TITLE 1.ADMINISTRATION

Part 4. OFFICE OF THE SECRETARY OF STATE

Chapter 87. NOTARY PUBLIC

Subchapter A. NOTARY PUBLIC QUALIFICATIONS

1 TAC §87.22, §87.25

The Office of the Secretary of State proposes amendments to Subchapter A, concerning notary public qualifications by amending §87.22 and adding new §87.25. The purpose of the sections is to prepare for the implementation of an amendment to Chapter 653 of the Government Code that was made by the 77th Texas Legislature in House Bill 1203, which will be effective on September 1, 2002. The proposed sections to Subchapter A, if adopted, will not become effective until September 1, 2002.

Guy Joyner, Chief, Legal Support Unit, Statutory Documents Section has determined that for the first five year period that the proposed sections are in effect the fiscal implication for state government as a result of enforcing the sections will be the elimination of the premium expense for notary public surety bonds. There is no effect on local government, large businesses, small businesses or micro-businesses. There is no anticipated additional economic cost to individuals who are required to comply with the sections as proposed. There is no anticipated impact on local employment.

Mr. Joyner also has determined that for each year of the first five years that the sections are in effect the public benefit anticipated as a result of enforcing the sections will be to clarify that, on or after September 1, 2002, officers and employees of a state agency who apply to be a notary public are not required to furnish notary public surety bonds.

Comments on the proposed sections may be submitted to Guy Joyner, Chief, Legal Support Unit, Statutory Documents Section, P.O. Box 12887, Austin, Texas 78711-2887.

The amendment and new section are proposed under the Texas Government Code, §2001.004(1) and §2001.006(b) and the Notary Public Act, Texas Government Code, §406.023(a) which provide the Secretary of State with the authority to prescribe and adopt rules.

The amendment and new section affects the Texas Government Code, §406.006 and §406.010.

§87.22.Completion and Execution of the Bond and Statement of Officer.

(a) The bond and statement of officer will be completed as follows.

(1) All information entered on the application will be legible.

(2) The name and social security number of the applicant will be entered in the space provided in the application.

(3) The complete name of the insurance or bonding company will be entered in the spaces provided in the bond.

(4) The name and address of the agent or agency will be entered in the space provided in the bond.

(5) The applicant will sign in the space provided for signature for the principal. The surety officer or an attorney-in-fact for an insurance or bonding company will sign in the space provided and give the surety company's Texas Department of Insurance license number.

(6) A bond form that is preprinted with a surety company's name may be used only by that surety for the issuance of a notary bond.

(7) The applicant's name to be used as a notary public will be entered in the space provided in the statement of officer.

(8) The applicant will execute the statement of officer before a notary public or other qualified officer and sign in the space provided for signature. Both the initial qualification as well as renewals require the referenced statement of officer.

(b) An applicant who is an officer or employee of a state agency is not required to complete the surety bond. Such applicants will follow the procedure described in §87.25 of this chapter.

(c) In this Chapter, "state agency" has the meaning assigned by §2052.101 of the Government Code.

§87.25.Qualification by an Officer or Employee of a State Agency who does not Furnish a Notary Public Bond.

(a) Application for Appointment

(1) The applicant will complete the notary public application entitled: "Application for Appointment as a Notary Public Without Bond."

(2) The State Agency that employs the applicant will submit the completed application to the State Office of Risk Management for verification by that Office.

(3) The State Office of Risk Management will complete the verification certificate on the application, and forward the completed application to the Office of the Secretary of State for processing.

(b) Change in employment status.

(1) If a notary public transfers to another state agency, the notary public's new agency shall notify the State Office of Risk Management and the Office of the Secretary of State of the transfer.

(2) If a notary public terminates state employment, the notary public shall:

(A) voluntarily surrender the notary public commission;

(B) purchase a notary public bond for the time-period remaining on the notary's current term of office; or

(C) apply for a new term of office and provide a notary public bond.

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 June 17, 2002.

TRD-200203741

Geoffrey S. Connor

Assistant Secretary of State

Office of the Secretary of State

Earliest possible date of adoption: July 28, 2002

For further information, please call: (512) 475-0775


Part 5. TEXAS BUILDING AND PROCUREMENT COMMISSION

Chapter 113. PROCUREMENT DIVISION

Subchapter H. RECYCLING MARKET DEVELOPMENT BOARD

1 TAC §113.137

The Texas Building and Procurement Commission proposes amendment to Title 1, TAC, §113.137, concerning Identifying Recycled, Remanufactured or Environmentally Sensitive Commodities or Services for Procurements by State Agencies. The amendment designates additional First Choice designated commodities.

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, has determined for the first five year period the rules are in effect there will be no fiscal implication for the state or local governments as a result of the additional First Choice designations.

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, further determines that for each year of the first five-year period the amendment is in effect, the public benefit anticipated as a result of enforcing the amended rule is in compliance with the current statutory requirements of Texas Government Code, §2155.445 and §2155.448(a). There will be a positive environmental benefit, as the State of Texas will continue to increase the effect of closing the recycle loop (recycle, reduce and reuse). There are no anticipated economic costs to state agencies that are required to comply with this rule and there is no impact on local employment.

Comments on the proposals may be submitted to Juliet U. King, Legal Counsel, Texas Building and Procurement Commission, P.O. Box 13047, Austin, Texas 78711-3047. Comments must be received no later than 30 days from the date of publication of the proposal to the Texas Register.

The amendments to §113.137 are proposed under the authority of the Health and Safety Code §361.423 and the Texas Government Code, §2155.445 and §2155.448(a).

