TITLE 25.HEALTH SERVICES

Part 1. TEXAS DEPARTMENT OF HEALTH

Chapter 128. PERMITS FOR CONTACT LENS DISPENSERS

25 TAC §§128.1, 128.2, 128.6, 128.10

The Texas Department of Health (department) proposes amendments to §§128.1-128.2, 128.6 and a new §128.10 concerning the regulation of persons filling contact lens prescriptions. Specifically, the amendments and new section cover introduction; definitions; violations, complaints, and disciplinary actions; and fees. Amendments are necessary to correct citations throughout 25 Texas Administrative Code, Chapter 128. House Bill 3155, 76th Legislature, 1999, compiled relevant laws into the Texas Occupations Code without altering meaning or legal effect. The Contact Lens Prescription Act, Vernon's Texas Civil Statutes, Article 4552-A was codified as the Texas Occupations Code, Chapter 353; the Opticians' Registry Act, Vernon's Texas Civil Statutes, Article 4551-1, became Texas Occupations Code, Chapter 352; and Vernon's Texas Civil Statutes, Article 6252-13c and 6252-13d were codified as the Texas Occupations Code, Chapter 53. New §128.10 sets out a schedule of fees for obtaining a contact lens dispensing permit.

L. Jann Melton-Kissel, Director of Budget and Legislative Policy Analysis, Bureau of Licensing and Compliance has determined that for each year of the first five-year period the sections are in effect, there will be fiscal implications as a result of enforcing or administering the sections as proposed. The proposed increase in permit fees and the establishment of late renewal penalties are estimated to generate additional revenues of $46,000 each year of the first five years for state government. The increase in permit fees will offset current costs associated with enforcing and administering the Contact Lens Prescription Act. There will be no effect on local government.

Ms. Melton-Kissel has also determined that for each year of the first five years the sections are in effect, the public benefit anticipated as a result of enforcing the sections will be to protect public health by requiring that contact lenses are only dispensed by persons and entities holding a contact lens dispensing permit.

There will be a varying impact on small businesses, micro-businesses and large businesses that sell or dispense contact lenses to consumers in Texas. Actual costs will vary significantly because the Contact Lens Prescription Act allows a business entity with at least ten contact lens dispensing locations to obtain a single permit for the entity and its employees. Business entities with one to nine locations will incur additional costs of $200 per location; however, business entities with ten or more locations will only incur an additional cost of $200. The cost to persons registered with the department under the Opticians' Registry Act will be an additional $40 per year and the cost to persons who are not registered under the Opticians' Registry Act is an increase of $50 per year. Additionally, business entities and persons who fail to renew timely will incur late renewal penalty fees of one and one-half times the annual permit fee if renewed within 90 days following the expiration date or two times the annual permit fee if renewed after 90 days but within one year of the expiration date. There is no anticipated impact on local employment.

Comments on the proposal may be submitted to Stephen Mills, Program Administrator, Contact Lens Permit Program, Professional Licensing and Certification Division, Texas Department of Health, 1100 West 49th Street, Austin, Texas 78756-3183, (512) 834-4515. Comments will be accepted for 30 days following publication of this proposal in the Texas Register .

The amendments and new section are proposed under Texas Occupations Code, Chapter 353, Chapter 352, and Chapter 53, which provide the Board of Health (board) with the authority to adopt rules; and Health and Safety Code, §12.001, which provides the board with authority to adopt rules to implement every duty imposed by law on the board, the department and the commissioner of health.

The amendments and new section affect the Texas Occupations Code, Chapter 353, Chapter 352, and Chapter 53.

§128.1.Introduction.

(a)

Purpose. This chapter implements the applicable provisions of the Texas Contact Lens Prescription Act, Texas Occupations Code, Chapter 353 [ Texas Civil Statutes, Article 4552-A ], concerning the issuance of a contact lens prescription, a patient's right of access to that prescription, and the regulation of persons filling contact lens prescriptions.

(b)

(No change.)

§128.2.Definitions.

The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise. Words and terms defined in the Texas Contact Lens Prescription Act shall have the same meaning in this chapter that they are assigned in the Act.

(1)

Act - The Texas Contact Lens Prescription Act, Texas Occupations Code, Chapter 353 [ Texas Civil Statutes, Article 4552-A ].

(2)

Administrator - The department employee designated as the administrator of the permitting activities authorized by the Act.

(3)

Applicant - A person or entity who applies for a permit under the Act.

(4)

Board - The Texas Board of Health.

(5)

Commissioner - The Commissioner of the Texas Department of Health.

(6)

Department - The Texas Department of Health.

(7)

Optician - A person, other than a physician, optometrist, therapeutic optometrist, or pharmacist who is in the business of dispensing contact lenses.

(8)

Permit - A contact lens dispensing permit issued under the Act to an optician, a corporation, or other business entity that fills a contact lens prescription in this state or sells, delivers, or dispenses contact lenses to any person in this state.

§128.6.Violations, Complaints, and Disciplinary Actions.

(a)- (c)

(No change.)

(d)

Department actions.

(1)

The board may deny a permit application or permit renewal application or suspend or revoke the permit, or place the permit on probation for a violation of the Act or this chapter. The board may also impose an administrative penalty of not more than $1,000 for a violation of the Act. Administrative penalties shall be assessed in accordance with the procedures set forth in the Opticians' Registry Act, Texas Occupations Code, Chapter 352, Subchapter G (relating to Administrative Penalty) [ Texas Civil Statutes, Article 4551-1, §10A ].

(2)- (3)

(No change.)

(e)

Formal hearings.

(1)

A formal hearing shall be conducted in accordance with the Administrative Procedure Act, Government Code, Chapter 2001[ , and Chapter 1 of this title (relating to Texas Board of Health) ].

(2)

(No change.)

(f)

Guidelines concerning criminal convictions.

(1)

The purpose of this section is to comply with the requirements of the Texas Occupations Code, Chapter 53, Subchapter C (Notice and Review of Suspension, Revocation, or Denial of License) [ Texas Civil Statutes, Article 6252-13d (Suspension, Revocation, or Denial of License to Persons with Criminal Backgrounds; Guidelines and Application of Law) ].

(2)

The department may deny a permit application or a permit renewal application, or revoke, suspend, or place on probation an existing permit if an applicant or permit holder has been convicted of a crime (felony or misdemeanor) according to the following guidelines:

(A)

(No change.)

(B)

the factors and evidence listed in Chapter 53, Subchapter B [ Article 6252-13c, §4 ] ( Ineligibility for License [ Eligibility of Persons with Criminal Backgrounds for Certain Occupations, Professions, and Licenses ]) shall be considered in determining eligibility for a permit.

§128.10.Fees.

(a)

The annual permit fees are as follows:

(1)

$50 for an optician who has registered with the department under the Opticians' Registry Act, Texas Occupations Code, Chapter 352;

(2)

$75 for an optician who has not registered with the department under the Opticians' Registry Act, Texas Occupations Code, Chapter 352; and

(3)

$300 for a business entity.

(b)

A person whose permit has been expired for 90 days or less may renew the permit by paying to the department a renewal fee that is equal to one and one-half times the normally required annual permit fee.

(c)

A person whose permit has been expired for more than 90 days but less than one year may renew the permit by paying to the department a renewal fee that is equal to two times the normally required annual permit fee.

(d)

A person whose permit has been expired for one year or more may not renew the permit. The person may obtain a new permit by complying the requirements and procedures for an original permit.

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 July 27, 2000.

TRD-200005198

Susan K. Steeg

General Counsel

Texas Department of Health

Earliest possible date of adoption: September 10, 2000

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


Chapter 221. MEAT SAFETY ASSURANCE

The Texas Department of Health (department) proposes the repeal of existing §221.1 and §221.2, and new §§221.1-221.9, concerning minimum standards for transporting dead animals and rendering. New §§221.1-221.9 covers general provisions; definitions; licensing requirements, construction permit requirements, exemptions, fees, and procedures; vehicles, identification of vehicles, and vehicle permit decals; records, rendering business construction, operational requirements, and grounds; prohibited acts; assessment of administrative penalties; and denial, suspension or revocation of license or permit, enforcement provisions and reinstatement.

