radioactive material, if the licensee delivers that material to a carrier for transport, transports the material outside the site of usage as specified in the agency license, or transports that material on public highways. No provision of this section authorizes possession of radioactive material.

(2)

Exemptions from the requirements for a license in subsection (c) of this section are specified in subsection (f) of this section. The general license in subsection (g) of this section requires that a United States Nuclear Regulatory Commission (NRC) certificate of compliance or other package approval be issued for the package to be used under the general license. The transport of radioactive material or delivery of radioactive material to a carrier for transport is subject to the operating controls and procedural requirements of subsections (h)-(m) of this section and to the general provisions of subsections (a)-(e) of this section, including DOT regulations referenced in subsection (e) of this section.

(c)

Requirement for license. Except as authorized in a general or specific license issued by the agency, or as exempted in this section, no licensee may transport radioactive material or deliver radioactive material to a carrier for transport.

(d)

Definitions. The following words and terms when used in this section shall have the following meaning unless the context clearly indicates otherwise. To ensure compatibility with international transportation standards, all limits in this section are given in terms of dual units: The International System of Units (SI) followed or preceded by United States (U.S.) standard or customary units. The U.S. customary units are not exact equivalents, but are rounded to a convenient value, providing a functionally equivalent unit. For the purpose of this section, SI units shall be used.

(1)

A 1 --The maximum activity of special form radioactive material permitted in a Type A package.

(2)

A 2 --The maximum activity of radioactive material, other than special form, low specific activity (LSA) and surface contaminated object (SCO) material, permitted in a Type A package. These values are either listed in subsection (s)(2) of this section, or may be derived in accordance with the procedure prescribed in subsection (s)(1) of this section.

(3)

BRC Forms 540, 540A, 541, 541A, 542, and 542A - Official agency forms referenced in subsection (s)(5) of this section which includes the information required by DOT in 49 Code of Federal Regulations (CFR) Part 172. BRC Form 541B contains additional information for LLRW shipments to a Texas LLRW disposal facility. Licensees need not use originals of these forms as long as any substitute forms are equivalent to the original documentation in respect to content, clarity, size, and location of information. Upon agreement between the shipper and consignee, BRC Forms 541 (and 541A and 541B) and BRC Forms 542 (and 542A) may be completed, transmitted, and stored in electronic media. The electronic media must have the capability for producing legible, accurate, and complete records in the format of the uniform manifest.

(4)

Carrier--A person engaged in the transportation of passengers or property by land or water as a common, contract, or private carrier, or by civil aircraft.

(5)

Certificate holder--A person who has been issued a certificate of compliance or other package approval by the agency.

(6)

Chelating agent--Amine polycarboxylic acids (e.g., EDTA, DTPA), hydroxy-carboxylic acids, and polycarboxylic acids (e.g., citric acid, carbolic acid, and glucinic acid).

(7)

Chemical description--A description of the principal chemical characteristics of a low-level radioactive waste (LLRW).

(8)

Consignee--The designated receiver of the shipment of low-level radioactive waste.

(9)

Containment system--The assembly of components of the packaging intended to retain the radioactive material during transport.

(10)

Conveyance--For transport on:

(A)

public highway or rail by transport vehicle or large freight container;

(B)

water by vessel, or any hold, compartment, or defined deck area of a vessel including any transport vehicle on board the vessel; and

(C)

aircraft.

(11)

Decontamination facility--A facility operating under a NRC, agreement state, or agency license whose principal purpose is decontamination of equipment or materials to accomplish recycle, reuse, or other waste management objectives, and, for purposes of this section, is not considered to be a consignee for LLRW shipments.

(12)

Disposal container--A transport container principally used to confine LLRW during disposal operations at a land disposal facility (also see definition for high integrity container). Note that for some shipments, the disposal container may be the transport package.

(13)

Environmental Protection Agency (EPA) identification number--The number received by a transporter following application to the administrator of EPA as required by 40 Code of Federal Regulations (CFR) Part 263.

(14)

Exclusive use--The sole use by a single consignor of a conveyance for which all initial, intermediate, and final loading and unloading are carried out in accordance with the direction of the consignor or consignee. The consignor and the carrier must ensure that any loading or unloading is performed by personnel having radiological training and resources appropriate for safe handling of the consignment. The consignor must issue specific instructions, in writing, for maintenance of exclusive use shipment controls, and include them with the shipping paper information provided to the carrier by the consignor.

(15)

Fissile material--Plutonium-238, plutonium-239, plutonium-241, uranium-233, uranium-235, or any combination of these radionuclides. Unirradiated natural uranium and depleted uranium, and natural uranium or depleted uranium that has been irradiated in thermal reactors only are not included in this definition. Agency jurisdiction extends only to "special nuclear material in quantities not sufficient to form a critical mass" as defined in §289.201(b) of this title.

(16)

Generator--A licensee operating under a NRC, agreement state, or agency license who:

(A)

is a waste generator as defined in this section; or

(B)

is the licensee to whom waste can be attributed within the context of the Low-Level Radioactive Waste Policy Amendments Act of 1985 (e.g., waste generated as a result of decontamination or recycle activities).

(17)

High integrity container (HIC)--A container commonly designed to meet the structural stability requirements of 10 CFR 61.56, and to meet DOT requirements for a Type A package.

(18)

Industrial package (IP)--A packaging that, together with its low specific activity (LSA) material or surface contaminated object (SCO) contents, meets the requirements of 49 CFR 173.410 and 173.411. Industrial packages are categorized in 49 CFR 173.411 as either:

(A)

Industrial package Type 1 (IP-1);

(B)

Industrial package Type 2 (IP-2); or

(C)

Industrial package Type 3 (IP-3).

(19)

Low-level radioactive waste (LLRW) - Radioactive material that meets the following criteria:

(A)

LLRW is radioactive material that is:

(i)

discarded or unwanted and is not exempt by rule adopted under the Texas Radiation Control Act (Act), Health and Safety Code, §401.106;

(ii)

waste, as that term is defined in 10 CFR Part 61.2; and

(iii)

subject to:

(I)

concentration limits established in 10 CFR Part 61.55, or compatible rules adopted by the agency or the Texas Natural Resource Conservation Commission (TNRCC), as applicable; and

(II)

disposal criteria established in 10 CFR, or established by the agency or TNRCC, as applicable.

(B)

LLRW does not include:

(i)

high-level radioactive waste as defined in 10 CFR Part 60.2;

(ii)

spent nuclear fuel as defined in 10 CFR Part 72.3;

(iii)

byproduct material defined in the Act, Health and Safety Code, §401.003(3)(B);

(iv)

naturally occurring radioactive material (NORM) waste that is not oil and gas NORM waste;

(v)

oil and gas NORM waste; or

(vi)

transuranics greater than 100 nanocuries per gram.