The following codes are affected by these rules: Texas Administrative Code, Title 1, Chapter 113, Subchapter H, §113.137.

§113.137.Identifying Recycled, Remanufactured or Environmentally Sensitive Commodities or Services for Procurements by State Agencies.

(a) Each state fiscal year, the commission, in coordination with the Recycling Market Development Board (RMDB), may designate as "first choice" certain recycled, remanufactured or environmentally sensitive commodities or services, as those terms are defined in §113.136 of this title (relating to Definitions).

(b) Effective September 1, 2000, state agencies shall prefer the following commodities or services which have been designated as "first choice" products:

(1) Re-refined oils and lubricants.

(2) Recycled-content toilet paper, toilet seat covers and paper towels; and

(3) Recycled-content printing, computer and copier paper, and business envelopes.

(c) Effective September 1, 2002, state agencies shall prefer the following commodities or services which have been designated as "first choice" products:

(1) Recycled-content plastic trash bags.

(2) Recycled-content plastic-covered binders.

(3) Recycled-content recycling containers.

(4) Energy Star labeled photocopiers.

(d) [ (c) ] A state agency shall purchase commodities and services in accordance with Texas Government Code, §2155.448 (b).

(e) [ (d) ] The commission, in coordination with RMDB, may at least annually consider the recommendations of the RMDB when updating the list of identified commodities or services and purchasing goals for procurements by state agencies.

(f) [ (e) ] A state agency shall report annually to the commission in accordance with Texas Government Code §2155.448 (c).

(g) [ (f) ] A state agency that intends to purchase a commodity or service that accomplishes the same purpose as a commodity or service as those listed in subsection (b) of this section, that does not meet the definition of a recycled product or that is not remanufactured or environmentally sensitive, shall include with the procurement file a written justification signed by the executive head of the agency stating the reasons for the determination that the commodity or service identified by the commission will not meet the requirements of the agency. Agencies are not required to submit a "first choice" justification letter when the combined total purchase on a single purchase order is equal to or less than $150.

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 June 14, 2002.

TRD-200203699

Juliet U. King

Legal Counsel

Texas Building and Procurement Commission

Earliest possible date of adoption: July 28, 2002

For further information, please call: (512) 463-3583


Chapter 113. CENTRAL PURCHASING DIVISION

Subchapter J. ELECTRONIC STATE BUSINESS DAILY

1 TAC §§113.201 - 113.216

(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 Building and Procurement Commission or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The Texas Building and Procurement Commission proposes the repeal of Title 1, TAC, Chapter 113, Subchapter J--Electronic State Business Daily, §§113.201 - 113.216. The repeal of these rules is being proposed in order to delete obsolete language as a result of new requirements under Texas Government Code, Chapter 2155, Subchapter B (amended by Article 7, Senate Bill 311, 77th Legislature, 2001). Additionally, the repeal of Subchapter J, Chapter 113, allows for new rules to be proposed and published simultaneously in this publication of the Texas Register , that will reflect procedural changes that are the result of the transfer of the electronic business daily responsibilities from the Texas Department of Economic Development (TDED) to the Texas Building and Procurement Commission (TBPC).

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, has determined for the first five-year period the repeal is in effect there will be no fiscal implications to the state or local governments as a result of enforcing this repeal.

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, has determined that for the first five-year year period the proposed repeal is in effect, the public benefit will be the deletion of obsolete language that will allow for the creation of more efficient new rules under 1, TAC, Chapter 113, Subchapter J--Electronic State Business Daily. There will be no anticipated economic costs to persons who are required to comply with the rules and there is no impact on local employment.

Comments on the proposed repeal may be submitted to Ms. Juliet U. King, Legal Counsel, Texas Building and Procurement Commission, P.O. Box 13047, Austin, Texas 78711-3047. Comments must be received no later than thirty days from the date of publication of the proposal in the Texas Register.

The repeal of §§113.201 - 113.216 are proposed under the authority of the Texas Government Code, Title 10, Subtitle D, §2155.083, which provides the Texas Building and Procurement Commission with the authority to promulgate rules necessary to implement the sections.

The following codes are affected by these rules: Texas Government Code, Title 10, Subchapter C, §2054.051 and Subchapter A, §2155.062, Subchapter C, §2155.132, Subchapter I, §2155.501 and §2155.509.

§113.201.Authority.

§113.202.Purpose.

§113.203.Definitions.

§113.204.General Provisions.

§113.205.Internet Access.

§113.206.Fees.

§113.207.General Posting Requirements.

§113.208.Posting Time Requirements.

§113.209.Emergency Procurements.

§113.210.Registered Agent Requirements.

§113.211.Procurement Opportunity Posting Procedures.

§113.212.Posting Follow-up and Record Keeping.

§113.213.Contract Award.

§113.214.Award Notification.

§113.215.Verification of Compliance.

§113.216.Exceptions and Exclusions.

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 June 14, 2002.

TRD-200203703

Juliet U. King

Legal Counsel

Texas Building and Procurement Commission

Earliest possible date of adoption: July 28, 2002

For further information, please call: (512) 463-3583


Chapter 113. PROCUREMENT DIVISION

Subchapter J. ELECTRONIC STATE BUSINESS DAILY

1 TAC §§113.201 - 113.218

The Texas Building and Procurement Commission proposes new sections to Title 1, TAC, §§113.201 - 113.218--Electronic State Business Daily. The new rules include changes and additions to the procedures and practices for complying with the statutory requirement for state agencies to give public notice regarding procurement initiatives that will exceed $25,000. The purpose of the proposed new rules is twofold. First, they are needed to revise and provide clarity to existing rules to bring them into compliance with current statutes. Secondly, the proposed rules will reflect procedural changes that are the result of the transfer of the electronic business daily responsibilities from the Texas Department of Economic Development (TDED) to the Texas Building and Procurement Commission (TBPC).