Section 221.1 and §221.2 are being proposed for repeal for the purpose of implementing Senate Bill (SB) 1532 which was enacted during the 76th Texas Legislature, Regular Session, 1999. SB 1532 became effective September 1, 1999, and makes application of the Act prospective to January 1, 2001. The new §§221.1-221.9 contain new language to clarify existing requirements for rendering businesses and dead animal or renderable raw material haulers. The new sections establish new license fees for certain rendering businesses. The new sections clarify the department's inspection authority and enforcement options available under Health and Safety Code, Chapter 144, Texas Renderers' Licensing Act (the Act).

Pursuant to the Government Code, §2001.39, each state agency is required to review and consider for readoption each rule adopted by that agency. The current rules have been reviewed and the department has determined that reasons for adopting the sections continue to exist. However, for the purpose of implementing Senate Bill 1532, the current rules are being repealed and new rules are being proposed.

The department published a Notice of Intention to Review for §221.1 and §221.2 as required by Government Code, §2001.039 in the Texas Register on December 17, 1999 (24 TexReg 11542). No comments were received as a result of the publication of the notice.

Lee C. Jan, D.V.M., Director, Meat Safety Assurance Division, has determined that for each year of the first five-year period the sections are in effect there will be fiscal implications as a result of enforcing or administering the rules as proposed. It is estimated that the costs to the department to enforce the new provisions will be approximately $90,000 per year. Since SB 1532 was amended to allow the department to set the fees by rule, the new provisions propose a new fee schedule, which will generate an estimated $90,000 per year in revenue to recover the department's costs in implementing and enforcing the Act and the new rules.

Dr. Jan has also determined that for each year of the first five years the sections are in effect, the anticipated public benefit will be continued assurance of consumer safety by enforcing new regulations relating to transporting dead animals and rendering. The anticipated cost to micro-businesses and small businesses will be a graduated annual fee increase, an annual vehicle permit fee, and a one-time permit fee increase for new construction or renovation. Annual fee increases are commensurate with the size of the business, from $50 to $1,200 per year for operating licenses, $100 to $200 per year for various station and hauler licenses, and $25 per year per vehicle. One-time permit fee increases are commensurate with the cost of the construction process from $150 to $500. There will be no impact to local employment.

Comments on the proposal may be submitted to Bobby G. Blackwell, Meat Safety Assurance Division, Texas Department of Health, 1100 West 49th Street, Austin, Texas 78756; (512) 719-0205. Comments will be accepted for 30 days following publication of the proposal in the Texas Register . In addition, a public hearing will be held at 1:00 p.m. on Tuesday, August 28, 2000, in Room K-100 at the Texas Department of Health, 1100 West 49th Street, Austin, Texas 78756.

Subchapter A. TRANSPORTING DEAD ANIMALS

25 TAC §221.1, §221.2

(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Department of Health or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The repeals are proposed under the Health and Safety Code §144.074, which provides the Texas Board of Health with the authority to adopt necessary regulations pursuant to the enforcement of this chapter, and §12.001, which provides the Texas Board of Health with the authority to adopt rules for the performance of every duty imposed by law on the board, the department, and the commissioner of health.

The proposed repeals affect Health and Safety Code, Chapter 144.

§221.1.Identifying Vehicles Transporting Dead Animals.

§221.2.Administrative Penalties.

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 July 27, 2000.

TRD-200005214

Susan K. Steeg

General Counsel

Texas Department of Health

Earliest possible date of adoption: September 10, 2000

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


Subchapter A. TRANSPORTING DEAD ANIMALS AND RENDERING

25 TAC §§221.1 - 221.9

The new sections are proposed under the Health and Safety Code §144.074, which provides the Texas Board of Health with the authority to adopt necessary regulations pursuant to the enforcement of this chapter, and §12.001, which provides the Texas Board of Health with the authority to adopt rules for the performance of every duty imposed by law on the board, the department, and the commissioner of health.

The new sections affect Health and Safety Code, Chapter 144.

§221.1.General Provisions.

(a)

These sections provide for the licensing and regulation of rendering businesses; transporters of renderable raw materials and dead animals; and locations where a rendering business is being conducted.

(b)

The Texas Renderers' Licensing Act, Health and Safety Code, Chapter 144, provides the department with the authority to adopt rules consistent with the chapter as necessary pursuant to the enforcement of this chapter.

(c)

No person may cause, suffer, or allow the operation, management, or maintenance of a rendering business or rendering business location without a license issued by the department in accordance with these sections.

(d)

All rendering businesses and rendering business locations shall comply with the minimum standards specified in these sections in addition to existing standards contained in the Texas Renderers' Licensing Act and the Texas Meat and Poultry Inspection Act, Health and Safety Code, Chapter 433, relating to adulteration and misbranding.

(e)

Any person who transports renderable raw materials and/or dead animals from any place within this state to any place outside of borders of this state must have a valid rendering business license issued by the department.

(f)

As a condition of licensing, the department may prescribe other responsible and appropriate construction, operational, maintenance and inspection requirements to ensure compliance with this chapter and other applicable rules of the department.

§221.2.Definitions.

The following words and terms, when used in these sections, shall have the following meanings unless the context clearly indicates otherwise.

(1)

Act--The Texas Renderers' Licensing Act, Texas Health and Safety Code, Chapter 144.

(2)

Authorized agent--An employee of the department designated by the commissioner to enforce the Act.

(3)

Commissioner--Commissioner of the Texas Department of Health.

(4)

Department--The Texas Department of Health.

(5)

Dead animal--The whole or substantially whole carcass of a dead or fallen domestic animal, or domesticated wild animal, that was not slaughtered for human consumption.

(6)

Dead animal hauler--A person who collects and disposes of dead animals for commercial purposes.

(7)

Disposal--The burying, burning, cooking, processing, or rendering of dead animals or of renderable raw materials.

(8)

Employee--A person who:

(A)

is a legal employee of a rendering establishment; and

(B)

handles or operates rendering equipment, utensils, containers, packaging materials or vehicles, owned or leased by the rendering establishment which are used to transport renderable raw material, recyclable cooking oil and/or waste cooking grease, and dead animals.

(9)

Feed grade fats and oils--Those fats or oils which have been obtained from edible fat and oil processing and include fatty acid products that result from the commercial rendering of animal tissues and from the processing of edible vegetables and plants.

(10)

Grease trap/grit trap waste--Industrial grade oil as defined in paragraph (11) of this section and as such is not suitable for use as animal feed or topical cosmetics.

(11)

Industrial grade oil--A product not suitable for use in livestock feeds, and includes:

(A)

tall oils--resinous by-product from the manufacturing of chemical wood pulp;

(B)

by-products which have been used in or derived from nonfood manufacturing processes;

(C)

salvage or sludge type oils which may consist in part of feed grade material, but which may also contain potential contaminants from a manufacturing process or the environment; and

(D)

oils exposed to pesticides, polychlorinated biphenyls (PCBs), industrial chemicals, heavy metals, or other adulterants.

(12)

Inedible kitchen grease--Any unprocessed or partially processed grease, fat, or oil previously used in the cooking or preparation of food for human consumption and no longer suitable for such use.

(13)

Nuisance--Any situation or condition that constitutes a nuisance under the Health and Safety Code, §341.011.

(14)

Operating license--A valid operating license issued by the department for each of the following:

(A)

a rendering establishment;

(B)

a related station;

(C)

a transfer station;

(D)

a renderable raw material hauler;

(E)

a dead animal hauler; or

(F)

a combination dead animal and renderable raw material hauler.

(15)

Person--An individual, firm, partnership, association, corporation, trust, company, or organization, and includes an agent, officer, or employee of that individual or entity.

