TITLE 10.COMMUNITY DEVELOPMENT

Part 7. TEXAS RESIDENTIAL CONSTRUCTION COMMISSION

Chapter 303. REGISTRATION

Subchapter A. REGISTRATION OF BUILDERS

10 TAC §§303.1, 303.3, 303.5, 303.7, 303.9, 303.11, 303.13, 303.15, 303.17, 303.19, 303.21, 303.23

The Texas Residential Construction Commission (the "commission") adopts new rules at Title 10, Part 7, Chapter 303, Subchapter A, §§303.1, 303.3, 303.5, 303.7, 303.9, 303.11, 303.13, 303.15, 303.17, 303.19, 303.21 and 303.23, relating to the registration of builders in the State of Texas as provided for in Title 16, Property Code. The new rules are adopted with changes to the proposed text as published in the January 9, 2004, issue of the Texas Register (29 TexReg 271).

At the Open Meeting on December 18, 2004, the commission adopted emergency rules relating to the registration of builders and approved the publication of the proposed rules in the January 9, 2004, issue of the Texas Register .

The rules were published for comment in the January 9, 2004, issue of the Texas Register (29 TexReg 271).

Written comments were due February 9, 2004. Written comments were submitted by Tom Lammers of Houston Structural, Inc. ("HSI") and Jay Dyer of the Texas Association of Builders ("TAB"). No party requested a hearing pursuant to the Administrative Procedure Act, Government Code §2001.029.

In a letter dated January 28, 2004, Mr. Lammers commented that the term "moral turpitude" in §303.11, as that term relates to the criminal history of an applicant, should be replaced with "poor business ethic and practices." Mr. Lammers expressed a concern that the requirement provides for an unnecessary intrusion into an applicant's personal conduct as it relates to whether a person committed adultery or used a controlled substance. The proposed rule text uses the language of §416.002 of the Act, which states in part that the applicant must disclose "misdemeanors involving moral turpitude." The phrase "involving moral turpitude" in fact embodies a limitation on unnecessary disclosure because it requires the disclosure of only certain types of misdemeanors (crimes), i.e., those that are related to the issues of honesty and trustworthiness. Since the term "moral turpitude" tracks the language of the Act, the commission declines to make the suggested modification.

In a letter dated February 5, 2004, TAB submitted a number of proposed changes to the proposed text in its written comments. TAB suggested that the words "builder" or "builders" be replaced with the "person" or "persons" in §303.1. The replacement would further clarify the builder registration requirement. The commission agrees that this clarification is helpful and has modified the language of the text accordingly.

TAB commented that adding the phrase "the commission's receipt" in §303.3(a) would further clarify the time period when a provisional registration may be issued. The revision suggested might cause the provision to be read that once the background check is received, the provisional license is no longer appropriate. As stated in the proposed text, the provisional license can be issued, pending not only receipt of the background check but also evaluation of the results of the check. Therefore, the commission declines to make the suggested modification but modifies the language to make clear that a decision will be made and action will be taken promptly once a review of the application is complete.

TAB commented that the term "unfavorable" should be replaced or defined in §303.3(b) due to its subjective meaning. The commission agrees that the term "unfavorable" is vague and has replaced it with "unacceptable." Additionally, TAB commented that the last clause in §303.3(b) should be revised to replace "registration form" with "certificate of registration." This modification makes it clear that it is the application for registration that is the object of the denial, not the form. In the interest of clarity, the proposed text has been modified. In addition, the commission has added language in §303.5 regarding the factors considered by the commission in reviewing an application in which an applicant has a criminal history to provide further guidance to applicants on the process of review.

TAB further commented that the term "registration form" in §303.3(c) should also be replaced with "certificate of registration" and the phrase "...and state its reasons for denying the revocation" should be added. For clarity, §303.3 has been revised to more accurately reflect the actions of the commission.

TAB commented that §303.7(c) should be deleted because its wording was inconsistent with §416.003 of the Act. The commission has revised this section to more accurately reflect its intent to convey that, in the context of the rule, the term "applicant" may apply to someone who is registering as a builder and someone who is the designated agent.

TAB commented that §303.19(a) should be revised to replace "may" with "shall" because renewal is not a mandatory requirement. The commission agrees that to the extent a person chooses not to continue doing business in this state as a "builder" that person is not required to renew its certificate. The commission has made modifications to the rule text accordingly.