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, has determined for the first five-year period the rules are in effect there will be no fiscal implication for the state or local governments as a result of the revised and added rules. The revised text, added definitions and rules that facilitate the use and understanding of statutory requirements associated with the Electronic State Business Daily.

Ms. Cindy Reed, Deputy Executive Director of Administration and Procurement, further determines that for each year of the first five-years the new sections are in effect, the public benefit anticipated as a result of enforcing the revised and added rules will be positive with respect to the effect on large, small or micro-businesses that routinely participate in state business opportunities. There will be no anticipated economic costs to persons who are required to comply with the rules and there is no impact on local employment.

Comments on the proposals may be submitted to Juliet U. King, Legal Counsel, Texas Building and Procurement Commission, P.O. Box 13047, Austin, Texas 78711-3047. Comments must be received no later than thirty days from the date of publication of the proposal to the Texas Register.

The new §§113.201 - 113.218 are proposed under the authority of the Texas Government Code, Title 10, Subtitle D, §2155.083, which provides the Texas Building and Procurement Commission with the authority to promulgate rules necessary to implement the sections.

The following codes are affected by these rules: Texas Government Code, Title 10, Subchapter C, §2054.051 and Subchapter A, §2155.062, Subchapter C, §2155.132, Subchapter I §2155.501 and §2155.509.

§113.201.Authority.

Pursuant to the authority granted by the Texas Government Code, §2155.083, the commission sets forth the following rules regarding procedures and practice for posting procurement opportunities in the Electronic State Business Daily (ESBD).

§113.202.Purpose.

(a) The ESBD is established as a means for all state agencies to post notice directly and electronically in an electronic procurement marketplace on the Internet before making a procurement with a value that exceeds $25,000.

(b) The requirements of this subchapter are in addition to the requirements of other laws relating to the solicitation of bids, proposals, or other applicable expressions of interest for a procurement by a state agency. This subchapter does not affect whether a state agency is required to award a contract for procurement through competitive bidding, competitive sealed proposals, or another purchasing method.

§113.203.Definitions.

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

(1) Act--the State Purchasing and General Services Act, Texas Government Code, Subtitle D, §2151.001 et seq.

(2) Commission--the Texas Building and Procurement Commission.

(3) Consultant services--as defined at Texas Government Code §2254.021.

(4) Electronic State Business Daily (ESBD)--A business daily made available on the Internet at an electronic procurement marketplace established by the Department of Information Resources. State agencies are to cooperate with the commission by posting in the ESBD any procurement opportunities that will exceed $25,000 in value.

(5) Emergency Procurement--In procuring goods or services to qualify as an emergency procurement, the procurement must prevent a hazard to life, health, safety, welfare, property or avoid undue additional cost to the state.

(6) Goods and/or services--as defined in Texas Government Code, §2155.001.

(7) Internal Repair Procurements--A repair where the extent of the work cannot be determined until the equipment is disassembled. An internal repair must contain labor and may also include parts.

(8) Multiple award contract (as it applies to Multiple Award Schedule Contracts)--an award of a contract for an indefinite amount of one or more similar goods or services from a vendor.

(9) Potential bidders or offerors--those businesses or other entities that are interested in submitting a bid or proposal for state agency procurement opportunities.

(10) Prescribed form--the entry screens available in the ESBD.

(11) Procurement opportunity-- a bid, proposal, or other form of solicitation package or notice that includes all information necessary for each eligible procurement as defined at Government Code §2155.083(g), to be acquired by a state agency.

(12) Professional services--as defined at Texas Government Code §2254.002.

(13) Registered agent--a representative designated by each state agency responsible for posting eligible procurement opportunities in the electronic procurement marketplace.

(14) Reverse Auction--a real time bidding procedure that is Internet dependent and which is conducted at a pre-scheduled time and Internet location in which multiple suppliers, anonymous to each other, submit bids for designated goods or services.

(15) Schedule--a list of multiple award contracts from which agencies may purchase goods and services.

(16) State agency--as defined in Texas Government Code, §2151.002(2).

§113.204.Notice and Information Posting Requirements.

(a) The commission shall make the ESBD available on the Internet and World Wide Web through an electronic procurement marketplace maintained by the Texas Building and Procurement Commission (TBPC) located at www.tbpc.state.tx.us.

(b) Each state agency shall directly and electronically post its own notices or solicitation packages for eligible procurement opportunities using the ESBD. The commission and each state agency shall cooperate in making the ESBD available and accessible to all state agencies. Posting the entire bid or proposal solicitation package will reduce the posting time requirement as outlined in §113.208 of this title (relating to Posting Time Requirements).

(c) Each state agency that solicits a procurement contract estimated to exceed $25,000 in value shall post the following information on the ESBD:

(1) Either the entire bid or proposal solicitation package or a notice that includes all information necessary to make a successful bid, proposal, or other applicable expression of interest for the procurement contract, including the following minimum information required for each procurement as outlined in the Texas Government Code, §2155.083(g):

(A) a brief description of the goods or services to be procured and any applicable state product or service codes for the goods and services;

(B) the last date and time on which bids, proposals, or other applicable expressions of interest will be accepted;

(C) the estimated quantity of goods or services to be procured;

(D) if applicable, the previous price paid by the state agency for the same or similar goods or services;

(E) the estimated date on which the goods or services to be procured will be needed; and

(F) the name, business mailing address, e-mail address, and business telephone number of the state agency employee a person may contact to inquire about all necessary information related to making a bid or proposal or other applicable expression of interest for the procurement contract.

