Part 3. TEXAS BOARD OF CHIROPRACTIC EXAMINERS

Chapter 80. PROFESSIONAL CONDUCT

22 TAC §80.3

The Texas Board of Chiropractic Examiners proposes to amend §80.3(c), relating to requests for information and records from licensees. Section 80.3(c) currently tracks the Chiropractic Act, Occupations Code §201.405(f), requiring a licensee to provide records and information to a patient within "a reasonable time." No statutory definition of "a reasonable time" is provided. The proposed amendment defines "reasonable time" to mean no later than 15 business days after the date of receipt of the request for records. The board regularly receives telephone complaints about licensees who fail to provide records to patients within a reasonable time period. Some complaints involves requests that were not answered for several weeks. The Board of Medical Examiners' rule, 22 TAC §165.2(b), requires a response within 15 business days. The board believes this is an appropriate maximum time period in which a licensee should respond to requests for records.

Dr. Sergio François, D.C., Chair, Rules Committee, has determined that for the first five-year period the section as amended is in effect, there will be no fiscal implications for state or local government as a result of enforcing or administering the section as amended.

Dr. François has also determined that for each year of the first five years, the section as amended is in effect, the public benefit anticipated as a result of enforcing and administering the proposed amendment, will be that licensees will provide records on a more prompt basis. The rule is intended to provide guidance to licensees and patients as to the time in which a licensee has to respond to record and information requests. For the same period, there is no anticipated adverse economic effect on small or micro businesses, or anticipated economic cost to persons who are required to comply with the amendment as proposed.

Written comments may be submitted, no later than 30 days from the date of this publication, to Joe Armstrong, Rules Committee, Texas Board of Chiropractic Examiners, 333 Guadalupe, Tower III, Suite 825, Austin, Texas 78701.

The amendment is proposed under the Occupations Code §201.152, which the board interprets as authorizing it to adopt rules necessary for the performance of its duties, the regulation of the practice of chiropractic, and the enforcement of the Chiropractic Act.

The following are the statutes, articles, or codes affected by the amendment: §80.3(c)--Occupations Code, §201.152.

§80.3.Request for Information and Records from Licensees.

(a) - (b) (No change.)

(c) Reasonable time. A copy of chiropractic records or a summary or narrative of the records requested under subsection (a) of this section shall be furnished by the licensee within a reasonable time , not to exceed 15 business days from [ after ] the date of the request.

(d) - (h) (No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on May 16, 2002.

TRD-200203036

Gary K. Cain, Ed.D.

Executive Director

Texas Board of Chiropractic Examiners

Earliest possible date of adoption: June 30, 2002

For further information, please call: (512) 305-6709

Chapter 501. RULES OF PROFESSIONAL CONDUCT

Subchapter C. RESPONSIBILITIES TO CLIENTS

22 TAC §501.77

The Texas State Board of Public Accountancy (Board) proposes an amendment to §501.77, concerning Acting through Others.

The amendment to §501.77 will attach liability for a CPA firm's non-CPA owners' conduct to the CPA firm.

William Treacy, Executive Director of the Board, has determined that for the first five-year period the proposed amendment will be in effect:

A. the additional estimated cost to the state expected as a result of enforcing or administering the amendment will be zero because the conduct of non-CPA owners will be treated no differently than the conduct of CPA owners under the rule.

B. the estimated reduction in costs to the state and to local governments as a result of enforcing or administering the amendment will be zero because the conduct of non-CPA owners will be treated no differently than the conduct of CPA owners under the rule.

C. the estimated loss or increase in revenue to the state as a result of enforcing or administering the amendment will be zero because the conduct of non-CPA owners will be treated no differently than the conduct of CPA owners under the rule.

Mr. Treacy has determined that for the first five-year period the amendment is in effect the public benefits expected as a result of adoption of the proposed amendment will be continued accountability of CPA firms even when inappropriate conduct is committed by non-CPA owners of CPA firms.

The probable economic cost to persons required to comply with the amendment will be zero because the conduct of non-CPA owners will be treated no differently than the conduct of CPA owners under the rule.

Mr. Treacy has determined that a Local Employment Impact Statement is not required because the proposed amendment will not affect a local economy.

The Board requests comments on the substance and effect of the proposed amendment from any interested person. Comments must be received at the Board no later than noon on June 28, 2002. Comments should be addressed to Amanda G. Birrell, General Counsel, Texas State Board of Public Accountancy, 333 Guadalupe, Tower III, Suite 900, Austin, Texas 78701 or faxed to her attention at (512) 305-7854.