(16)

Pests--Any objectionable animal or insect including, but not limited to: rodents, flies, larvae, and birds.

(17)

Processing--An operation or combination of operations through which materials derived from a dead animal or renderable raw material sources are:

(A)

prepared for disposal at a rendering establishment;

(B)

stored; or

(C)

treated for commercial use or disposition, other than as food for human consumption.

(18)

Recyclable cooking oil--Any unprocessed or partially processed grease, fat, or oil previously used in the cooking or preparation of food for human consumption and intended for recycling by being used or reused as:

(A)

an ingredient in a process to make a product; or

(B)

an effective substitute for a commercial product.

(19)

Related station--An operation or facility that is necessary, useful, or incidental to the operation of a rendering establishment and that is operated or maintained separately from the rendering establishment.

(20)

Rendering business--The collection, transportation, disposal, or storage of dead animals or renderable raw materials for commercial purposes at locations where dead animals or renderable raw materials are rendered, boiled, processed, stored, transferred, or otherwise prepared, either as a separate business or in connection with any other established business.

(21)

Rendering establishment--An establishment or part of an establishment, a plant, or any other premises at which dead animals or renderable raw materials are rendered, boiled, processed, or otherwise prepared to obtain a product for commercial use or disposition, other than as food for human consumption. The term includes all other operations and facilities that are necessary or incidental to the establishment.

(22)

Renderable raw material--Any unprocessed or partially processed material of animal or plant origin, other than a dead animal, that is to be processed by rendering establishments. The term includes:

(A)

animals, poultry, or fish slaughtered or processed for human consumption but that are unsuitable for that use;

(B)

the inedible products and by-products of animals, poultry, or fish slaughtered or processed for human consumption;

(C)

parts from dead animals;

(D)

whole or partial carcasses of dead poultry or fish;

(E)

waste cooking greases; and

(F)

recyclable cooking oil.

(23)

Renderable raw material hauler--A person who collects or transports renderable raw materials for commercial purposes.

(24)

Renderable raw material hauling vehicle--Any motorized vehicle or detachable trailer used in the collection, receipt, transportation, delivery, transfer, or storage of renderable raw materials for commercial purposes.

(25)

Transfer station--A facility at which renderable raw materials are transferred from one conveyance to another.

(26)

Vehicle permit decal--A valid registration decal issued by the department.

(27)

Waste cooking grease--Any unprocessed or partially processed grease, fat, or oil previously used in the cooking or preparation of food for human consumption and no longer suitable for such use, also defined as inedible kitchen grease.

(28)

Waste cooking grease hauler--Any person who collects, receives, transports, delivers, transfers, or stores incidental to such activities renderable raw material for commercial purposes, whether or not such person is required to obtain a renderable raw material hauler license.

§221.3.Licensing Requirements, Construction Permit Requirements, Exemptions, Fees and Procedures.

(a)

Licensing requirements. All rendering businesses, renderable raw material haulers and/or dead animal haulers shall obtain a license annually from the department for each business and/or place of business operated as a:

(1)

rendering establishment;

(2)

related station;

(3)

transfer station;

(4)

renderable raw material hauler;

(5)

dead animal hauler; or

(6)

combination dead animal and renderable raw material hauler.

(b)

Construction permit requirements. A person shall, prior to construction, obtain a construction permit (except as provided by the Act, §144.042) to construct a new rendering business or initiate construction involving replacement, addition, renovations or expansion of a rendering business as a:

(1)

rendering establishment;

(2)

related station; or

(3)

transfer station.

(c)

Exemptions from licensing requirements. Rendering business licensing requirements do not apply to the following:

(1)

a person who slaughters, butchers, manufactures, or sells animal flesh or products only for use as food for human consumption, unless the person also performs rendering operations or processes as defined in this subchapter;

(2)

a person who transports or disposes of the bodies of animals slaughtered for use as food for human consumption or the products of these bodies only for that purpose;

(3)

an individual who disposes of the individual's own animal; or

(4)

a governmental agency that collects, transports, or disposes of dead animals and renderable raw materials.

(d)

Exemption from construction permit requirements. A construction permit fee is not required if the following conditions are met.

(1)

The construction of a new rendering business is less than $10,000.

(2)

The construction at a licensed rendering business is less than $10,000.

(e)

The construction and layout requirements established under the Act applies to the construction.

(f)

The department may prescribe other reasonable and appropriate construction, operational, and maintenance requirements to ensure compliance with the Act and rules of this chapter.

(g)

License fee. All rendering businesses, renderable raw material haulers and/or dead animal haulers operating in Texas shall obtain a license annually with the department except as provided for in subsection (c) of this section and shall pay a licensing fee for each rendering business operated as follows:

(1)

$350 for rendering establishments having gross annual sales not exceeding $100,000;

(2)

$500 for each rendering establishments having gross annual sales exceeding $100,000 but not more than $200,000;

(3)

$750 for each rendering establishments having gross annual sales exceeding $200,000 but not more than $500,000;

(4)

$1,000 for each rendering establishment having gross annual sales exceeding $500,000 but not more than $1 million;

(5)

$1,500 for each rendering establishment having gross annual sales exceeding $1 million;

(6)

$400 for each related station license;

(7)

$400 for each transfer station license;

(8)

$250 for each dead animal hauler license;

(9)

$250 for each renderable raw material hauler license; and

(10)

$250 for each combination dead animal and renderable raw material hauler license.

(h)

Vehicle permit decal fee. Except as exempted under subsection (c) of this section, a renderable raw material and/or dead animal hauling vehicle shall not be allowed to collect and transport dead animals or renderable raw materials unless such vehicle displays a decal as prescribed by the department and shall pay a permit decal fee of $25 for each vehicle.

(i)

Construction permit fee. An application for a construction permit must be accompanied by a fee payable to the department and will be based on the dollar value of construction cost as listed in this paragraph. The applicant must provide validated information and any other information required by the department to verify the construction cost. If construction cost is:

(1)

Less than $10,000, then there is no permit fee required;

(2)

$10,000 - $49,999, the fee is $250;

(3)

$50,000 - $99,999, the fee is $500;

(4)

$100,000 - $249,999, the fee is $1,000;

(5)

$250,000 - $499,999, the fee is $1,500; and

(6)

$500,000 and over, the fee is $2,500.

(j)

License forms. License forms may be obtained by mail from the Meat Safety Assurance Division, Texas Department of Health, 1100 West 49th Street, Austin, Texas 78756-3182, or from the Bureau of Food and Drug Safety website at http://www.tdh.state.tx.us/bfds/lic/apps.html.

(k)

License applications and construction permits. A license or construction permit application for each rendering business, renderable raw material hauler and/or dead animal hauler shall be signed by the applicant and notarized, shall be made on the license application furnished by the department, shall be completed in its entirety, and shall be submitted with the license or construction permit fee.

(l)

Issuance of license. The department may issue a license to the owner of a rendering business, renderable raw material hauler, and/or dead animal hauler after determining that the application is complete and the applicant is in compliance with the Act and rules in this chapter.

(1)

A rendering business, renderable raw material hauler and/or dead animal hauler operating license shall be valid from the date of issuance until 12:00 midnight, December 31 of the calendar year in which the license was issued.

(2)

The license shall be displayed in a prominent place at the physical rendering business location.

(3)

A photocopy of the license should be placed in each rendering business vehicle used to collect dead animals and/or renderable raw material.

(m)

Renewal of license--applicable to all operations subject to the Act.

(1)

Each year the license holder shall renew his operator's license in accordance with the requirements of this section.

(2)

The license holder shall renew the license by filing an application for renewal on the form prescribed by the department accompanied by the required licensing fee set by the department. A licensee must file for renewal before the expiration date of the current license.

(3)

If the renewal fee is not paid before the expiration of the 15th day after the date on which written notice of delinquency is provided to the license holder by the department, the license expires.