(2) A notice when the procurement contract has been awarded or when the state agency has decided not to make the procurement.

(3) An addendum to the original procurement opportunity can also be posted, at any time after posting the original notice.

(d) The commission shall post in the ESBD other information relating to the business activity of the state that the commission considers to be of interest to the public. The commission may develop a means for each state agency to post relevant information electronically. Until the electronic means is available, it is the responsibility of each state agency to provide any such relevant information, in a timely manner, to the attention of the TBPC Procurement Division. This information will also be accessible on the TBPC Web site.

(e) The commission will electronically transfer to the ESBD all procurements in excess of $25,000 that the commission processed on behalf of state agencies.

§113.205.Internet Access.

(a) It is the responsibility of each state agency to coordinate with the Department of Information Resources (DIR) to secure Internet service and computer hardware and software necessary for each registered agent to have daily access to the ESBD.

(b) To accommodate businesses seeking to become potential bidders or offerors that do not have the technical means to access the ESBD, governmental and non-governmental entities such as public libraries, chambers of commerce, trade associations, small business development centers, economic development departments of local governments, and state agencies may provide public access to the ESBD.

§113.206.Fees.

(a) A government agency may recover the direct cost of providing the public access only by charging a fee for downloading procurement notices and bid or proposal solicitation packages posted on the ESBD. For state agencies, these fees may not exceed the state agency's published rate for open records requests.

(b) The commission and other state agencies may not charge a fee designed to recover the cost of preparing and gathering the information that is published in the ESBD. These costs are considered part of a procuring agency's responsibility to publicly inform potential bidders or offerors of its procurement opportunities.

(c) A non-governmental entity may use information posted in the ESBD in providing a service that is more than only the downloading of information from the business daily, including a service by which appropriate bidders or offerors are matched with information that is relevant to those bidders or offerors, and may charge a lawful fee that the entity considers appropriate for the service.

§113.207.General Posting Requirements.

(a) Each state agency seeking to make an eligible procurement and award a procurement contract that will exceed $25,000 in value, without regard to the source of funds the agency will use for the procurement, must post the procurement opportunity on the Texas Marketplace system on the World Wide Web.

(b) Prior to making an award for any procurement, each state agency must post notice on the Texas Marketplace, including a procurement that:

(1) is otherwise exempt from Commission purchasing authority or the application of this subtitle;

(2) is made under delegated purchasing authority;

(3) is related to a construction project; or

(4) is a procurement of professional or consulting services.

(c) The Commission will electronically transfer to the Texas Marketplace all procurements in excess of $25,000 processed on behalf of state agencies by the Commission.

§113.208.Posting Time Requirements.

(a) NOTICES: If documents or attachments related to the procurement must be obtained from another source, a notice for eligible procurements must be posted for the latest of the following dates:

(1) 21 calendar days after the date the notice is first posted;

(2) the date the state agency will no longer accept bids, proposals, or other applicable expressions of interest for the procurement; or

(3) the date the state agency decides not to make the procurement. If the state agency decides not to make the procurement, the state agency must amend the posting to indicate the effective date of the cancellation within two business days of canceling the procurement.

(b) ENTIRE SOLICITATION: If the state agency posts the entire bid or proposal solicitation package, including attachments, for an eligible procurement, eligible procurements must be posted for the latest of the following dates:

(1) 14 calendar days after the date the bid or proposal solicitation package is first posted;

(2) the date the state agency will no longer accept bids, proposals, or other applicable expressions of interest for the procurement; or

(3) the date the state agency decides not to make the procurement. If the state agency decides not to make the procurement, the state agency must amend the posting to indicate the effective date of the cancellation within two business days of canceling the procurement.

§113.209.Emergency Procurements.

(a) Emergency procurements over $25,000 must be posted to the ESBD, but the minimum posting times in this subchapter do not apply.

(b) These posting requirements are in addition to existing commission procedures governing emergency procurements in §113.11 of this title.

§113.210.Internal Repair Procurements.

Internal repairs over $25,000 must be posted to the ESBD, but the minimum posting times in this subchapter do not apply.

§113.211.Multiple Award Schedule Contract Purchases Exceeding $25,000.

All multiple award schedule contract purchases with a total value exceeding $25,000 must be posted on the ESBD after the purchase order has been placed. The minimum posting times in this subchapter do not apply.

§113.212.Registered Agent Requirements.

(a) Each state agency must designate a minimum of one person to be the registered agent for posting all eligible procurement opportunities in the ESBD. State agencies with field or satellite offices may establish a registered agent at those offices or require that procurement opportunities be sent to the main office for posting in compliance with this chapter.

(b) To add a new state agency account, a written request signed by the agency head or designee must be submitted to TBPC to create a superuser account for the agency. All other registered users for that agency will be registered through the superuser account. The user/registered agent information will automatically be entered by the ESBD each time the registered agent accesses the ESBD to post new procurement opportunities.

§113.213.Procurement Opportunity Posting Procedures.

(a) Each state agency must comply with the procedures described herein when posting procurement notices on the ESBD. The commission will provide an ESBD User's Manual on line with written step-by-step instructions for accessing the ESBD.