Mr. Treacy has determined that the proposed amendment will not have an adverse economic effect on small businesses because the conduct of non-CPA owners will be treated no differently than the conduct of CPA owners under the rule.

The Board specifically invites comments from the public on the issues of whether or not the proposed amendment will have an adverse economic effect on small business; if the amendment is believed to have such an effect, then how may the Board legally and feasibly reduce that effect considering the purpose of the statute under which the amendment is to be adopted; and if the amendment is believed to have such an effect, how the cost of compliance for a small business compares with the cost of compliance for the largest business affected by the amendment under any of the following standards: (a) cost per employee; (b) cost for each hour of labor; or (c) cost for each $100 of sales. See Texas Government Code, §2006.002(c).

The amendment is proposed under the Public Accountancy Act, Tex. Occupations Code, Sections 901.151 (Vernon 2001) which authorizes the Board to adopt rules deemed necessary or advisable to effectuate the Act and 901.354 which authorizes non-CPA ownership of CPA firms.

No other article, statute or code is affected by this proposed amendment.

§501.77.Acting through Others.

(a) A certificate or registration holder shall not permit others to carry out on his behalf, either with or without compensation, acts, which, if carried out by the certificate or registration holder, would place him in violation of these rules of professional conduct.

(b) The board shall consider that the conduct of any non-CPA owner or employee in connection with the business of a licensed firm is the conduct of that licensed firm for the purposes of the rules of professional conduct.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on May 17, 2002.

TRD-200203062

Amanda G. Birrell

General Counsel

Texas State Board of Public Accountancy

Earliest possible date of adoption: June 30, 2002

For further information, please call: (512) 305-7848

22 TAC §505.10

The Texas State Board of Public Accountancy (Board) proposes an amendment to §505.10, concerning Board Committees.

The amendment to §505.10 will permit the Board to increase the efficiency and effectiveness of its investigatory capabilities by utilizing volunteer CPA investigators.

William Treacy, Executive Director of the Board, has determined that for the first five-year period the proposed amendment will be in effect:

A. the additional estimated cost to the state expected as a result of enforcing or administering the amendment will be minimal (under $100.00 per year) because any increase from telephone calls and postage will be offset by the increased efficiency and effectiveness of investigations.

B. the estimated reduction in costs to the state and to local governments as a result of enforcing or administering the amendment will be zero as to local governments because they are not affected by the Amendment. The estimated reduction to state government costs will be minimal (under $100.00 per year) because any increase from telephone calls and postage will be offset by the increased efficiency and effectiveness of investigations.

C. the estimated increase in revenue to the state as a result of enforcing or administering the amendment will be minimal (under $100.00 per year) depending on the additional penalties collected by the Board as a result of the CPA volunteer investigator's efforts.

Mr. Treacy has determined that for the first five-year period the amendment is in effect the public benefits expected as a result of adoption of the proposed amendment will be an increase in the Board's enforcement efficiency and effectiveness.

The probable economic cost to persons required to comply with the amendment will be zero because the rule serves to increase the Board's enforcement efficiency and effectiveness in enforcing rules of conduct that are already in place.

Mr. Treacy has determined that a Local Employment Impact Statement is not required because the proposed amendment will not affect a local economy.

The Board requests comments on the substance and effect of the proposed amendment from any interested person. Comments must be received at the Board no later than noon on June 28, 2002. Comments should be addressed to Amanda G. Birrell, General Counsel, Texas State Board of Public Accountancy, 333 Guadalupe, Tower III, Suite 900, Austin, Texas 78701 or faxed to her attention at (512) 305-7854.

Mr. Treacy has determined that the proposed amendment will not have an adverse economic effect on small businesses because the rule serves to increase the Board's enforcement efficiency and effectiveness.

The Board specifically invites comments from the public on the issues of whether or not the proposed amendment will have an adverse economic effect on small business; if the amendment is believed to have such an effect, then how may the Board legally and feasibly reduce that effect considering the purpose of the statute under which the amendment is to be adopted; and if the amendment is believed to have such an effect, how the cost of compliance for a small business compares with the cost of compliance for the largest business affected by the amendment under any of the following standards: (a) cost per employee; (b) cost for each hour of labor; or (c) cost for each $100 of sales. See Texas Government Code, §2006.002(c).

The amendment is proposed under the Public Accountancy Act, Tex. Occupations Code, Sections 901.151 (Vernon 2001) which authorizes the Board to adopt rules deemed necessary or advisable to effectuate the Act and 901.162(c) which authorizes the Board to use constructive enforcement volunteers.