(4)

If an operating license expires, a new application for an operating license must be submitted along with the appropriate fee.

(5)

Failure to submit the renewal application annually may subject the rendering business to the enforcement provision of this chapter, §221.8 (relating to Assessment of Administrative Penalties) and §221.9 (relating to Denial, Suspension, or Revocation of License or Permit and Enforcement Provisions.)

(6)

Falsification of an application will be grounds for denial or revocation of a license.

(n)

Transferability of license. A rendering business license is not transferable.

§221.4.Vehicles, Identification of Vehicles and Vehicle Permit Decals.

(a)

Vehicles:

(1)

must be leak proof;

(2)

must be sanitized each day of use and maintained in a manner to preclude the creation of a nuisance;

(3)

may not be used to transport articles intended for use as, or for the preparation of, human food; and

(4)

must comply with each applicable requirement of the Texas Department of Public Safety for operation on public roads or highways as follows:

(A)

Verification of vehicle compliance with applicable insurance requirements must either be kept in the vehicle or be in the possession of the driver.

(B)

Vehicle must comply with gross vehicle weight limitations.

(b)

Identifying vehicles. Each licensee operating vehicles used in transporting dead animals and/or rendering raw materials under the provisions of this chapter shall have such vehicles identified in the following manner.

(1)

Every vehicle used in the transportation of renderable raw materials and/or dead animals shall display the name of the owner of the vehicle in letters not less than two inches high on the outside of the driver side front doors of the vehicle or on the driver side lower front corner of the box or trailer in a color contrasting distinctly with the background.

(2)

The license number shall be permanently affixed to the outside of each front door of the vehicle or on each side of the lower front corner of the box or trailer in letters two inches high, and in a color contrasting distinctly with the background. Preceding the license number shall be the inscription "TRLA".

(3)

The identification shall be an integral part of the license, and shall expire with said license. Upon sale or trade of any vehicle bearing such identification, it shall be the responsibility of the licensee to remove the identification.

(4)

Collection vehicles being operated and licensed under the provision of this chapter shall bear, in addition to the identification described in this section, an identifying decal issued by the department by which it may be distinguished from all other vehicles. The decal will be displayed in the windshield of the vehicle or in another location as approved by the department (i.e., combination truck/trailer transport).

(5)

In the event a mechanical failure of a permitted vehicle, the licensee should immediately contact the department and provisions will be made for the issuance of a temporary permit for a period not exceeding 30 days, provided the replacement vehicle meets all requirements of this section.

(c)

Vehicle permit decal.

(1)

The owner of a renderable raw material and/or dead animal transport vehicle may not operate or allow operation of a vehicle on public roads and highways to haul dead animals or renderable raw materials unless the vehicle bears a permit decal issued by the department.

(2)

To obtain a vehicle permit decal or a temporary vehicle permit from the department, the owner must provide the following information:

(A)

the name, address and phone number where the owner or operator of the vehicle can be contacted;

(B)

a description of the operations to be performed;

(C)

the year, make, model, license plate number, and manufacturer's vehicle identification number for the vehicle;

(D)

the vehicle's gross weight limitation;

(E)

verification of insurance;

(F)

a list of drivers' names, and respective Texas drivers license numbers, of employees who operate the vehicle; and

(G)

other information as may be required by the department to verify information in this paragraph.

§221.5.Records.

(a)

Each licensed rendering business, renderable raw material hauler and/or dead animal hauler must maintain records identifying locations where renderable materials were obtained and delivered. These records must be maintained for a period of 12 months from the date the record was created.

(b)

Each licensed rendering business and/or animal hauler shall have a log bearing the name of the licensed rendering business or dead animal hauler on the front of the log. The following information shall be entered into the log immediately upon receipt of a dead animal:

(1)

the date and time of pickup and the number of dead animal(s) picked up at each location;

(2)

the collection vehicle driver's name;

(3)

a description of the dead animal(s);

(4)

the location and county where the dead animal(s) was/were picked up;

(5)

the name of the owner or person in possession of the dead animal(s); and

(6)

the general route followed in making the collection and delivery to the rendering establishment. (This information may be kept in an appendix to the log.)

(c)

The log is subject to inspection at all reasonable times by an authorized employee of the department.

(d)

Refusal to present the log for inspection by an authorized employee of the department constitutes grounds for license revocation and/or other enforcement as provided in the Act and the rules in this chapter.

(e)

Compliance with this chapter does not excuse violation of the requirements in Health and Safety Code, Chapter 433, §433.029 relating to articles not intended for human consumption; §433.034 relating to records; §433.056 relating to inedible animal products, §433.083 relating to investigation by the commissioner; §433.085 relating to reporting to the commissioner; and §433.091 relating to false reports, failure to report.

§221.6.Rendering Business Construction, Operational Requirements and Grounds.

(a)

Construction. All construction of a rendering establishment, related station or transfer station must meet the minimum requirements of Health and Safety Code, §§144.051-144.055, except to the extent the department grants a written variance. The construction:

(1)

must provide for sanitary operations and environmental conditions;

(2)

must prevent the spread of disease-producing organisms and infectious or noxious materials;

(3)

must prevent the development of a malodorous condition or a nuisance; and

(4)

shall be suitable in size, construction, and design to facilitate maintenance and sanitary operations for the rendering process.

(A)

Plant buildings and structures must provide sufficient space for placement of equipment and storage of materials as is necessary for the maintenance of sanitary operations.

(B)

Plant buildings and structures must be constructed in such a manner that floors, walls, ceilings, and equipment may be adequately cleaned and kept clean and in good repair.

(i)

All exposed surfaces, including, but not limited to, floors, ceilings, doors, equipment, and overhead structures shall be a smooth washable surface of concrete, metal, or other equally impervious and easily cleanable material.

(ii)

Floors in all raw material processing areas should be sloped for drainage purposes.

(C)

Plant buildings and structures must provide protection against the entrance and harborage of pests including, but not limited to:

(i)

eliminating crevices and/or openings that may provide shelter or harborage for pests; and

(ii)

providing, where necessary, screening or other protection against pests.

(D)

Plant buildings and structures must be equipped with, and provide for, adequate sanitary facilities and accommodations, including, but not limited to:

(i)

toilet and dressing room facilities for employees of each sex, adequately vented to outside air;

(ii)

hand wash facility with hot and cold running water-utilizing fixtures, such as waste control valves, designed and constructed to protect against recontamination of clean hands;

(iii)

suitable sanitizing preparation to clean hands; and

(iv)

sanitary towels or other suitable drying device(s).

(E)

Water supply shall be sufficient for the operations intended and shall be derived from a potable source, either a public water supply or a private supply, tested and treated, if necessary, to insure a safe sanitary quality.

(i)

Hot and cold running water under ample pressure shall be provided in all areas where required for the cleaning of floors, walls, equipment, utensils, vehicles and employee sanitary facilities.

(ii)

The hot water system must have sufficient capacity to furnish ample water with a temperature of at least 180 degrees Fahrenheit during processing and cleanup.

(iii)

Water from unsafe or questionable sources may be used only for limited purposes such as fire control or condenser systems and such supply lines must be clearly identified.

(iv)

Other than hand-operated sinks with hot and cold water, sanitary towels or other suitable drying devices and hand cleaning sanitizer must be placed at strategically acceptable locations throughout the plant to ensure employee hygiene.

(v)

A potable source of drinking water must be provided in a readily accessible area.

(F)

Plumbing must be installed in compliance with state law and applicable local plumbing ordinances and must be designed, installed and maintained to protect the establishment's water supply from contaminants through cross-connections, back siphonage or back-flow leakage.

(i)

Drainage must be provided in all areas where floors are subject to wash down type cleaning or when normal operations release or discharge water or other liquid waste on the floor.

(ii)

Discharge into the drainage system of solid wastes likely to clog the drainage system should be prevented.

(iii)

Liquid wastes containing solid material must be passed through a separator or indirect receptor that retains the solids before discharge into the drainage system.