(b) Information for each eligible procurement opportunity must be data entered directly and electronically by the registered agent, via Internet access, to the ESBD using the prescribed electronic format. The registered agent must enter the minimum required information as stated in §113.204 of this title (relating to Notice and Information Posting Requirements) using the on-line format provided by the commission in the ESBD.

(c) The prescribed format will contain data fields for each of the required information items listed above. Contact information for the posting will automatically default to the information provided on the registered agent's registration form, but can be manually changed to reflect contact information on procurement opportunities for which the registered agent is not the contact.

(d) The registered agent/user must select the "Add this listing" option to complete the posting process. All required information must be entered for the system to accept the posting.

(e) Each state agency is responsible for posting notices of any addendum, if applicable, to each procurement opportunity. The state agency is responsible for any addendum and/or cancellation notices to postings on the business daily.

(f) It is the responsibility of the potential bidder or offeror to contact the state agency prior to the bid or posting closing date to determine if an addendum has been issued.

§113.214.Posting Follow-up and Record Keeping.

(a) A copy of the procurement opportunity posting will automatically be sent electronically to the registered agent's e-mail address, if an e-mail address was provided on the user registration form. If the registered agent does not have e-mail access, it is the responsibility of the registered agent to use the print features of the Internet browser software to produce a hard copy of the posting for permanent record keeping as part of the contract file.

(b) The ESBD will automatically purge postings according to the bid opening date entered by the registered agent. Each state agency is responsible for ensuring the eligible procurement remains posted for the minimum number of days, as set forth in Texas Government Code, §2155.083 and §113.208 of this title (relating to Posting Time Requirements).

§113.215.Contract Award.

(a) A state agency may not award the procurement contract and shall continue to accept bids or proposals or other applicable expressions of interest for the procurement contract opportunities for at least 21 calendar days after the date the state agency first posted notice of the procurement or 14 calendar days after the date the state agency first posted the entire bid or proposal solicitation package.

(b) A contract or procurement award is void if made by a state agency in violation of the applicable minimum required posting time or if no ESBD posting was made.

§113.216.Award Notification.

(a) Each state agency's registered agent must record the action resulting from the posting of each eligible procurement into the ESBD using the prescribed form. This includes contracts awarded and procurement opportunities canceled by the state agency.

(b) The procurement or contract award notice shall include the following minimum information:

(1) agency name, mailing and physical address, and contact name;

(2) purchase requisition number for procurement opportunity;

(3) contract award recipient information to include company name, mailing address, and the commission's historically underutilized business certification status, if applicable; and

(4) dollar amount of award.

(c) Cancellation notices will include the following minimum information:

(1) agency name, business address, and contact name;

(2) purchase requisition number; and

(3) reason for cancellation.

(d) Upon posting of award notification information in the form, the registered agent will receive an e-mail notification of the posting.

§113.217.Verification of Compliance.

It is the responsibility of the state agency to maintain sufficient records and reports to verify compliance with Texas Government Code §2155.083 and this subchapter for audit purposes. Compliance with this subchapter will be audited as part of the commission's oversight process.

§113.218.Exceptions and Exclusions.

This chapter does not apply to a state agency to which Education Code §51.9335 or §73.115 applies. The commission does not have authority to grant exceptions to Texas Government Code §2155.083 of this chapter.

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 June 14, 2002.

TRD-200203700

Juliet U. King

Legal Counsel

Texas Building and Procurement Commission

Earliest possible date of adoption: July 28, 2002

For further information, please call: (512) 463-3583


Part 15. TEXAS HEALTH AND HUMAN SERVICES COMMISSION

Chapter 351. COORDINATED PLANNING AND DELIVERY OF HEALTH AND HUMAN SERVICES

1 TAC §§351.501, 351.503, 351.505

The Texas Health and Human Services Commission (HHSC) proposes new §§351.501, 351.503, and 351.505, which affect all state agencies that operate, license, certify, or register a facility in which a child resides, excluding the Texas Department of Criminal Justice, Texas Youth Commission, and Texas Juvenile Probation Commission. The proposed sections define abuse, neglect, and exploitation; set forth minimum standards for investigating and reporting suspected child abuse, neglect, and exploitation, including collection of evidence, burdens of proof, contents of investigative reports, referrals to other state and law enforcement agencies, and qualifications and training of investigators; and establish uniform procedures for collecting information on abuse, neglect, and exploitation investigations, including procedures for collecting information on deaths that occur in a facility. The purpose of the proposed sections is to implement Senate Bill 664, 77th Legislature, 2001, codified at §261.407, concerning minimum standards for investigations of suspected child abuse, neglect, and exploitation, and at §261.408, concerning the collection of information in the investigation of child abuse, neglect, and exploitation.

The proposed rules were developed in conjunction with a work group consisting of representatives of the health and human services agencies, the Texas School for the Blind and Visually Impaired (TSBVI), the Texas School for the Deaf (TSD), and Advocacy, Incorporated. In drafting the proposed rules, the work group considered each affected agency's administrative rules related to investigating and reporting child abuse, neglect, and exploitation and the child abuse, neglect, and exploitation laws and regulations in effect in other states.

Don Green, Chief Financial Officer for HHSC, has determined that for the first five years the proposed sections will be in effect, there will be no fiscal implications for state or local government as a result of enforcing or administering the sections.

Mr. Green also has 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 increased protection of the physical and emotional safety of all children by reducing abuse, neglect, and exploitation, which will result in an overall savings to the State. The proposed rules also promote accountability by requiring agencies to maintain records regarding alleged incidents of abuse, neglect, and exploitation and deaths that occur in facilities.