(20)

Low specific activity (LSA) material--Radioactive material with limited specific activity that satisfies the following descriptions and limits. Shielding materials surrounding the LSA material may not be considered in determining the estimated average specific activity of the package contents. LSA material must be in one of the following three groups:

(A)

LSA-I.

(i)

Ores containing only naturally occurring radionuclides (e.g., uranium, thorium) and uranium or thorium concentrates of such ores; or

(ii)

Solid unirradiated natural uranium or depleted uranium or natural thorium or their solid or liquid compounds or mixtures; or

(iii)

Radioactive material, other than fissile material, for which the A 2 value is unlimited; or

(iv)

Mill tailings, contaminated earth, concrete, rubble, other debris, and activated material in which the radioactive material is essentially uniformly distributed, and the average specific activity does not exceed 10-6 A 2 per gram (A2 /g).

(B)

LSA-II.

(i)

Water with tritium concentration up to 0.8 terabecquerel per liter (TBq/l) (20.0 curies per liter (Ci/l)); or

(ii)

Material in which the radioactive material is uniformly distributed throughout, and the average specific activity does not exceed 10 -4 A 2 /g for solids and gases, and 10 -5 A 2 /g for liquids.

(C)

LSA-III. Solids (e.g., consolidated wastes, activated materials) in which:

(i)

the radioactive material is distributed throughout a solid or a collection of solid objects, or is essentially uniformly distributed in a solid compact binding agent (such as concrete, bitumen, ceramic, etc.); and

(ii)

the radioactive material is relatively insoluble, or it is intrinsically contained in a relatively insoluble material, so that, even under loss of packaging, the loss of radioactive material per package by leaching, when placed in water for seven days, would not exceed 0.1 A 2 ; and

(iii)

the average specific activity of the solid does not exceed 2 x 10 -3 A 2 /g.

(21)

Low toxicity alpha emitters--Natural uranium, depleted uranium, natural thorium; uranium-235, uranium-238, thorium-232, thorium-228 or thorium-230 when contained in ores or physical or chemical concentrates or tailings; or alpha emitters with a half-life of less than ten days.

(22)

Maximum normal operating pressure--The maximum gauge pressure that would develop in the containment system in a period of one year under the heat condition specified in 10 CFR 71.71(c)(1), in the absence of venting, external cooling by an ancillary system, or operational controls during transport.

(23)

Natural thorium--Thorium with the naturally occurring distribution of thorium isotopes (essentially 100 weight percent thorium-232).

(24)

Normal form radioactive material--Radioactive material that has not been demonstrated to qualify as special form radioactive material.

(25)

Package--The packaging together with its radioactive contents as presented for transport.

(A)

Fissile material package--A fissile material packaging together with its fissile material contents.

(B)

Type A package--A packaging that, together with its radioactive contents limited to A 1 or A 2 as appropriate, meets the requirements of 49 CFR 173.410 and 173.412 and is designed to retain the integrity of containment and shielding under normal conditions of transport as demonstrated by the tests set forth in 49 CFR 173.465 or 173.466, as appropriate.

(C)

Type B package--A Type B packaging together with its radioactive contents. On approval by the NRC, a Type B package design is designated by NRC as B(U) unless the package has a maximum normal operating pressure of more than 700 kilopascals (kPa) (100 pounds per square inch (lb/in 2 )) gauge or a pressure relief device that would allow the release of radioactive material to the environment under the tests specified in 10 CFR 71.73 (hypothetical accident conditions), in which case it will receive a designation B(M). B(U) refers to the need for unilateral approval of international shipments; B(M) refers to the need for multilateral approval of international shipments. There is no distinction made in how packages with these designations may be used in domestic transportation. To determine their distinction for international transportation, see DOT regulations in 49 CFR Part 173. A Type B package approved before September 6, 1983, was designated only as Type B.

(26)

Packaging--The assembly of components necessary to ensure compliance with the packaging requirements of this section. It may consist of one or more receptacles, absorbent materials, spacing structures, thermal insulation, radiation shielding, service equipment for filling, emptying, venting, and pressure relief, and devices for cooling or absorbing mechanical shocks. The vehicle, tie-down system, and auxiliary equipment may be designated as part of the packaging.

(27)

Physical description--The items called for on BRC Form 541 to describe a LLRW.

(28)

Residual waste--LLRW resulting from processing or decontamination activities that cannot be easily separated into distinct batches attributable to specific waste generators. This waste is attributable to the processor or decontamination facility, as applicable.

(29)

Shipper - The licensed entity (i.e., the waste generator, waste collector, or waste processor) who offers LLRW for transportation, typically consigning this type of waste to a licensed waste collector, waste processor, or land disposal facility operator. This definition applies only to shipments of LLRW shipped to a Texas LLRW disposal facility.

(30)

Site of usage--The licensee's facility, including all buildings and structures between which radioactive material is transported and all roadways that are not within the public domain on which radioactive material can be transported.

(31)

Specific activity of a radionuclide--The radioactivity of the radionuclide per unit mass of that nuclide. The specific activity of a material in which the radionuclide is essentially uniformly distributed is the radioactivity per unit mass of the material.

(32)

Surface contaminated object (SCO)--A solid object that is not itself classed as radioactive material, but which has radioactive material distributed on any of its surfaces. A SCO must be in one of the following two groups with surface activity not exceeding the following limits:

(A)

SCO-I: A solid object on which:

(i)

the non-fixed contamination on the accessible surface averaged over 300 square centimeters (cm 2 ) (or the area of the surface if less than 300 cm 2 ) does not exceed 4 becquerels per square centimeter (Bq/cm 2 ) (10 -4 microcurie per square centimeter (µCi/cm2 )) for beta and gamma and low toxicity alpha emitters, or 4 x 10 -1 Bq/cm 2 (10 -5 µCi/cm 2 ) for all other alpha emitters;

(ii)

the fixed contamination on the accessible surface averaged over 300 cm 2 (or the area of the surface if less than 300 cm 2 ) does not exceed 4 x 10 4 Bq/cm 2 (1 µCi/cm 2 ) for beta and gamma and low toxicity alpha emitters, or 4 x 103 Bq/cm 2 (10 -1 µCi/cm 2 ) for all other alpha emitters; and

(iii)

the non-fixed contamination plus the fixed contamination on the inaccessible surface averaged over 300 cm 2 (or the area of the surface if less than 300 cm 2 ) does not exceed 4 x 10 4 Bq/cm 2 (1 µCi/cm 2 ) for beta and gamma and low toxicity alpha emitters, or 4 x 10 3 Bq/cm2 (10 -1 µCi/cm2 ) for all other alpha emitters.