(iv)

Toilet soil lines must be separate from house drain lines and must connect to the sanitary sewage system at a point past the grease trap or separator system.

(G)

Truck washing. A rendering business shall provide a paved, curbed area sloped to drain, adequate in size for washing and sanitizing vehicles. This area must be provided with adequate hot water sufficient to sanitize the vehicle. The paved area must be provided with adequate drainage that leads to a sewer system.

(H)

Equipment and utensils shall be so designed and of such material and workmanship as to be cleanable and properly maintained.

(i)

The design, construction and use of equipment and utensils shall preclude the adulteration of renderable materials with contaminants unacceptable for use as animal feed or topical cosmetics.

(ii)

All equipment should be so installed and maintained as to facilitate cleaning of the equipment and all adjacent spaces.

(iii)

Holding, conveying and manufacturing systems should be designed and constructed so as to be maintained in a clean condition.

(iv)

Freezer and cold storage compartments used to store and hold renderable raw materials shall be so designed and of such materials and workmanship as to be easily cleaned and properly maintained.

(I)

A rendering business shall provide and maintain a sufficient odor abatement system to dispel disagreeable odor, condensate, and vapor.

(J)

A rendering business shall prevent malodorous condition in a manner acceptable to the Texas Natural Resource Conservation Commission (TNRCC).

(b)

Operational requirements. All rendering business operations including, but not limited to, the receiving, transporting, segregating, preparing, manufacturing, and storing of renderable raw materials, dead animals and finished products, shall be conducted in accordance with good public health sanitation principles.

(1)

Appropriate quality control measures shall be employed to ensure products intended for use as animal foods or topical cosmetics are suitable for such use.

(2)

Overall sanitation of the rendering business shall be under the supervision of one or more competent individuals assigned responsibility for this function. Renderable raw materials and/or dead animals received by a rendering business should be immediately placed in the rendering process; but may be stored for a period that shall not exceed 48 hours and in a manner that shall preclude the creation of a nuisance or a malodorous condition.

(3)

During operations, the floors in the processing areas shall be kept reasonably free from processing wastes, including but not limited to:

(A)

blood;

(B)

manure;

(C)

scraps;

(D)

grease;

(E)

water;

(F)

dirt;

(G)

litter; or

(H)

other objectionable conditions.

(4)

Floors shall be thoroughly cleaned at the end of each day's operations.

(5)

Cooking and/or other dehydration operations shall be conducted in a manner that prevents the survival of disease-producing organisms in the processed materials.

(6)

All cooked or finished materials shall be kept separate and apart from dead animals and/or renderable raw materials in a manner that prevents contamination.

(7)

Conditions or storage facilities that lend themselves to the possibility and/or probability of cross-contamination of finished product should be corrected, eliminated, or replaced in a manner acceptable to the department.

(8)

Protein derived from mammalian tissue may not be used in feed for ruminant animals as prohibited by Title 21, Code of Federal Regulations, Part 589.2000. Renderers that do not separate prohibited from nonprohibited material shall do the following to be in compliance with U.S. Food and Drug Administration (FDA) requirements:

(A)

label all products that contain or may contain prohibited material with the following statement, "Do not feed to cattle or other ruminants"; and

(B)

maintain records sufficient to trace the materials through their receipt, processing, and distribution.

(9)

A rendering business, renderable raw material hauler and/or dead animal hauler may not contaminate or commingle waste cooking greases or recyclable cooking oils with grease trap waste or grit trap waste, or any other substance that would render the greases or oil harmful or otherwise unsuitable for use as an ingredient intended for use in livestock feed or topical cosmetic products.

(c)

Grounds. The premises of a rendering business, under the control of the operator shall be kept clean and neat, in good repair, and reasonably free from refuse, waste materials, rodent infestation, insect breeding places, standing water, and other objectionable conditions. The methods for adequate maintenance of grounds include, but are not limited to:

(1)

properly storing equipment, removing litter and waste, and cutting weeds or grass within the immediate vicinity of the plant buildings or structures that may constitute an attractant, breeding place, or harborage for pests;

(2)

constructing and/or maintaining refuse receptacles in a manner that does not create a nuisance and/or become an attractant for pests;

(3)

conveying, storing and disposing of rubbish and waste materials so as to minimize the development of odor; minimize the potential for the waste becoming an attractant, harborage, or breeding place for pests; and protect against contamination of the water supply and ground surfaces;

(4)

maintaining roads, yards, and parking lots so that they:

(A)

do not have standing pools of water;

(B)

become an attractant for pests; or

(C)

constitute a nuisance.

(5)

draining areas that may contribute to, or provide, a breeding place for pests; and

(6)

operating waste treatment and disposal systems such as grease traps, separators, and similar equipment in a manner that does not create a nuisance.

§221.7.Prohibited Acts.

Prohibited acts include but are not necessarily limited to the following.

(1)

A person shall not operate a rendering business without first obtaining a license issued by the department.

(2)

A person shall not steal or misappropriate renderable raw materials of any type.

(3)

A person shall not contaminate or otherwise cause adulteration of waste cooking grease by commingling it with unacceptable materials, such as, but not limited to, grease trap waste, if such waste cooking grease is intended for use in livestock feed or topical cosmetics.

(4)

No licensed rendering business or any other person shall take possession of renderable raw material from a person not licensed by the department and whose vehicle does not display a vehicle permit decal issued by the department in a manner prescribed by the department.

(5)

A person shall not take possession of stolen renderable raw materials, which include waste cooking grease.

(6)

A person not licensed by the department may not transport renderable raw materials from any place within this state to any place outside the borders of the state.

(7)

A person may not receive, hold, slaughter, butcher, or otherwise process any animal as food for human consumption in a building or compartmented area of a building used as a rendering establishment or related station.

(8)

A person may not transport items intended for use as, or in the preparation of, food, in vehicles used to transport dead animals or renderable raw materials.

§221.8.Assessment of Administrative Penalties.

(a)

Administrative penalties and hearings. Administrative penalties may be assessed against a person who violates this chapter or the Act. A person who receives notice that an administrative penalty is proposed to be assessed, shall have the right to request a formal hearing, or to show compliance with the rules. A hearing shall be held under the provisions of the Administrative Procedures Act, Government Code, Chapter 2001, and the State Office of Administrative Hearings (SOAH) rules contained in 1 TAC, Chapter 155.

(b)

Criteria for the assessment of administrative penalties. The department shall assess administrative penalties in accordance with the following criteria:

(1)

the seriousness of the violation;

(2)

history of previous violations:

(A)

the department may consider previous violations;

(B)

the base penalty may be reduced or increased based on past performance; and

(C)

past performance involves the consideration of the following factors:

(i)

how similar the previous violation was;

(ii)

how recent the previous violation was; and

(iii)

the number of previous violations in regard to correction of the problem.

(3)

demonstrated good faith:

(A)

the department may consider demonstrated good faith;

(B)

the base penalty may be reduced if good faith efforts to correct a violation have been made, or are being made; and

(C)

good faith effort may be determined by the department on a case-by-case basis and shall be fully demonstrated by the alleged violator.

(4)

hazard to the health and safety of the public:

(A)

the department may consider the hazard to the health and safety of the public;

(B)

the base penalty shall be increased when a direct hazard to the health and/or safety of the public is involved; and

(C)

the department may take into account, but need not be limited to, the following facts:

(i)

whether any disease or injuries have occurred from the violation;

(ii)

whether any existing condition contributed to a situation that could expose humans to a health hazard; or

(iii)

whether the consequences would be of an immediate or long-range hazard; and

(5)

other factors. The department may consider other factors as justice may require.

(c)

Severity levels.

(1)

Violations. The violations may be categorized by one of the following severity levels.