Small and Micro-business Impact Analysis. The proposed rules will not result in additional costs to persons required to comply with them because the rules do not impose new requirements on the cost of doing business, do not require the purchase of any new equipment, and should not require any increased staff time in order to comply. The rules will not affect local employment.

Takings Impact Assessment. HHSC has determined that Chapter 2007 of the Government Code, concerning governmental actions affecting private property rights, does not apply to these rules and that, therefore, HHSC is not required to complete a takings impact assessment regarding these rules.

Public comment on the proposed rules may be submitted in writing to Stella Bryant, Legal and Legislative Affairs Division, Health and Human Services Commission, by mail addressed P.O. Box 13247, Austin, Texas 78711, or by facsimile to (512) 424-6587. Comments must be submitted within 30 days of publication in the Texas Register .

The new rules are proposed under §261.407 and §261.408 of the Family Code, which authorize HHSC to adopt minimum standards for investigating and uniform procedures for collecting information concerning child abuse, neglect, and exploitation investigations and under §531.033 of the Government Code, which gives HHSC the authority to adopt rules necessary to carry out HHSC's duties under Chapter 531.

The proposed sections implement §261.407 and §261.408 of the Family Code and §533.033 of the Government Code.

§351.501.Definitions relating to child abuse, neglect, and exploitation.

The following words and terms, when used in this section and §351.503 and §351.505, have the following meanings, unless the context clearly indicates otherwise:

(1) Abuse--any intentional, knowing, or reckless act or omission by an employee, volunteer, or other individual working under the auspices of a facility that causes or may cause emotional harm or physical injury, whether substantial or not, to or the death of a child the facility serves.

(2) Allegation--a report by a person who believes or has knowledge that a child has been or may be abused, neglected, or exploited in a facility.

(3) Child--a person under 18 years of age who is not and has not been married or who has not had the disabilities of minority removed for general purposes.

(4) Emotional harm--an injury to a child as evidenced by an observable physical, mental, or emotional impairment in the child's psychological growth, development, or functioning

(5) Exploitation--the illegal or improper use of a child or of the resources of a child for monetary or personal benefit, profit, or gain by an employee, volunteer, or other individual working under the auspices of a facility.

(6) Facility--the management, administrator, or other person involved in the provision of care and services to a child.

(7) Individual who works under the auspices of a facility--a person who is responsible for a child's care, custody, or welfare, including:

(A) an employee, student, or volunteer of the facility;

(B) a person under contract with the facility;

(C) a director, owner, operator, or administrator of a facility;

(D) anyone who has responsibility for a child in a facility in his or her care;

(E) anyone who has unsupervised access to a child in a facility in his or her care;

(F) anyone who regularly or routinely lives at the facility; and

(G) any other person permitted by act or omission to have access to a child in his or her care.

(8) Intentional, knowing, or reckless--that the person who acts or fails to act:

(A) deliberately causes or may cause physical injury or emotional harm, whether substantial or not, to the child;

(B) knows or should know that physical injury or emotional harm, whether substantial or not, to the child is a likely result of the act or omission; or

(C) consciously disregards an unjustifiable risk of physical injury or emotional harm, whether substantial or not, to the child.

(9) Neglect--a negligent act or omission by an employee, volunteer, or other person working under the auspices of a facility, including failure to comply with an individual treatment plan, plan of care, or individualized service plan, that causes or may cause substantial emotional harm or substantial physical injury to, or the death of, a child served by the facility.

(10) Observable physical, mental, or emotional impairment--discernible and substantial damage or deterioration.

(11) Omission--a failure to act.

(12) Physical injury--any bodily harm that is determined not to be serious by an examining physician. Physical injuries include, but are not limited to, scrapes, cuts, welts, and bruises.

(13) Professional--an individual who is licensed or certified by the state or who is an employee of a facility licensed, certified, or operated by the state and who, in the normal course of official duties or duties for which a license or certification is required, has direct contact with children.

(14) Preponderance of evidence--the greater weight of the evidence, evidence that, though not sufficient to free the mind wholly from all reasonable doubt, is still sufficient to incline a fair and impartial mind to one side of the issue rather than the other.

(15) Report--a report that alleged or suspected abuse, neglect, or exploitation of a child has occurred or may occur.

(16) Reporter--a person filing a report of alleged abuse, neglect, or exploitation. The "Reporter" may be the victim of the alleged abuse, neglect, or exploitation, a third party filing a report on behalf of the alleged victim, or both.

(17) Sexual conduct harmful to a child's mental, emotional, or physical welfare includes:

(A) conduct that constitutes the offense of indecency with a child under §21.11 of the Penal Code, sexual assault under §22.011 of the Penal Code, or aggravated sexual assault under §22.021 of the Penal Code;

(B) failure to make a reasonable effort to prevent sexual conduct harmful to a child;

(C) compelling or encouraging the child to engage in sexual conduct, as defined in §43.01 of the Penal Code;

(D) causing, permitting, encouraging, engaging in, or allowing the photographing, filming, or depicting of the child, if the person knew or should have known that the resulting photograph, film, or depiction of the child is obscene, as defined in §43.21 of the Penal Code, or pornographic;

(E) the current use by a person of a controlled substance, as defined by Chapter 481, Health and Safety Code, in a manner or to the extent that the use results in physical, mental, or emotional injury to a child;

(F) causing, expressly permitting, or encouraging a child to use a controlled substance, as defined by Chapter 481, Health and Safety Code; or

(G) causing, permitting, encouraging, engaging in, or allowing a sexual performance by a child, as defined in §43.25 of the Penal Code.