(B)

SCO-II: A solid object on which the limits for SCO-I are exceeded and on which the following limits are not exceeded:

(i)

the non-fixed contamination on the accessible surface averaged over 300 cm 2 (or the area of the surface if less than 300 cm 2 ) does not exceed 400 Bq/cm2 (10 -2 µCi/cm2 ) for beta and gamma and low toxicity alpha emitters or 40 Bq/cm 2 (10 -3 µCi/cm2 ) for all other alpha emitters;

(ii)

the fixed contamination on the accessible surface averaged over 300 cm 2 (or the area of the surface if less than 300 cm 2 ) does not exceed 8 x 10 5 Bq/cm 2 (20 µCi/cm 2 ) for beta and gamma and low toxicity alpha emitters, or 8 x 104 Bq/cm 2 (2 µCi/cm2 ) for all other alpha emitters; and

(iii)

the non-fixed contamination plus the fixed contamination on the inaccessible surface averaged over 300 cm 2 (or the area of the surface if less than 300 cm 2 ) does not exceed 8 x 10 5 Bq/cm 2 (20 µCi/cm 2 ) for beta and gamma and low toxicity alpha emitters, or 8 x 10 4 Bq/cm2 (2 µCi/cm 2 ) for all other alpha emitters.

(33)

Uniform Low-Level Radioactive Waste Manifest or uniform manifest - The combination of BRC Forms 540, 541, and, if necessary, 542, and their respective continuation sheets as needed, or equivalent.

(34)

Uranium - Natural, depleted, enriched:

(A)

Natural uranium - Uranium with the naturally occurring distribution of uranium isotopes (approximately 0.711 weight percent uranium-235, and the remainder by weight essentially uranium-238).

(B)

Depleted uranium - Uranium containing less uranium-235 than the naturally occurring distribution of uranium isotopes.

(C)

Enriched uranium - Uranium containing more uranium-235 than the naturally occurring distribution of uranium isotopes.

(35)

Waste collector - An entity, operating under a NRC, agreement state, or agency license, whose principal purpose is to collect and consolidate waste generated by others, and to transfer this waste, without processing or repackaging the collected waste, to another licensed waste collector, licensed waste processor, or licensed land disposal facility.

(36)

Waste description - The physical, chemical and radiological description of a LLRW as called for on BRC Form 541.

(37)

Waste generator - An entity, operating under a NRC, agreement state, or agency license, who:

(A)

possesses any material or component that contains radioactivity or is radioactively contaminated for which the licensee foresees no further use; and

(B)

transfers this material or component to a licensed land disposal facility or to a licensed waste collector or processor for handling or treatment prior to disposal. A licensee performing processing or decontamination services may be a waste generator if the transfer of LLRW from its facility is defined as residual waste.

(38)

Waste processor - An entity, operating under a NRC or agreement state license, whose principal purpose is to process, repackage, or otherwise treat LLRW or waste generated by others prior to eventual transfer of waste to a licensed LLRW land disposal facility.

(39)

Waste type - A waste within a disposal container having a unique physical description (i.e., a specific waste descriptor code or description; or a waste sorbed on or solidified in a specifically-defined media).

(e)

Transportation of radioactive material.

(1)

Each licensee who transports radioactive material outside the site of usage as specified in the agency license, transports on public highways, or delivers radioactive material to a carrier for transport, shall comply with the applicable requirements of the DOT regulations in 49 CFR Parts 170-189 and 397 appropriate to the mode of transport. The licensee shall comply with the following, particularly noting DOT regulations as applicable in the following areas:

(A)

Packaging - 49 CFR Part 173: Subparts A, B, and I.

(B)

Marking and labeling - 49 CFR Part 172: Subpart D, §§172.400 - 172.407, §§172.436 - 172.440, and Subpart E.

(C)

Placarding - 49 CFR Part 172: Subpart F, especially §§172.500 - 172.519, §172.556, and Appendices B and C.

(D)

Accident reporting - 49 CFR Part 171: §171.15 and §171.16.

(E)

Shipping papers and emergency information - 49 CFR Part 172: Subparts C and G.

(F)

Hazardous material employee training - 49 CFR Part 172: Subpart H.

(G)

Hazardous material shipper/carrier registration - 49 CFR Part 107: Subpart G.

(H)

Routing - 49 CFR Part 397: Subpart D.

(2)

If DOT regulations are not applicable to a shipment of radioactive material, the licensee shall conform to DOT standards and requirements specified in paragraph (1) of this subsection to the same extent as if the shipment or transportation were subject to DOT regulations. A request for modification, waiver, or exemption from those requirements must be filed and approved by the agency. Any notification referred to in those requirements, must be submitted to the agency.

(f)

Exemption for low-level radioactive materials.

(1)

A licensee is exempt from all requirements of this section with respect to shipment or carriage of a package containing radioactive material having a specific activity not greater than 70 becquerels per gram (Bq/g) (0.002 microcuries per gram (µCi/g)).

(2)

A licensee is exempt from all requirements of this section, other than subsections (e) and (i) of this section, with respect to shipment or carriage of the following packages, provided the packages contain no fissile material, or the fissile material exemption standards of 10 CFR 71.53 are satisfied:

(A)

a package containing no more than a Type A quantity of radioactive material;

(B)

a package in which the only radioactive material is LSA material or SCO, provided the external radiation level at 3 m from the unshielded material or objects does not exceed 10 millisieverts per hour (mSv/hr) (1 rem per hour (rem/hr)); or

(C)

a package transported within locations within the United States which contains only americium or plutonium in special form with an aggregate radioactivity not to exceed 20 Ci.

(3)

A licensee is exempt from all requirements of this section, other than subsections (e) and (i) of this section, with respect to shipment or carriage of LSA material in group LSA-I, or SCOs in group SCO-I.

(4)

Common and contract carriers, freight forwarders, and warehousemen, who are subject to the rules and regulations of the DOT or the United States Postal Service (39 CFR Parts 14 and 15), are exempt from these regulations to the extent that they transport or store sources of radiation in the regular course of their carriage for another or storage incident thereto. Private carriers who are subject to the rules and regulations of the DOT are exempted from these regulations to the extent that they transport sources of radiation. Common, contract, and private carriers who are not subject to the rules and regulations of the DOT or the United States Postal Service are subject to applicable sections of these regulations.

(5)

Persons who discard licensed material in accordance with §289.202(fff) of this title are exempt from all requirements of this section.

(g)

General license.

(1)

NRC-approved package.

(A)

A general license is hereby issued to any licensee of the agency to transport, or to deliver to a carrier for transport, radioactive material in a package for which a license, certificate of compliance, or other approval has been issued by the NRC.