(A)

Severity Level I covers violations that are most significant and have a direct negative impact on, or represent a threat to, the public health and safety. Examples of Severity Level I violations include, but are not limited to:

(i)

operation of any licensable rendering related activity without a license;

(ii)

willfully diverting inedible products into human food channels; or

(iii)

the adulteration of any product intended for use in animal food or topical cosmetics which would make it unsuitable for such use.

(B)

Severity Level II covers violations that are very significant and have impact on the public health and safety. Examples of Severity Level II violations include, but are not limited to:

(i)

taking possession of stolen renderable raw materials, which includes waste cooking grease;

(ii)

continuing to operate any rendering business following expiration of a license;

(iii)

failure to provide access to premises to department representatives for the purpose of conducting a compliance inspection or complaint investigation; or

(iv)

any other act that results in fraud.

(C)

Severity Level III covers violations that are significant and which, if not corrected, could threaten the public and have adverse impact on the public health and safety. Examples of Severity Level III violations include, but are not limited to:

(i)

operating a renderable raw material collection vehicle which does not display a vehicle permit decal issued by the department in a manner prescribed by the department;

(ii)

purchasing renderable raw materials from a hauler that is not licensed by the department if required by the Act;

(iii)

purchasing renderable raw materials from a person whose collection vehicle does not display a vehicle permit decal; or

(iv)

construction of new facilities and/or additions to existing facilities without a construction permit.

(D)

Severity Level IV covers violations that are of more than minor significance, and if left uncorrected, would lead to more serious circumstances. Examples of Severity Level IV violations include, but are not limited to:

(i)

falsifying any information on an application for a rendering business operator's license or a hauler's license;

(ii)

creating a nuisance as defined by Health and Safety Code §341.011;

(iii)

failing to provide upon request, a record of all purchases and sales of renderable raw material as required by §221.5 of this title (relating to Records).

(iv)

operating any rendering related activity in excess of fifteen days following notification of expiration of a current license; or

(v)

constructing any facility or addition to an existing facility without having a construction permit as required by the Act and the rules of this chapter.

(E)

Severity Level V covers violations that are of minor safety or fraudulent significance. Examples of Severity Level V violations include, but are not limited to:

(i)

failing to maintain a minimum level of sanitation;

(ii)

failing to maintain a clean leak-proof vehicle; or

(iii)

failing to display the required and correct Texas Renderers' Licensing Act number and business name on vehicles used in his/her rendering business.

(2)

Severity of a violation. The severity of a violation may be increased if the violation involves deception, fraud, or other indication of willfulness. In determining the severity of a violation, the department shall take into account the economic benefit gained through noncompliance.

(d)

Levels of penalties. The department will impose the following penalties according to the severity level:

(1)

Level I--$15,000;

(2)

Level II--$10,000;

(3)

Level III--$6,250;

(4)

Level IV--$3,750; and

(5)

Level V--$1,250.

(e)

Each day a violation continues may be considered a separate violation.

§221.9.Denial, Suspension or Revocation of License or Permit and Enforcement Provisions.

(a)

Basis. The department may, after providing notice and opportunity for hearing, deny, suspend or revoke a license or permit for violations of the requirements in the Act and the rules in this chapter.

(b)

Hearing. All hearings for the denial, suspension or revocation of a license or permit are governed by the SOAH rules contained in 1 TAC, Chapter 155, and the Administrative Procedures Act, Government Code, Chapter 2001.

(c)

Injunction. If it appears that a person has violated or is violating the Act, or an order issued or a rule adopted under the Act, the commissioner may request the Attorney General bring an action in any district court of this state that has jurisdiction for an injunction to compel compliance with this chapter.

(d)

Reinstatement. The commissioner may reinstate a suspended license or permit, if the person corrects the violations that were the basis for the suspension.

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 July 27, 2000.

TRD-200005215

Susan K. Steeg

General Counsel

Texas Department of Health

Earliest possible date of adoption: September 10, 2000

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


Part 2. TEXAS DEPARMENT OF MENTAL HEALTH AND MENTAL RETARDATION

Chapter 406. ICF/MR PROGRAMS

Subchapter G. ADDITIONAL FACILITY RESPONSIBILITIES

25 TAC §406.311

The Texas Department of Mental Health and Mental Retardation (department) proposes new §406.311, concerning living options, of Chapter 406, Subchapter G, concerning additional facility responsibilities.

The new section requires an intermediate care facility for persons with mental retardation (ICF/MR)--other than a state mental retardation facility operated by the department--to discuss living options at least annually with each resident or the resident's legally authorized representative (LAR). The facility must use the Living Options instrument developed by the department as the basis for the discussion. The facility must notify the local mental retardation authority (MRA) about each resident who expresses a preference for an alternate living arrangement or whose LAR expresses a preference on the resident's behalf. Once the MRA is notified, the MRA must contact the resident or LAR to discuss alternate living arrangements, enter the resident's name in CARE system if the service requested is not available and assist the resident is accessing the service when it becomes available. The new section is responsive to a recommendation from the Promoting Independence Advisory Board to the Texas Health and Human Services Commission that the department develop procedures to identify each individual residing in an ICF/MR who prefers, or whose LAR prefers, an alternate living arrangement.

The new section does not apply to state mental retardation facilities (state schools and those state centers with a residential component) because department policy requires each state mental retardation facility to discuss alternate living arrangements with residents or LARs on an annual basis.

William R. Campbell, deputy commissioner, Finance and Administration, has determined that for each year of the first five years the proposed new section is in effect, enforcing or administering the new section does not have foreseeable implications relating to costs or revenues of the state or local governments.

Barry Waller, director, Long Term Services and Supports, has determined that for each year of the first five-year period the new section is in effect, the public benefit expected is the identification of individuals residing in community ICFs/MR who prefer an alternate living arrangement and the provision of alternate living arrangements for as many of those individuals as possible. In addition, the information derived from the Living Options assessment instrument will assist the department and local MRAs in planning and developing home and community-based services. It is not anticipated that the new section will have an adverse economic effect on small businesses or micro businesses because the ICF/MR may choose to have the discussion of living options during an already scheduled meeting of the resident's interdisciplinary team. It is not anticipated that the proposed new section will affect a local economy.

Comments concerning this proposal must be submitted in writing to Linda Logan, director, Policy Development, Texas Department of Mental Health and Mental Retardation, by mail to P.O. Box 12668, Austin, Texas 78711, or by fax to (512) 206-4750, within 30 days of publication of this notice.

The new section is proposed under the Texas Health and Safety Code, §532.015(a), which provides the Texas Board of Mental Health and Mental Retardation with broad rulemaking authority; the Texas Government Code, §531.021(a), and the Texas Human Resources Code, §32.021(a), which provide the Texas Health and Human Services Commission (THHSC) with the authority to administer the federal medical assistance (Medicaid) program in Texas; Acts 1995, 74th Texas Legislature, Chapter 6, §1, (Senate Bill 509), which clarifies the authority of THHSC to delegate the operation of all or part of a Medicaid program to a health and human services agency; and the Human Resources Code, §32.021(c), which provides an agency operating part of the Medicaid program with the authority to adopt necessary rules for the proper and efficient operation of the program. THHSC has delegated to the department the authority to operate the ICF/MR program.

The proposed new section affects Texas Government Code, §531.021(a) and the Texas Human Resources Code, §32.021(a) and (c).

§406.311.Living Options.

(a)

The following words and terms, when used in this section, shall have the following meanings:

(1)

Facility--An intermediate care facility for persons with mental retardation or a related condition, as described in 42 Code of Federal Regulations, §440.150, other than a state mental retardation facility operated by the department.

(2)

Individual--A person enrolled in the ICF/MR program and residing in a facility.

(3)

IDT (interdisciplinary team)--A group of people assembled by the facility who possess the knowledge, skills, and expertise to develop an individual's Individual Program Plan, including mental retardation professionals and paraprofessionals and, with approval from the individual or LAR, other concerned persons.

(4)

LAR (legally authorized representative)--A person authorized by law to act on behalf of an individual with regard to a matter described in this section, and may include a parent, guardian, or managing conservator of a minor individual, or the guardian of an adult individual.