(18) State agency--an agency that operates, licenses, certifies, or registers a facility in which a child is located, including the Texas School for the Blind and Visually Impaired and the Texas School for the Deaf.

(19) Substantial emotional harm--an observable physical, mental, or emotional impairment in a child's psychological growth, development, or functioning that is significant enough to require treatment by a medical or mental health professional.

(20) Substantial physical injury--bodily harm or damage to a child such that a prudent person could conclude that the injury required professional medical attention. These injuries include, but are not limited to, dislocated, fractured, or broken bones; brain damage; subdural hematoma; internal injuries; lacerations requiring stitches; second and third degree burns; poisoning; and concussions.

(21) Substantial risk--a real and significant possibility or likelihood.

§351.503.Minimum Standards for Investigations.

(a) Applicability. This section applies to reports made under §261.401 of the Family Code by any person who has cause to believe that a child's physical or mental health or welfare has been or may be adversely affected by abuse, neglect, or exploitation.

(b) Formal investigation. On receiving an oral or written allegation or report, a state agency must immediately (preferably within 24 hours, but not later than 48 hours) initiate a formal investigation to determine the accuracy of the report and to evaluate the need for protective services for the child. A state agency should consider the following steps (which may vary according to circumstances) in conducting its investigation:

(1) a face-to-face interview with the alleged victim to evaluate immediate and long-term risk. The investigator must make every effort to establish face-to-face contact with the alleged victim, including a diligent search to locate the alleged victim, if the child's whereabouts are unknown.

(2) a face-to-face interview with the person(s) thought to have knowledge of the circumstances.

(3) collecting relevant information such as:

(A) the nature, extent, and cause of the abuse, neglect, or exploitation;

(B) the identity of the person responsible for the abuse, neglect, or exploitation;

(C) the names and conditions of the other individual(s) in the home;

(D) an evaluation of the parent(s) or person(s) responsible for the care of the alleged victim;

(E) the adequacy of the environment; and

(F) the relationship of the alleged victim to the person(s) responsible.

(4) assigning a priority based on the information received and the degree of severity and immediacy of the alleged harm to the child.

(c) Priorities for investigations. A state agency should assign priorities and prescribe investigative procedures based on the severity and immediacy of the alleged possible harm to the child. The criteria listed below provide a basic framework and direction for priority assignments; they are neither definitive nor all-inclusive. Each allegation of abuse, neglect, or exploitation must be evaluated on its own circumstances and priorities assigned accordingly. In determining the appropriate priorities, a state agency should consider the following:

(1) Highest priority investigation. The investigation must begin promptly (preferably within 24 hours of receipt of a report) when:

(A) the alleged victim is believed to be in immediate danger of physical harm; and

(B) there is a significant risk that relevant evidence may be lost if the investigator does not see the alleged victim within 24 hours.

(2) Other investigations.

(A) a state agency should establish a priority system that evaluates the amount of time that has elapsed from the date of the incident to the date of the report for other abuse, neglect, and exploitation reports not requiring an immediate on-site investigation. The investigation must, to the greatest extent possible, be completed within 14 to 21 calendar days of receipt of the report, depending on the designated priority. Extensions may be granted with an explanation and documentation of the reason(s) for the delay.

(B) the state agency may determine that a report is frivolous or patently without a factual basis or does not concern abuse, neglect, or exploitation early in the investigation, and close the investigation and retain immunity.

(C) the state agency is not required to investigate an allegation that clearly does not involve abuse, neglect, or exploitation of a child in its facility. The agency should refer the allegation to the appropriate state agency for assistance.

(d) Collection of evidence. The collection of evidence should include, but is not limited to:

(1) a full statement of the allegation(s);

(2) interview(s) with the victim, alleged perpetrator, and all witnesses or persons who may provide collateral information:

(A) interviews must be conducted as quickly as possible after receipt of the initial report;

(B) any person authorized to conduct an investigation of abuse, neglect, or exploitation should coordinate investigative activities and share information with other appropriate agencies, if any, in order to minimize the number of interviews of the victim;

(3) signed and dated written statements of collateral witnesses (the victim, alleged perpetrator, or persons who may provide information) that have been signed and dated by the investigator;

(4) documentation of a physical examination of the victim and medical treatment rendered, as needed;

(5) photographs, which must be taken whenever there are allegations of physical injuries;

(6) diagrams, as needed;

(7) the original notes, videotapes, and audiotapes, in order to preserve and document the chain of evidence; and

(8) any other physical evidence that is relevant to the investigation.

(e) Burden of proof. After the evidence has been collected and evaluated, the investigative staff must determine whether the allegation has been confirmed, is unconfirmed, inconclusive, or unfounded. To confirm an allegation of abuse or neglect, the investigative staff must find a preponderance of the evidence. The following four classifications describe the various types of investigative findings and the weight of evidence required for each:

(1) Confirmed means a finding that an allegation of abuse, neglect, or exploitation is supported by a preponderance of the evidence.

(2) Unconfirmed means it is reasonable to conclude that abuse, neglect, or exploitation did not occur or is unlikely to occur.

(3) Inconclusive means there is insufficient evidence to support or refute an allegation. A finding that an allegation of abuse, neglect, or exploitation leads to no conclusion or definite result due to a lack of witnesses or other relevant evidence.

(4) Unfounded means that an allegation of abuse, neglect, or exploitation is spurious or patently without factual basis, as described in §261.106(c) and §261.107(a) of the Family Code.