No other article, statute or code is affected by this proposed amendment.

§505.10.Board Committees.

(a) Committee appointments. Appointments to standing committees and ad hoc committees shall be considered annually by the board's presiding officer to assist in carrying out the functions of the board under the provisions of the Public Accountancy Act. Committee appointments shall be made by the presiding officer for a term of two years but may be terminated at any point by the presiding officer. Committee members may be re-appointed at the discretion of the presiding officer. The board's presiding officer shall be an ex officio member of each standing committee and ad hoc committee and chairman of the executive committee.

(b) Committee actions. The actions of the committees are recommendations only and are not binding until ratification by the board at a regularly scheduled meeting.

(c) Committee meetings. Committee meetings shall be held at the call of the committee chairman, and a report to the board at its next regularly scheduled meeting shall be made by such chairman or, in the absence of the chairman, by another board member serving on the committee.

(d) Vacancies. If for any reason a vacancy occurs on a committee, the board's presiding officer may appoint a replacement in accordance with subsection (a) of this section.

(e) Standing committee structure and charge to committees. The standing committees shall consist of the following individuals and shall be charged with the following responsibilities.

(1) The executive committee shall be comprised of the board's presiding officer, assistant presiding officer, secretary, treasurer, immediate past presiding officer of the board if still serving on the board, and at least one other officer elected by the board. The executive committee may act on behalf of the full board in matters of urgency, or when a meeting of the full board is not feasible; the executive committee's actions are subject to full board ratification at its next regularly scheduled meeting. The functions of the executive committee shall be to advise, consult with, and make recommendations to the board concerning matters requested by the board's presiding officer, including:

(A) litigation;

(B) proposed changes in the board rules of professional conduct (the rules);

(C) amendments to the Act;

(D) responses/positions relating to papers, reports, and other submissions from national associations or boards; and

(E) special issues.

(2) The continuing professional education committee shall be comprised of at least two board members, one of whom shall serve as chairman, assisted by at least two non-board members who shall serve in an advisory capacity. The committee shall make recommendations to the board regarding:

(A) the mandatory continuing professional education program as it relates to reporting and attendance requirements, registration and monitoring of continuing professional education sponsors, disciplinary actions, reporting forms, and office procedures;

(B) proposed changes in board rules, opinions, and policies related to the mandatory continuing professional education program as it relates to licensees and to relations with sponsors of continuing professional education;

(C) investigations of sponsor compliance with the terms of the sponsor agreements, including the related recordkeeping requirements;

(D) the results of monitoring continuing professional education courses for the purpose of evaluating the facilities, course content as presented, and the adequacy of the course presenter(s); and

(E) any significant deficiencies observed in carrying out subparagraphs (C) and (D) of this paragraph.

(3) The qualifications committee shall be comprised of at least two board members, one of whom shall serve as chairman. The committee shall make recommendations to the board regarding:

(A) the educational qualifications of an applicant for the Uniform Certified Public Accountant Examination in accordance with §§511.51 through 511.59 of this title (relating to Educational Requirements);

(B) the administration, security, discipline, and other aspects of the conduct of the Uniform Certified Public Accountant Examination in Texas;

(C) the work experience qualifications of an applicant for the certified public accountant certificate in accordance with §§511.121 through 511.124 of this title (relating to Experience Requirements); and/or

(D) where applicable, the equivalency examination measuring the professional competency of an applicant for a CPA certificate by reciprocity; and

(E) proposed changes in board rules, opinions, and policies relating to the qualifications process.

(4) The licensing committee shall be comprised of at least two board members, one of whom shall serve as chairman. The committee shall make recommendations to the board regarding:

(A) applications for certification, registration, and licensure;

(B) requests or applications for reinstatement of any certificate, registration, or license which the board previously has revoked, suspended, or refused to renew; and

(C) proposed changes in board rules, opinions, and policies as they relate to the licensing process.

(5) The behavioral enforcement committee shall be comprised of at least two board members, one of whom shall serve as chairman, assisted by at least two non-board members who shall serve in an advisory capacity. The committee shall:

(A) study complaints from any source involving possible violations of the Act by certificate or registration holders and others;

(B) study possible violations by certificate or registration holders of the behavioral standards within the rules;

(C) make recommendations to the board concerning the disposition of such possible violations;

(D) follow up on board orders to insure that certificate or registration holders and others adhere to sanctions prescribed by or agreements with the board; and

(E) make recommendations to the board concerning proposed changes in board rules, opinions, and policies related to the behavioral restraints of the rules and the Act.