(5)

MRA (mental retardation authority)--An entity to which the Texas Mental Health and Mental Retardation Board delegates its authority and responsibility within a specified region for planning, policy development, coordination, and resource development and allocation and for supervising and ensuring the provision of mental retardation services to persons with mental retardation in one or more local service areas. A local service area consists of one or more counties.

(b)

At least annually or upon the request of an individual or the individual's LAR, the IDT must discuss living options with the individual or LAR using the Living Options instrument, copies of which are available on the department's website at www.mhmr.state.tx.us or by contacting Office of Medicaid Administration, Texas Department of Mental Health and Mental Retardation, P.O. Box 12668, Austin, Texas 78711.

(1)

The facility must document the discussion in the IDT summary and file the summary in the individual's facility record.

(2)

If the individual or the individual's LAR expresses interest in an alternate living arrangement, the facility must send a copy of the IDT summary to the MRA for the county in which the facility is located.

(c)

If an MRA receives an IDT summary, the MRA must:

(1)

contact the individual or the individual's LAR to discuss the alternate living arrangements in which the individual or LAR has expressed an interest;

(2)

enter on the Client Assignment and Registration (CARE) system the individual's name and the specific type of service requested if that service will not be available within 30 calendar days of the date of request; and

(3)

assist the individual in accessing the service requested when it becomes available.

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 July 31, 2000.

TRD-200005317

Charles Cooper

Chair, Texas Mental Health and Mental Retardation Board

Texas Department of Mental Health and Mental Retardation

Earliest possible date of adoption: September 10, 2000

For further information, please call: (512) 206-4516


Part 8. INTERAGENCY COUNCIL ON EARLY CHILDHOOD INTERVENTION

Chapter 621. EARLY CHILDHOOD INTERVENTION

Subchapter B. EARLY CHILDHOOD INTERVENTION SERVICE DELIVERY

25 TAC §621.22

The Interagency Council on Early Childhood Intervention (ECI) proposes an amendment to §621.22, concerning Definitions.

This section amends the definition for "Parent". In review of the Texas Interagency Council on Early Childhood Intervention annual application for funding, the United States Department of Education, Office of Special Education Programs required immediate changes in ECI Rule and policies and procedures.

Elsewhere in this issue of the Texas Register , the ECI contemporaneously adopts on an emergency basis, this amendment to §621.22.

Donna Samuelson, Deputy Executive Director, Interagency Council on Early Childhood Intervention, has determined that for the first five-year period the amendment is in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the amendment.

Ms. Samuelson also has determined that for each year of the first five years the amendment is in effect the public benefit anticipated as a result of enforcing the rule will be a current and updated rule per federal requirements . There will be no effect on small businesses. There are no anticipated economic costs to persons who are required to comply with the amendment as proposed.

Comments on the proposal may be submitted to Donna Samuelson, Deputy Executive Director, Interagency Council on Early Childhood Intervention, 4900 North Lamar Boulevard, Austin, Texas 78751-2399.

The amendment is proposed under the Human Resources Code, Chapter 73, which authorizes the Interagency Council on Early Childhood Intervention to establish rules regarding services provided for children with developmental delays.

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

§621.22.Definitions.

The following words and terms, when used in this chapter, will have the following meanings, unless the context clearly indicates otherwise.

(1)

Assessment--The ongoing procedures used by appropriate qualified personnel throughout the period of a child's eligibility to identify:

(A)

the child's unique needs and strengths;

(B)

the resources, priorities, and concerns of the family and identification of supports and services necessary to enhance developmental needs of the children; and

(C)

the nature and extent of intervention services needed by the child and the family in order to resolve the determinations of this paragraph.

(2)

Child find--Activities and strategies designed to locate and identify, as early as possible, infants and toddlers with developmental delay.

(3)

Children--Infants and toddlers with disabilities.

(4)

Committee--Advisory Committee to the Interagency Council on Early Childhood Intervention. Its functions are those of the Interagency Coordinating Council described in the Individuals with Disabilities Education Act, Public Law 105-17.

(5)

Complaint--A formal written allegation submitted to the council stating that a requirement of the Individuals with Disabilities Education Act, or an applicable federal or state regulation has been violated.

(6)

Comprehensive services--Individualized intervention services, as determined by the interdisciplinary team and listed in the Individualized Family Service Plan (IFSP). Services are further defined in §621.23(5)(C)-(E) of this title (relating to Service Delivery Requirements for Comprehensive Services). Programs receiving funds from the Interagency Council on Early Childhood Intervention are required to have the capacity to provide or arrange for all services listed in §621.23(5)(C) of this title (relating to Service Delivery Requirements for Comprehensive Services).

(7)

Council--The entity designated as the lead agency by the governor under the Individuals with Disabilities Education Act. The council has the final authority and responsibility for the administration, supervision, and monitoring of programs and activities under this system. The council has the final authority for the obligation and expenditure of funds and compliance with all applicable laws and rules. The council board includes eight lay members who are family members of children with developmental delay, appointed by the governor with the advice and consent of the senate, and one member from the Texas Education Agency appointed by the commissioner of education. Five of the lay members must be the parents of children who are receiving or have received early childhood intervention services. The board shall also have fully participating, non voting representatives appointed by the commissioner or executive head of the following agencies: Texas Department of Health (TDH), Texas Department of Human Services (TDHS), Texas Department of Mental Health and Mental Retardation (TDMHMR), Texas Commission on Alcohol and Drug Abuse (TCADA), Texas Department of Protective and Regulatory Services (TDPRS), and the Texas Workforce Commission (TWC).

(8)

Days--Calendar days.

(9)

Developmental delay--A significant variation in normal development in one or more of the following areas as measured and determined by appropriate diagnostic instruments or procedures administered by an interdisciplinary team and by informed clinical opinion: cognitive development; physical development, including vision and hearing, gross and fine motor skills, and nutrition status; communication development; social and emotional development; and adaptive development.

(10)

Early Childhood Intervention Program (ECI)--The total effort in Texas directed toward meeting the needs of children eligible under this chapter and their families.

(11)

Evaluation--The procedures used by appropriate qualified personnel to determine the child's initial and continuing eligibility, consistent with the definition of infants and toddlers with developmental delay, including determining the status of the child in areas of cognitive development, physical development, communication development, social-emotional development, and adaptive development or self-help skills.

(12)

Family Educational Rights and Privacy Act of 1974 (FERPA)--Requirements for the protection of parents and children under the General Education Provisions Act, §438, which include confidentiality, disclosure of personally identifiable information, and the right to inspect records.

(13)

Full year services--The availability of an array of comprehensive services throughout the calendar year.

(14)

Include(ing)--The items named are not all of the possible items that are covered whether like or unlike the ones named.

(15)

Individual professional development plan (IPDP)--A written plan for inservice or continuing education to be prepared annually for each staff person in a program.

(16)

Individualized family service plan (IFSP)--A written plan, developed by the interdisciplinary team, based on all assessment and evaluation information, including the family's description of their strengths and needs, which outlines the early intervention services for the child and the child's family.

(17)

Intake--The first face-to-face contact with a parent following initial referral.

(18)

Interdisciplinary team--The child's parent(s) and a minimum of two professionals from different disciplines who meet to share evaluation information, determine eligibility, assess needs, and develop the IFSP. The team must include the service coordinator who has been working with the family since the initial referral or the person responsible for implementing the IFSP and a person directly involved in conducting the evaluations and assessments.

(19)

Parent- A natural or adoptive parent of a child, a guardian, a person acting in the place of a parent (such as a grandparent or stepparent with whom the child lives, or a person who is legally responsible for the child's welfare), or an appointed surrogate parent, Term does not include state if child is ward of the state. [ A parent, a guardian, a person acting as a parent of a child or an appointed surrogate parent. ]

(20)

Personally identifiable information--Information which includes:

(A)

the name of the child;

(B)

the name of the child's parent, or other family member;

(C)

the address of the child, parent, or other family member;

(D)

a personal identifier, such as the child's or parent's social security number; or

(E)

a list of personal characteristics or other information that would make it possible to identify or trace the child, the parent, or other family member, with reasonable certainty.