(B)

This general license applies only to a licensee who has a quality assurance program approved by the NRC as satisfying the provisions of 10 CFR 71.

(C)

This general license applies only to a licensee who meets the following requirements:

(i)

has a copy of the specific license, certificate of compliance, or other approval by the NRC of the package, and has the drawings and other documents referenced in the approval relating to the use and maintenance of the packaging and to the actions to be taken before shipment; and

(ii)

complies with the terms and conditions of the specific license, certificate, or other approval by the NRC, as applicable, and the applicable requirements of 10 CFR 71.

(D)

For radiography containers, a program for transport container inspection and maintenance limited to radiographic exposure devices, source changers, or packages transporting these devices and meeting the requirements of §289.255(i)(2)(B) of this title (relating to Radiation Safety Requirements and Licensing and Registration Procedures for Industrial Radiography), is deemed to satisfy the requirements of subparagraph (B) of this paragraph.

(2)

Previously approved package.

(A)

A Type B package previously approved by the NRC, but not designated as B(U) or B(M) in the identification number of the NRC certificate of compliance, may be used under the general license of paragraph (1) of this subsection with the following additional conditions:

(i)

fabrication of the packaging was satisfactorily completed before August 31, 1986, as demonstrated by application of its model number in accordance with NRC regulations at 10 CFR 71.85(c);

(ii)

a package used for a shipment to a location outside the United States is subject to multilateral approval, as defined in DOT regulations at 49 CFR 173.403; and

(iii)

a serial number that uniquely identifies each packaging which conforms to the approved design is assigned to, and legibly and durably marked on, the outside of each packaging.

(B)

A Type B(U) package, a Type B(M) package, a LSA material package or a fissile material package, previously approved by the NRC but without the designation "-85" in the identification number of the NRC certificate of compliance, may be used under the general license of paragraph (1) of this subsection with the following additional conditions:

(i)

fabrication of the package is satisfactorily completed by April 1, 1999, as demonstrated by application of its model number in accordance with NRC regulations at 10 CFR 71.85(c);

(ii)

a package used for a shipment to a location outside the United States is subject to multilateral approval except approved under special arrangement in accordance with DOT regulations at 49 CFR 173.403; and

(iii)

a serial number which uniquely identifies each packaging which conforms to the approved design is assigned to and legibly and durably marked on the outside of each packaging.

(3)

DOT specification container.

(A)

A general license is issued to any licensee to transport, or to deliver to a carrier for transport, licensed material in a specification container for fissile material or for a Type B quantity of radioactive material as specified in 49 CFR Parts 173 and 178.

(B)

This general license applies only to a licensee who:

(i)

has a copy of the specification;

(ii)

complies with the terms and conditions of the specification and the applicable requirements of this section; and

(iii)

has a quality assurance program required by 10 CFR 71.105.

(C)

The general license in subparagraph (A) of this paragraph is subject to the limitation that the specification container may not be used for a shipment to a location outside the United States except by multilateral approval as defined in 49 CFR 173.403.

(4)

Use of foreign approved package.

(A)

A general license is issued to any licensee to transport, or to deliver to a carrier for transport, licensed material in a package the design of which has been approved in a foreign national competent authority certificate which has been revalidated by the DOT as meeting the applicable requirements of 49 CFR 171.12.

(B)

This general license applies only to international shipments.

(C)

This general license applies only to a licensee who:

(i)

has a copy of the applicable certificate, the revalidation, and the drawings and other documents referenced in the certificate relating to the use and maintenance of the packaging and to the actions to be taken prior to shipment;

(ii)

complies with the terms and conditions of the certificate and revalidation, and with the applicable requirements of this section; and

(iii)

the licensee has a quality assurance program approved by the NRC.

(h)

Routine determinations. Before each shipment of radioactive material, the licensee shall ensure that the package with its contents satisfies the applicable requirements of this section and of the license. The licensee shall determine that:

(1)

the package is proper for the contents to be shipped;

(2)

the package is in unimpaired physical condition except for superficial defects such as marks or dents;

(3)

each closure device of the packaging, including any required gasket, is properly installed, secured, and free of defects;

(4)

any system for containing liquid is adequately sealed and has adequate space or other specified provision for expansion of the liquid;

(5)

any pressure relief device is operable and set in accordance with written procedures;

(6)

the package has been loaded and closed in accordance with written procedures;

(7)

any structural part of the package that could be used to lift or tie down the package during transport is rendered inoperable for that purpose, unless it satisfies the design requirements of 10 CFR 71.45;

(8)

the level of non-fixed (removable) radioactive contamination on the external surfaces of each package offered for shipment is as low as reasonably achievable (ALARA), and within the limits specified in DOT regulations in 49 CFR 173.443;

(9)

external radiation levels around the package and around the vehicle, if applicable, will not exceed the following limits at any time during transportation:

(A)

Except as provided in subparagraph (B) of this paragraph, each package of radioactive materials offered for transportation must be designed and prepared for shipment so that under conditions normally incident to transportation the radiation level does not exceed 2 mSv/hr (200 mrem/hr) at any point on the external surface of the package, and the transport index does not exceed 10.

(B)

A package that exceeds the radiation level limits specified in subparagraph (A) of this paragraph must be transported by exclusive use shipment only, and the radiation levels for such shipment must not exceed the following during transportation:

(i)

2 mSv/hr (200 mrem/hr) on the accessible external surface of the package, unless the following conditions are met, in which case the limit is 10 mSv/hr (1,000 mrem/hr):

(I)

the shipment is made in a closed transport vehicle;

(II)

the package is secured within the vehicle so that its position remains fixed during transportation; and

(III)

there are no loading or unloading operations between the beginning and end of the transportation;

(ii)

2 mSv/hr (200 mrem/hr) at any point on the outer surface of the vehicle, including the top and underside of the vehicle; or in the case of a flat-bed style vehicle, at any point on the vertical planes projected from the outer edges of the vehicle, on the upper surface of the load or enclosure, if used, and on the lower external surface of the vehicle; and

(iii)

0.1 mSv/hr (10 mrem/hr) at any point 2 meters (m) (6.6 feet (ft)) from the outer lateral surfaces of the vehicle (excluding the top and underside of the vehicle); or in the case of a flat-bed style vehicle, at any point 2 m (6.6 ft) from the vertical planes projected by the outer edges of the vehicle (excluding the top and underside of the vehicle); and

(iv)

0.02 mSv/hr (2 mrem/hr) in any normally occupied space, except that this provision does not apply to private carriers, if exposed personnel under their control wear radiation dosimetry devices in conformance with §289.202(q) of this title;

(10)

a package must be designed, constructed, and prepared for transport so that in still air at 38 degrees Celsius (100 degrees Fahrenheit) and in the shade, no accessible surface of a package would have a temperature exceeding 50 degrees Celsius (122 degrees Fahrenheit) in a nonexclusive use shipment, or 85 degrees Celsius (185 degrees Fahrenheit) in an exclusive use shipment. Accessible package surface temperatures shall not exceed these limits at any time during transportation; and

(11)

a package must not incorporate a feature intended to allow continuous venting during transport.