(f) Content of the investigative report. An investigative report must, to the greatest extent possible, be written concisely, clearly, factually, and objectively. The following elements should be included in the report:

(1) a brief description of the allegation that identifies the victim, alleged perpetrator(s), and any witnesses;

(2) date and time the incident occurred and when it was reported;

(3) a summary of investigative procedures; and

(4) a summary and analysis of the evidence, a determination of whether the allegation was confirmed or is unconfirmed, inconclusive or unfounded, and recommendations; A state agency must submit the report, together with recommendations, to the district attorney and the appropriate law enforcement agency, if further legal action is warranted.

(g) Referrals to appropriate agencies. A state agency that receives a report of abuse, neglect, or exploitation that is not within the agency's jurisdiction must refer the matter to the agencies listed below, as appropriate:

(1) to the Texas Department of Protective and Regulatory Services, if the alleged or suspected abuse, neglect, or exploitation involves a person responsible for the care, custody, or welfare of the alleged victim;

(2) to the appropriate law enforcement agency, if the allegation does not involve a caretaker or an incident that appears to violate the Penal Code; the state agency must send its final report to law enforcement, if the investigation indicates a crime has been committed;

(3) to the state agency that operates, licenses, certifies, or registers the facility in which the alleged abuse, neglect, or exploitation occurred.

(h) Administrative review of investigation findings. A state agency should develop and implement policies and procedures to resolve complaints in accordance with §261.309 of the Family Code.

(i) Confidentiality of Reports. A state agency may disclose the allegation, report, records, communications, and working papers used or developed in the investigative process, including the resulting final report regarding abuse, neglect, or exploitation, only as provided by §261.201 of the Family Code, concerning the confidentiality of information. Investigations under Chapter 42 of the Human Resources Code, concerning licensed child-care facilities, homes, and agencies, must comply with all applicable federal and state confidentiality laws and regulations.

(j) Qualifications and training of investigator(s).

(1) Qualifications. A state agency must establish minimum qualifications for all abuse, neglect, and exploitation investigators. In determining the appropriate qualifications, a state agency should consider including a minimum number of hours of annual professional training for investigators of suspected child abuse, neglect, or exploitation.

(A) The professional training curriculum must include information concerning, but not limited to:

(i) physical abuse and neglect, including distinguishing physical abuse from ordinary injuries;

(ii) psychological and emotional abuse and neglect;

(iii) exploitation;

(iv) available treatment resources; and

(v) the incidence and types of reports of victim abuse, neglect, or exploitation that are received by the investigating agencies, including information concerning false reports.

(B) The investigator must have knowledge of Penal Code sections that relate to abuse, neglect, and exploitation.

(C) The investigator must know how to develop written statements and other documentary records related to the interview process and how to handle evidence, for example, collection and preservation of physical evidence.

(2) Training standards. These standards must encourage professionalism and consistency in the investigation of suspected child abuse, neglect, or exploitation. The training standards must include at least the following:

(A) videotaped and audiotaped interviews with a suspected victim must be uninterrupted;

(B) establishing a maximum number of interviews with and examinations of a suspected victim;

(C) procedures to preserve evidence, including the original notes, video-tapes, and audiotapes; and

(D) an investigator of suspected child abuse, neglect, or exploitation must make a reasonable effort to locate and inform each parent of a child of any report of abuse, neglect, or exploitation relating to the child.

§351.505.Information Collection; Uniform Data Collection Procedures.

Each state agency must prepare and keep on file a complete written report of each investigation the agency conducts under Chapter 261 of the Family Code. Each state agency must compile, maintain, and make available statistics on the incidence of child abuse, neglect, and exploitation in each facility it investigates. The rules and policies adopted and implemented by a state agency must, to the greatest extent practicable, provide a uniform method of collecting and analyzing data on suspected child abuse, neglect, or exploitation in a facility. A state agency must consider using the following procedures when analyzing data on abuse, neglect, and exploitation investigations:

(1) Sort by program classification the number of investigations completed. Examples of program classification include state hospitals, private psychiatric facilities, and maternity homes.

(2) Sort by program classification the number of confirmed investigations that are completed.

(3) Sort all completed investigations according to disposition: confirmed, unconfirmed, inconclusive, or unfounded.

(4) Sort all completed confirmed investigations by whether the identity of the perpetrator is known or unknown.

(5) Develop a confirmation rate by dividing the sum of all confirmed investigations by the sum of all completed investigations with dispositions of confirmed, unconfirmed, inconclusive and confirmed. Unfounded cases are not included in this calculation.

(6) Calculate the average number of days to complete investigations and sort by program.

(7) Calculate the number of investigations referred to law enforcement.

(8) Calculate the number of investigations pending at the end of the report period.

(9) Calculate the number of disciplinary actions resulting from confirmed findings.

(10) Calculate the number of deaths that occur as a result of child abuse or neglect in the affected facilities

(11) Calculate the number of appeals and the number of cases appealed that are overturned.

(12) Investigations with multiple allegations are to be counted once, based on the highest level of injury. For example, if a single incident involves one allegation of physical abuse that resulted in serious physical injury and a second allegation of verbal abuse, the investigation should be counted only once, as an instance of physical abuse resulting in serious physical injury. In other words, the sum of completed investigations involving serious injuries, non-serious injuries, verbal/emotional abuse and neglect, and exploitation should not exceed the total number of cases completed.

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 June 17, 2002.

TRD-200203750

Marina S. Henderson

Executive Deputy Commissioner

Texas Health and Human Services Commission

Earliest possible date of adoption: July 28, 2002

For further information, please call: (512) 424-6576