(21)

Primary referral sources--Individuals or organizations which refer children including, but not limited to:

(A)

hospitals, including prenatal and postnatal care facilities;

(B)

physicians;

(C)

parents;

(D)

day care programs;

(E)

local educational agencies;

(F)

public health facilities;

(G)

other social service agencies;

(H)

other health care providers; and

(I)

congregate care facilities.

(22)

Program--A division of a local agency with the express and sole purpose of implementing comprehensive early childhood intervention services to children with developmental delays and their families.

(23)

Provider--A local private or public agency with proper legal status and governed by a board of directors that accepts funds from the Interagency Council on Early Childhood Intervention to administer the Early Childhood Intervention (ECI) Program.

(24)

Public agency--The Interagency Council on Early Childhood Intervention and any other political subdivision of the state that is responsible for providing early intervention services to eligible children under the Individuals with Disabilities Education Act, Part C.

(25)

Public health clinic--Any clinic that provides pediatric physical examinations and receives public funding from federal, state, city, or county governments.

(26)

Qualified--A person who has met state approval or recognized certificate, license, registration, or other comparable requirements that apply to the area in which the person is providing early intervention services.

(27)

Referral date--The date the child's name and sufficient information to contact the family was obtained by the agency receiving funds from the Interagency Council on Early Childhood Intervention.

(28)

Service coordinator (case manager)--A staff person assigned to a child or family who is the single contact point for families, and who is responsible for assisting and empowering families to receive the rights, procedural safeguards, and services authorized by these rules and ECI policy and procedures. The service coordinator is from the profession most immediately related to the child's or family's needs. (The term profession includes service coordination.)

(29)

Services--Individualized intervention services, as determined by the interdisciplinary team and listed in the IFSP. Services are further defined in §621.23(5)(C)-(E) of this title (relating to Service Delivery Requirements).

(30)

Supplanting--The withdrawal of local, private, or other public funds for services which were available during the previous year of funding.

(31)

Surrogate parent--An individual appointed or assigned to take the place of a parent for the purposes of Chapter 73 of the Human Resources Code when no parent can be identified or located or when the child is under managing conservatorship of the state. A surrogate parent appointed under this chapter shall act to advocate for or represent the child, relating to the identification, evaluation, educational placement, and provision of the Individuals with Disabilities Education Act, Part C services.

(32)

Transportation services--Travel and other related costs that are necessary to enable a child or family to receive early intervention services.

(33)

UGCMS--Uniform grant management standards adopted by the governor's Office of Budget and Planning in 1 TAC §§5.141-5.167 under authority of Texas Civil Statutes, Article 4413(32g).

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 July 24, 2000.

TRD-200005092

Donna Samuelson

Deputy Executive Director

Interagency Council on Early Childhood Intervention

Earliest possible date of adoption: September 10, 2000

For further information, please call: (512) 424-6750


Subchapter C. PROCEDURAL SAFEGUARDS AND DUE PROCESS PROCEDURES

25 TAC §621.42

The Interagency Council on Early Childhood Intervention (ECI) proposes an amendment to §621.42, concerning Early Childhood Intervention Council Procedures for Resolving Complaints. Elsewhere in this issue of the Texas Register , the ECI contemporaneously adopts on an emergency basis, this amendment to §621.42.

This section amends §621.42(d)(6) by adding the following new language: "In resolving a complaint in which it finds a failure to provide appropriate services, the executive director will remediate the denial of those services, including, as appropriate, the awarding of monetary reimbursement or other corrective action appropriate to the needs of the child and the child's family; and appropriate future provision of services for all infants and toddlers with disabilities and their families". Current §621.42(d)(6) will be renumbered to new paragraph (7).

Donna Samuelson, Deputy Executive Director, Interagency Council on Early Childhood Intervention, has determined that for the first five-year period the amendment is in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the amendment.

Ms. Samuelson also has determined that for each year of the first five years the amendment is in effect the public benefit anticipated as a result of enforcing the rule will be a current and updated rule per federal requirements . There will be no effect on small businesses. There are no anticipated economic costs to persons who are required to comply with the amendment as proposed.

Comments on the proposal may be submitted to Donna Samuelson, Deputy Executive Director, Interagency Council on Early Childhood Intervention, 4900 North Lamar Boulevard, Austin, Texas 78751-2399.

The amendment is proposed under the Human Resources Code, Chapter 73, which authorizes the Interagency Council on Early Childhood Intervention to establish rules regarding services provided for children with developmental delays.

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

§621.42.Early Childhood Intervention Council Procedures for Resolving Complaints.

(a)

An individual or organization may file a complaint with the Interagency Council on Early Childhood Intervention (council) alleging that a requirement of the Individuals with Disabilities Education Act, Part C (Act) or applicable federal and/or state regulations has been violated. The complaint must be in writing, be signed, and include a statement of the facts on which the complaint is based.

(b)

A complaint may be filed directly with the council without having been filed with the local provider.

(c)

Procedures for receipt of complaint are as follows.

(1)

All complaints received by the council shall be forwarded to the deputy executive director. The deputy executive director will log and assign all complaints, monitor the resolution of those complaints, and maintain a copy of all complaints for a five-year period.

(2)

The council will have the following information entered in the data file: name of complainant, name of program if applicable, date received, type of complaint, action taken, followup, and case-closed date. Letters of acknowledgment will be mailed by the deputy executive director to the program and to the complainant or to the third party if the complaint was forwarded by someone other than the complainant, such as the governor's office.

(3)

A complaint should be clearly distinguished from a request for an administrative proceeding.

(4)

Complaints referred by other government offices will also be considered under these procedures.

(d)

Procedures for investigation and resolution of complaints.

(1)

After receipt of the complaint, the deputy executive director will assign a staff person to conduct an individual investigation, on-site if necessary, to make a recommendation to the executive director for resolution of the complaint.

(A)

The complainant will have the opportunity to submit additional information, either orally or in writing, about the allegations in the complaint.

(B)

All relevant information will be reviewed and an independent determination made as to whether a violation to the requirements of the Act, occurred.

(2)

Within 60 days of the receipt of the complaint the executive director must resolve the complaint.

(3)

An extension of the time limit under paragraph (2) of this subsection shall be granted only if exceptional circumstances exist with respect to a particular complaint.

(4)

Complainants shall be informed in writing of the final decision of the executive director and of their right to request the secretary of the United States Department of Education to review the final decision of the executive director. The executive director's written decision to the complainant will address each allegation in the complaint and contain:

(A)

findings of fact and conclusions; and

(B)

reasons for the final decision.

(5)

To ensure that effective implementation of the executive director's final decision, the deputy executive director will assign a staff person to provide technical assistance and appropriate followup to the parties involved in the complaint to achieve compliance with any corrective actions when necessary.

(6)

In resolving a complaint in which it finds a failure to provide appropriate services, the executive director will remediate the denial of those services, including, as appropriate, the awarding of monetary reimbursement or other corrective action appropriate to the needs of the child and the child's family; and appropriate future provision of services for all infants and toddlers with disabilities and their families.

(7)

[ (6) ]When a compliant is filed, the deputy executive director will offer mediation services as an alternative to proceeding with the complaint investigation. Mediation may be used when both parties agree. A parent's right to a due process hearing or complaint investigation will not be denied or delayed because they chose to participate in mediation. The complaint investigation will continue and be resolved within 60 days even if mediation is used as the resolution process.

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 July 24, 2000.

TRD-200005093

Donna Samuelson

Deputy Executive Director

Interagency Council on Early Childhood Intervention

Earliest possible date of adoption: September 10, 2000

For further information, please call: (512) 424-6750