(i)

Air transport of plutonium.

(1)

Notwithstanding the provisions of any general licenses and notwithstanding any exemptions stated directly in this section or included indirectly by citation of 49 CFR Chapter 1, as may be applicable, the licensee shall assure that plutonium in any form, whether for import, export, or domestic shipment, is not transported by air or delivered to a carrier for air transport unless:

(A)

the plutonium is contained in a medical device designed for individual human application; or

(B)

the plutonium is contained in a material in which the specific activity is not greater than 0.002 µCi/g (70 Bq/g) of material and in which the radioactivity is essentially uniformly distributed; or

(C)

the plutonium is shipped in a single package containing no more than an A 2 quantity of plutonium in any isotope or form, and is shipped in accordance with subsection (e) of this section; or

(D)

the plutonium is shipped in a package specifically authorized for the shipment of plutonium by air in the Certificate of Compliance for that package issued by the NRC.

(2)

Nothing in paragraph (1) of this subsection is to be interpreted as removing or diminishing the requirements of 10 CFR 73.24.

(3)

For a shipment of plutonium by air which is subject to paragraph (1) of this subsection, the licensee shall, through special arrangement with the carrier, require compliance with 49 CFR 175.704, DOT regulations applicable to the air transport of plutonium.

(j)

Opening instructions. Before delivery of a package to a carrier for transport, the licensee shall ensure that any special instructions needed to safely open the package have been sent to, or otherwise made available to, the consignee for the consignee's use in accordance with §289.202(ee)(5) of this title.

(k)

Records. Each licensee shall maintain, for a period of three years after shipment, a record of each shipment of radioactive material showing the following where applicable:

(1)

identification of the packaging by model number and serial number;

(2)

verification that there are no significant defects in the packaging, as shipped;

(3)

type and quantity of radioactive material in each package, and the total quantity of each shipment;

(4)

date of the shipment;

(5)

for fissile packages and for Type B packages, any special controls exercised;

(6)

name and address of the transferee;

(7)

address to which the shipment was made; and

(8)

surveys performed to determine compliance with subsection (h)(8) and (9) of this section.

(l)

Reports. The shipper shall immediately report by telephone, telegram, mailgram, or facsimile, all radioactive waste transportation accidents to the agency and the local emergency planning committees in the county where the radioactive waste accident occurs. All other accidents involving radioactive material shall be reported in accordance with §289.202(xx) and (yy) of this title.

(m)

Advance notification of transport of certain radioactive waste.

(1)

As specified in paragraphs (2)-(4) of this subsection, each licensee shall provide advance notification to the governor of a state, or the governor's designee, of the shipment of radioactive waste, through, or across the boundary of the state, before the transport, or delivery to a carrier, for transport, of radioactive waste outside the confines of the licensee's facility or other place of use or storage.

(2)

Advance notification is required under this section for shipment of radioactive waste when the following three conditions are met:

(A)

the radioactive waste is required by this section to be in Type B packaging for transportation;

(B)

the radioactive waste is being transported to or across a state boundary en route to a disposal facility or to a collection point for transport to a disposal facility; and

(C)

the quantity of radioactive waste in a single package exceeds the least of the following:

(i)

3000 times the A 1 value of the radionuclides as specified in subsection (vv)(2) of this section for special form radioactive material;

(ii)

3000 times the A 2 value of the radionuclides as specified in subsection (vv)(2) of this section for normal form radioactive material; or

(iii)

1000 terabecquerels (TBq) (27,000 curies (Ci)).

(3)

The following are procedures for submitting advance notification:

(A)

The notification must be made in writing to the office of each appropriate governor or governor's designee and to the agency.

(B)

A notification delivered by mail must be postmarked at least seven days before the beginning of the seven-day period during which departure of the shipment is estimated to occur.

(C)

A notification delivered by messenger must reach the office of the governor or of the governor's designee at least four days before the beginning of the seven-day period during which departure of the shipment is estimated to occur.

(i)

A list of the names and mailing addresses of the governors' designees receiving advance notification of transportation of radioactive waste was published in the Federal Register on June 30, 1995 (60 FR 34306).

(ii)

The list will be published annually in the Federal Register on or about June 30 to reflect any changes in information.

(iii)

A list of the names and mailing addresses of the governors' designees is available on request from the Director, Office of State Programs, United States Nuclear Regulatory Commission, Washington, DC 20555.

(D)

The licensee shall retain a copy of the notification as a record for three years.

(4)

Each advance notification of shipment of radioactive waste must contain the following information:

(A)

the name, address, and telephone number of the shipper, carrier, and receiver of the radioactive waste shipment;

(B)

a description of the radioactive waste contained in the shipment, as specified in the regulations of DOT in 49 CFR Part 172, §172.202 and §172.203(d);

(C)

the point of origin of the shipment and the seven-day period during which departure of the shipment is estimated to occur;

(D)

the seven-day period during which arrival of the shipment at state boundaries is estimated to occur;

(E)

the destination of the shipment, and the seven-day period during which arrival of the shipment is estimated to occur; and

(F)

a point of contact, with a telephone number, for current shipment information.

(5)

A licensee who finds that schedule information previously furnished to a governor or governor's designee, in accordance with this section, will not be met, shall telephone a responsible individual in the office of the governor of the state or of the governor's designee and inform that individual of the extent of the delay beyond the schedule originally reported. The licensee shall maintain a record of the date, time, and name of the individual contacted for three years.

(6)

The following are procedures for a cancellation notice.

(A)

Each licensee who cancels a radioactive waste shipment for which advance notification has been sent shall send a cancellation notice to the governor of each state or to the governor's designee previously notified, and to the agency.

(B)

The licensee shall state in the notice that it is a cancellation and identify the advance notification that is being canceled. The licensee shall retain a copy of the notice as a record for three years.

(n)

Emergency plan. Each shipper and transporter of radioactive waste shall adopt an emergency plan approved by the agency for responding to transportation accidents.

(o)

Inspections. Each shipment of LLRW to a licensed land disposal facility in Texas shall be inspected by the agency prior to shipment. The waste shipper shall notify the agency no less than 72 hours prior to the scheduled shipment of the intent to transport waste to the licensed land disposal facility.