(6) The technical standards review committee shall be comprised of at least two board members, one of whom shall serve as chairman, and at least three non-board members with recognized experience in industry, government, and education. The committee shall:

(A) study complaints from any source involving suspected violations of the technical standards included in the rules and shall make recommendations to the board as appropriate; and

(B) follow up on board orders to insure that certificate or registration holders and others adhere to sanctions prescribed by or agreements with the board.

(7) The peer [ quality ] review committee shall be comprised of at least two board members, one of whom shall serve as chairman, assisted by any number of non-board members who shall serve in an advisory capacity. The committee shall:

(A) conduct a periodic review and evaluation of reports publicly filed with the State of Texas (or any board, commission, or agency thereof) and of each of the various types of reports, as defined by board rule, of each practice unit, as defined by board rule, which is engaged in the practice of public accountancy in the State of Texas;

(B) refer to the technical standards review committee egregious substandard reports issued by practice units for which educational rehabilitation has not been effective; and

(C) make recommendations to the board with regard to proposed changes in board rules, opinions, and policies relating to the quality review program.

(8) The board rules committee shall be comprised of at least two board members, one of whom shall serve as chairman, assisted by any number of non-board members who shall serve in an advisory capacity. The committee shall make recommendations to the board and propose changes regarding board rules. All committees shall endeavor to consult with the board rules committee concerning proposed rules.

(9) The regulatory compliance committee shall be comprised of at least two board members, one of whom shall serve as chairman, assisted by any number of non-board members who shall serve in an advisory capacity. The committee shall make recommendations to the board regarding legislative oversight, including, but not limited to, budget, performance measures, proposed changes in legislation affecting the board, and computer utilization.

(10) The major case enforcement committee shall be comprised of at least two board members, one of whom shall serve as chairman. At least one committee member shall be a public member of the board. The committee shall make recommendations to the board regarding legal matters on litigation or potential litigation, and other major cases to which the board is a party. The committee shall have the authority to act on behalf of the board in instances where disclosure of facts to the full board could cause the board's objectivity to be jeopardized, subject to final approval by the board. The board shall have sole authority to determine whether cases shall be heard by the major case enforcement committee or other enforcement committee.

(11) The peer assistance oversight committee shall be comprised of at least two board members, one of whom shall serve as chairman. The committee shall oversee the peer assistance program administered by the Texas Society of Certified Public Accountants as required under the Texas Health and Safety Code, Chapter 467.001(B), and insure that the minimum criteria as set out by the Texas Commission on Alcohol and Drug Abuse are met. It shall make recommendations to the board and the TSCPA regarding modifications to the program and, if warranted, refer cases to other board committees for consideration of disciplinary or remedial action by the board. The committee shall report to the board on a quarterly basis, by case number, on the status of the program.

(12) The constructive enforcement committee shall be comprised of two board members, one of whom shall serve as chairman, assisted by non-board CPA members who shall also serve as investigators. The committee shall approve the constructive enforcement program, coordinate its activities with board committees and staff, and supervise the training of committee members. A staff attorney of the board shall supervise the day to day administration of the constructive enforcement program and activities of the committee's non-board members on behalf of the committee chairman. The committee shall:

(A) investigate matters forwarded to the committee from any other board committee or board staff in accordance with board instruction and policy;

(B) prepare, as appropriate, investigative reports regarding each referred matter;

(C) inform referring board committees or board staff of the results of its investigations;

(D) inform the appropriate committee when possible violations of board rules and the Public Accountancy Act are observed; and

(E) make recommendations to the board concerning proposed changes in board rules, opinions, and policies relating to the constructive enforcement program.

(f) Ad hoc advisory committees. Ad hoc advisory committees may be established by the board's presiding officer and members and advisory members appointed as appropriate.

(g) Definition of terms. As used in this section, the terms "chairman" and "chairmen" are used for convenience and are intended to include persons of either sex.

(h) Policy guidelines. All advisory committee members performing any duties utilizing board facilities and/or who have access to board records, shall conform and adhere to the standards, board rules, and personnel policies of the board as described in its personnel manual and to the laws of the State of Texas governing state employees.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State on May 17, 2002.

TRD-200203063

Amanda G. Birrell

General Counsel

Texas State Board of Public Accountancy

Earliest possible date of adoption: June 30, 2002

For further information, please call: (512) 305-7848