(p)

Quality control program. Each shipper shall adopt a quality control program to include verification of the following to ensure that shipping containers are suitable for shipments to a licensed disposal facility:

(1)

identification of appropriate container(s);

(2)

container testing documentation is adequate;

(3)

appropriate container used;

(4)

container packaged appropriately;

(5)

container labeled appropriately;

(6)

manifest filled out appropriately; and

(7)

documentation maintained of each step.

(q)

Transfer for disposal and manifests.

(1)

The requirements of this section and subsection (s)(5) of this section are designed to:

(A)

control transfers of LLRW by any waste generator, waste collector, or waste processor licensee, as defined in this section, who ships LLRW either directly, or indirectly through a waste collector or waste processor, to a licensed LLRW land disposal facility, as defined in §289.201(b) of this title;

(B)

establish a manifest tracking system; and

(C)

supplement existing requirements concerning transfers and recordkeeping for those wastes.

(2)

Beginning March 1, 1998, all affected licensees must use subsection (s)(5) of this section.

(3)

Each shipment of LLRW intended for disposal at a licensed land disposal facility must be accompanied by a shipment manifest in accordance with subsection (s)(5)(A) of this section.

(4)

Any licensee shipping LLRW intended for ultimate disposal at a licensed land disposal facility must document the information required on the uniform manifest and transfer this recorded manifest information to the intended consignee in accordance with subsection (s)(5) of this section.

(5)

Each shipment manifest must include a certification by the waste generator as specified in subsection (s)(5)(J) of this section, as appropriate.

(6)

Each person involved in the transfer for disposal and disposal of LLRW, including the waste generator, waste collector, waste processor, and disposal facility operator, shall comply with the requirements specified in subsection (s)(5)(K) of this section, as appropriate.

(7)

Any licensee shipping LLRW to a licensed Texas LLRW disposal facility shall comply with the waste acceptance criteria in 31 TAC §§451.21-451.29.

(r)

Fees.

(1)

Each shipper shall be assessed a fee for shipments of LLRW originating in Texas or out-of-state being shipped to a licensed Texas LLRW disposal facility and these fees shall be:

(A)

$10 per cubic foot of shipped LLRW;

(B)

collected by the Commission and deposited to the credit of the radiation and perpetual care fund; and

(C)

used exclusively by the agency for emergency planning for and response to transportation accidents involving LLRW.

(2)

Fee assessments under this section shall be suspended when the amount of fees collected reaches $500,000, except that if the balance of fees collected is reduced to $350,000 or less, the assessments shall be reinstituted to bring the balance of fees collected to $500,000.

(3)

Money expended from the radiation and perpetual care fund to respond to accidents involving LLRW must be reimbursed to the radiation and perpetual care fund by the responsible shipper or transporter according to rules adopted by the board.

(s)

Appendices.

(1)

Determination of A 1 and A2 .

(A)

Values of A 1 and A 2 for individual radionuclides, which are the bases for many activity limits elsewhere in these rules are given in paragraph (2) of this subsection. The curie (Ci) values specified are obtained by converting from the terabecquerel (TBq) figure. The curie values are expressed to three significant figures to assure that the difference in the TBq and Ci quantities is one tenth of 1.0% or less. Where values of A 1 or A 2 are unlimited, it is for radiation control purposes only. For nuclear criticality safety, some materials are subject to controls placed on fissile material.

(B)

For individual radionuclides whose identities are known, but which are not listed in paragraph (2) of this subsection, the determination of the values of A 1 and A 2 requires NRC approval, except that the values of A 1 and A 2 in paragraph (3) of this subsection may be used without obtaining NRC approval.

(C)

In the calculations of A 1 and A 2 for a radionuclide not in paragraph (2) of this subsection, a single radioactive decay chain, in which radionuclides are present in their naturally occurring proportions, and in which no daughter nuclide has a half-life either longer than ten days, or longer than that of the parent nuclide, shall be considered as a single radionuclide, and the activity to be taken into account and the A 1 or A 2 value to be applied shall be those corresponding to the parent nuclide of that chain. In the case of radioactive decay chains in which any daughter nuclide has a half-life either longer than ten days, or greater than that of the parent nuclide, the parent and those daughter nuclides shall be considered as mixtures of different nuclides.

(D)

For mixtures of radionuclides whose identities and respective activities are known, the following conditions apply.

(i)

For special form radioactive material, the maximum quantity transported in a Type A package:

Figure: 25 TAC §289.257(s)(1)(D)(i) (No change.)

(ii)

For normal form radioactive material, the maximum quantity transported in a Type A package:

Figure: 25 TAC §289.257(s)(1)(D)(ii) (No change.)

(iii)

Alternatively, an A 1 value for mixtures of special form material may be determined as follows:

Figure: 25 TAC §289.257(s)(1)(D)(iii) (No change.)

(iv)

An A 2 value for mixtures of normal form material may be determined as follows:

Figure: 25 TAC §289.257(s)(1)(D)(iv) (No change.)

(E)

When the identity of each radionuclide is known, but the individual activities of some of the radionuclides are not known, the radionuclides may be grouped and the lowest A 1 or A 2 value, as appropriate, for the radionuclides in each group may be used in applying the formulas in subparagraph (D) of this paragraph. Groups may be based on the total alpha activity and the total beta/gamma activity when these are known, using the lowest A 1 or A 2 values for the alpha emitters and beta/gamma emitters.

(2)

A 1 and A 2 values for radionuclides. The following table contains A 1 and A 2 values for radionuclides:

Figure: 25 TAC §289.257(s)(2) (No change.)

(3)

General values for A 1 and A 2 . The following table contains general values for A 1 and A 2 :

Figure: 25 TAC §289.257(s)(3) (No change.)

(4)

Activity-mass relationships for uranium. The following table contains activity-mass relationships for uranium:

Figure: 25 TAC §289.257(s)(4) (No change.)

(5)

Requirements for transfers of LLRW intended for disposal at licensed land disposal facilities and manifests.

(A)

Manifest. A waste generator, collector, or processor who transports, or offers for transportation, LLRW intended for ultimate disposal at a licensed LLRW land disposal facility must prepare a manifest reflecting information requested on applicable BRC Forms 540 (Uniform Low-Level Radioactive Waste Manifest (Shipping Paper)) and 541 (Uniform Low-Level Radioactive Waste Manifest (Container and Waste Description)) and, if necessary, on an applicable BRC Form 542 (Uniform Low-Level Radioactive Waste Manifest (Manifest Index and Regional Compact Tabulation)) or their equivalent. BRC Forms 540 and 540A must be completed and must physically accompany the pertinent LLRW shipment. Upon agreement between shipper and consignee, BRC Forms 541, 541A and 541B, and 542 and 542A may be completed, transmitted, and stored in electronic media with the capability for producing legible, accurate, and complete records on the respective forms. Licensees are not required by the agency to comply with the manifesting requirements of this section when they ship:

(i)

LLRW for processing and expect its return (i.e., for storage under their license) prior to disposal at a licensed land disposal facility;

(ii)

LLRW that is being returned to the licensee who is the waste generator or generator, as defined in this section; or

(iii)

radioactively contaminated material to a waste processor that becomes the processor's residual waste.

(B)

Form instructions. For guidance in completing these forms, refer to the instructions that accompany the forms. Copies of manifests required by this subsection may be legible carbon copies, photocopies, or computer printouts that reproduce the data in the format of the uniform manifest.

(C)

Forms. BRC Forms 540, 540A, 541, 541A, 541B, 542 and 542A, and the accompanying instructions, in hard copy, may be obtained from the agency.

(D)

Information requirements of the DOT. This subsection includes information requirements of the DOT, as codified in 49 CFR Part 172. Information on hazardous, medical, or other waste, required to meet EPA regulations, as codified in 40 CFR Parts 259, 261 or elsewhere, is not addressed in this section, and must be provided on the required EPA forms. However, the required EPA forms must accompany the uniform manifest required by this section.

(E)

General information. The shipper of the LLRW, shall provide the following information on the uniform manifest:

(i)

the name, facility address, and telephone number of the licensee shipping the waste;

(ii)

an explicit declaration indicating whether the shipper is acting as a waste generator, collector, processor, or a combination of these identifiers for purposes of the manifested shipment; and

(iii)

the name, address, and telephone number, or the name and EPA identification number for the carrier transporting the waste.

(F)

Shipment information. The shipper of the LLRW shall provide the following information regarding the waste shipment on the uniform manifest:

(i)

the date of the waste shipment;

(ii)

the total number of packages/disposal containers;

(iii)

the total disposal volume and disposal weight in the shipment;

(iv)

the total radionuclide activity in the shipment;

(v)

the activity of each of the radionuclides hydrogren-3, carbon-14, technetium-99, iodine-129, chlorine-36, nickel-63, strontium-90, cesium-137, radium-226, and any other isotopes with a half-life greater than 35 years contained in the shipment; and

(vi)

the total masses of uranium-233, uranium-235, and plutonium in special nuclear material, and the total mass of uranium and thorium in source material.

(G)

Disposal container and waste information. The shipper of the LLRW shall provide the following information on the uniform manifest regarding the waste and each disposal container of waste in the shipment:

(i)

an alphabetic or numeric identification that uniquely identifies each disposal container in the shipment;

(ii)

a physical description of the disposal container, including the manufacturer and model of any high integrity container;

(iii)

the volume displaced by the disposal container;

(iv)

the gross weight of the disposal container, including the waste;

(v)

for waste consigned to a disposal facility, the maximum radiation level at the surface of each disposal container;

(vi)

a physical and chemical description of the waste;

(vii)

the total weight percentage of chelating agent for any waste containing more than 0.1% chelating agent by weight, plus the identity of the principal chelating agent;

(viii)

the approximate volume of waste within a container;

(ix)

the sorbing or solidification media, if any, and the identity of the solidification media vendor and brand name;

(x)

the identities and activities of individual radionuclides contained in each container, the masses of uranium-233, uranium-235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material. For discrete waste types (i.e., activated materials, contaminated equipment, mechanical filters, sealed source/devices, and wastes in solidification/stabilization media), the identities and activities of individual radionuclides associated with or contained on these waste types within a disposal container shall be reported;

(xi)

the total radioactivity within each container; and

(xii)

for wastes consigned to a disposal facility, the classification of the waste in accordance with §289.202(ggg)(4)(A) of this title. Waste not meeting the structural stability requirements of §289.202(ggg)(4)(B)(ii) of this title must be identified.

(H)

Uncontainerized waste information. The shipper of the LLRW shall provide the following information on the uniform manifest regarding a waste shipment delivered without a disposal container:

(i)

the approximate volume and weight of the waste;

(ii)

a physical and chemical description of the waste;

(iii)

the total weight percentage of chelating agent if the chelating agent exceeds 0.1% by weight, plus the identity of the principal chelating agent;

(iv)

for waste consigned to a disposal facility, the classification of the waste in accordance with §289.202(ggg)(4)(A) of this title. Waste not meeting the structural stability requirements of §289.202(ggg)(4)(B)(ii) of this title must be identified;

(v)

the identities and activities of individual radionuclides contained in the waste, the masses of uranium-233, uranium-235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material; and

(vi)

for wastes consigned to a disposal facility, the maximum radiation levels at the surface of the waste.

(I)

Multi-generator disposal container information. This subparagraph applies to disposal containers enclosing mixtures of waste originating from different generators. (Note: The origin of the LLRW resulting from a processor's activities may be attributable to one or more generators (including waste generators) as defined in this section). It also applies to mixtures of wastes shipped in an uncontainerized form, for which portions of the mixture within the shipment originate from different generators.

(i)

For homogeneous mixtures of waste, such as incinerator ash, provide the waste description applicable to the mixture and the volume of the waste attributed to each generator.

(ii)

For heterogeneous mixtures of waste, such as the combined products from a large compactor, identify each generator contributing waste to the disposal container, and, for discrete waste types (i.e., activated materials, contaminated equipment, mechanical filters, sealed source/devices, and wastes in solidification/stabilization media), the identities and activities of individual radionuclides contained on these waste types within the disposal container. For each generator, provide the following:

(I)

the volume of waste within the disposal container;

(II)

a physical and chemical description of the waste, including the solidification agent, if any;

(III)

the total weight percentage of chelating agents for any disposal container containing more than 0.1% chelating agent by weight, plus the identity of the principal chelating agent;

(IV)

the sorbing or solidification media, if any, and the identity of the solidification media vendor and brand name if the media is claimed to meet stability requirements in §289.202(ggg)(4)(B)(ii) of this title; and

(V)

radionuclide identities and activities contained in the waste, the masses of uranium-233, uranium-235, and plutonium in special nuclear material, and the masses of uranium and thorium in source material if contained in the waste.

(J)

Certification. An authorized representative of the waste generator, processor, or collector shall certify by signing and dating the shipment manifest that the transported materials are properly classified, described, packaged, marked, and labeled and are in proper condition for transportation according to the applicable regulations of the DOT and the agency. A collector in signing the certification is certifying that nothing has been done to the collected waste which would invalidate the waste generator's certification.

(K)

Control and tracking.

(i)

Any licensee who transfers LLRW to a land disposal facility or a licensed waste collector shall comply with the requirements in subclauses (I)-(IX) of this clause. Any licensee who transfers waste to a licensed waste processor for waste treatment or repackaging shall comply with the requirements of subclauses (IV)-(IX) of this clause. A licensee shall:

(I)

prepare all wastes so that the waste is classified according to §289.202(ggg)(4)(A) of this title and meets the waste characteristic requirements in §289.202(ggg)(4)(B) of this title;

(II)

label each disposal container (or transport package if potential radiation hazards preclude labeling of the individual disposal container) of waste to identify whether it is Class A waste, Class B waste, Class C waste, or greater then Class C waste, in accordance with §289.202(ggg)(4)(A) of this title;

(III)

conduct a quality assurance program to assure compliance with §289.202(ggg)(4)(A) and (B) of this title;

(IV)

prepare the uniform manifest as required by this subsection;

(V)

forward a copy or electronically transfer the uniform manifest to the intended consignee so that either:

(-a-)

receipt of the manifest precedes the LLRW shipment; or

(-b-)

the manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both items (-a-) and (-b-) of this subclause is also acceptable;

(VI)

include the uniform manifest with the shipment regardless of the option chosen in subclause (V) of this clause;

(VII)

receive acknowledgement of the receipt of the shipment in the form of a signed copy of the uniform manifest;

(VIII)

retain a copy of or electronically store the uniform manifest and documentation of acknowledgement of receipt as the record of transfer of radioactive material as required by §289.251 of this title, §289.252 of this title, and §289.254 of this title; and

(IX)

for any shipments or any part of a shipment for which acknowledgement of receipt has not been received within the times set forth in this subsection, conduct an investigation in accordance with clause (v) of this subparagraph.

(ii)

Any waste collector licensee who handles only prepackaged waste shall:

(I)

acknowledge receipt of the waste from the shipper within one week of receipt by returning a signed copy of the uniform manifest;

(II)

prepare a new uniform manifest to reflect consolidated shipments that meet the requirements of this subsection. The waste collector shall ensure that, for each container of waste in the shipment, the uniform manifest identifies the generator of that container of waste;

(III)

forward a copy or electronically transfer the uniform manifest to the intended consignee so that either:

(-a-)

receipt of the uniform manifest precedes the LLRW shipment; or

(-b-)

the uniform manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both items (-a-) and (-b-) of this subclause is also acceptable;

(IV)

include the uniform manifest with the shipment regardless of the option chosen in subclause (III) of this clause;

(V)

receive acknowledgement of the receipt of the shipment in the form of a signed copy of the uniform manifest;

(VI)

retain a copy of or electronically store the uniform manifest and documentation of acknowledgement of receipt as the record of transfer of radioactive material as required by §289.251 of this title, §289.252 of this title, and §289.254 of this title;

(VII)

for any shipments or any part of a shipment for which acknowledgement of receipt has not been received within the times set forth in this clause, conduct an investigation in accordance with clause (v) of this subparagraph; and

(VIII)

notify the shipper and the agency when any shipment, or part of a shipment, has not arrived within 60 days after receipt of an advance uniform manifest, unless notified by the shipper that the shipment has been cancelled.

(iii)

Any licensed waste processor who treats or repackages waste shall:

(I)

acknowledge receipt of the waste from the shipper within one week of receipt by returning a signed copy of the uniform manifest;

(II)

prepare a new uniform manifest that meets the requirements of this subsection. Preparation of the new uniform manifest reflects that the processor is responsible for meeting these requirements. For each container of waste in the shipment, the manifest shall identify the waste generators, the preprocessed waste volume, and the other information as required in subparagraph (I) of this paragraph;

(III)

prepare all wastes so that the waste is classified according to §289.202(ggg)(4)(A) of this title and meets the waste characteristics requirements in §289.202(ggg)(4)(B) of this title;

(IV)

label each package of waste to identify whether it is Class A waste, Class B waste, or Class C waste, in accordance with §289.202(ggg)(4)(A) and (C) of this title;

(V)

conduct a quality assurance program to assure compliance with §289.202(ggg)(4)(A) and (B) of this title;

(VI)

forward a copy or electronically transfer the uniform manifest to the intended consignee so that either:

(-a-)

receipt of the uniform manifest precedes the LLRW shipment; or

(-b-)

the uniform manifest is delivered to the consignee with the waste at the time the waste is transferred to the consignee. Using both items (-a-) and (-b-) of this subclause is also acceptable;

(VII)

include the uniform manifest with the shipment regardless of the option chosen in subclause (VI) of this clause;

(VIII)

receive acknowledgement of the receipt of the shipment in the form of a signed copy of the uniform manifest;

(IX)

retain a copy of or electronically store the uniform manifest and documentation of acknowledgement of receipt as the record of transfer of radioactive material as required by §289.251 of this title, §289.252 of this title, and §289.254 of this title;

(X)

for any shipment or any part of a shipment for which acknowledgement of receipt has not been received within the times set forth in this clause, conduct an investigation in accordance with clause (v) of this subparagraph; and

(XI)

notify the shipper and the agency when any shipment, or part of a shipment, has not arrived within 60 days after receipt of an advance uniform manifest, unless notified by the shipper that the shipment has been cancelled.

(iv)

The land disposal facility operator shall perform the following:

(I)

acknowledge receipt of the waste within one week of receipt by returning, as a minimum, a signed copy of the uniform manifest to the shipper. The shipper to be notified is the licensee who last possessed the waste and transferred the waste to the operator. If any discrepancy exists between materials listed on the uniform manifest and materials received, copies or electronic transfer of the affected forms must be returned indicating the discrepancy;

(II)

maintain copies of all completed uniform manifests and electronically store the information required by §289.202(ggg)(4)(C)(iv)(II) of this title until the agency terminates the license; and

(III)

notify the shipper and the agency when any shipment, or part of a shipment, has not arrived within 60 days after receipt of an advance uniform manifest, unless notified by the shipper that the shipment has been cancelled.

(v)

Any shipment or part of a shipment for which acknowledgement is not received within the times set forth in this section must undergo the following:

(I)

be investigated by the shipper if the shipper has not received notification or receipt within 20 days after transfer; and

(II)

be traced and reported. The investigation shall include tracing the shipment and filing a report with the agency. Each licensee who conducts a trace investigation shall file a written report with the agency within two weeks of completion of the investigation.

This agency hereby certifies that the adoption has been reviewed by legal counsel and found to be a valid exercise of the agency's legal authority.

Filed with the Office of the Secretary of State on March 10, 2000.

TRD-200001838

Susan K. Steeg

General Counsel

Texas Department of Health

Effective date: March 30, 2000

Proposal publication date: December 3, 1999

For further information, please call: (512) 458-7236