TAB again commented that the term "registration form" should be replaced with "certificate of registration" in §303.21. For purposes of clarity and consistency, the term has been replaced. TAB also noted that there was an inconsistency between §303.3 and §303.21 with regard to the date that the applicant is notified of denial of the certificate of registration. The commission agrees that the time frames are different, but for an appropriate reason. The statute requires that the commission issue a certificate of registration to an applicant, who meets the requirement of Property Code Chapter 416 not later than fifteen (15) days after receipt of the application. If the commission is unable to issue a certificate of registration within that time frame it may issue a provisional certificate. Section 303.3(c) is directed only at the instance in which a provisional certificate has been issued. Therefore, the three-day notice of the denial of the certificate of registration and the revocation of the provisional certificate provided for under §303.3(c) is designed to expedite the return of the provisional certificate to prevent continued work by an applicant who does not meet the requirements of Chapter 416.

Finally, TAB commented that §303.23(b) should be revised to begin the section with "Upon its receipt of a request for a hearing under this section, the commission shall: ..." The commission has determined that the proposed text as it relates to the hearings procedure is best maintained separately in a rule adopted for the purpose of describing the hearings process. Therefore, the commission has deleted proposed rule language and referenced the requirements of Property Code §416.008(g) that a hearing on the denial of a certificate of registration will be conducted in accordance with Government Code, Chapter 2001 and in more comprehensive rules devoted to the hearings procedures to be adopted by the commission.

In addition to written public comments received concerning the builder registration rules, the commission held informal public meetings around the state between January and March of 2004 and gathered comments on a variety of issues pending before the commission, including rule comments. During those informal meetings, an unidentified private citizen commented that due to the number of builders operating in Texas, it would be in the public interest for the commission to require that builders submit to an examination as part of the registration requirements. The commission agrees that builder competency is crucial to the safety of Texas citizens but at this time the commission declines to address additional requirements for builder education and training because the Act does not expressly provide for them.

All comments regarding these rules, including any not specifically referenced herein, were fully considered by the commission. The commission has made other minor modifications to the proposed rule text for the purpose of clarifying its intent and improving style and readability.

The new rules are adopted to implement provisions of House Bill 730 (Act effective September 1, 2003, 78th Legislature Regular Session, Chapter 458, §1.01) and specifically provisions of Chapter 416, Property Code, which provides, in part, that the commission must begin registering builders by March 1, 2004, and, generally, pursuant to Property Code §408.001, which provides authority for the commission to adopt rules necessary for the implementation of Title 16, Property Code (Act effective September 1, 2003, 78th Legislature, Regular Session, Chapter 458, §1.01).

The statutory provisions affected by the adoption of these rules are those set forth in Property Code, Chapters 408 and 416 and House Bill 730, 78th Legislature, Regular Session, Chapter 458, §1.01.

No other statutes, articles, or codes are affected by this adoption.

§303.1.Process.

All persons must register with the commission, using a commission-prescribed form, in order to conduct business as a builder in the state of Texas. A person must submit a completed application for registration and filing fee for issuance of a certificate of registration in the name of each entity under which the applicant intends to operate as a builder in this state. The commission shall issue a certificate of registration to an applicant who meets the eligibility requirements for builder registration within fifteen (15) days of receipt of the completed registration application form and required fee.

§303.3Provisional Registration.

(a) If the commission determines it is in the public interest, it may issue a provisional registration certificate pending receipt and evaluation of the results of a criminal background check.

(b) If a provisional registration certificate has been issued and the commission has determined that the results of the criminal background check are acceptable, the commission shall issue a certificate of registration within fifteen (15) days of the commission's approval of the application.

(c) If a provisional registration certificate has been issued and the results of the background check are unacceptable, the commission shall deny the application for registration and revoke the provisional certificate.

(1) Upon a denial of registration and revocation of the provisional certificate, the commission shall issue a written notice via certified mail, return receipt requested, to the applicant within three (3) business days of its decision containing the commission's reason(s) for the denial of the application and revocation of the provisional registration.

(2) The applicant shall return the provisional certificate to the commission in person or by mail not later than three (3) business days after receipt of the denial and revocation notice.

(3) Failure to return the provisional certificate to the commission may result in the imposition of administrative penalties upon the applicant or other enforcement action within the discretion of the commission.

(d) This section expires January 1, 2005.

§303.5.Application for Registration.

(a) The application for registration shall contain a request for information from the applicant that is sufficient for the commission to conduct a criminal background check to determine the applicant's eligibility for registration under the Act.

(b) In reviewing an application to determine if an applicant is eligible for registration under this subchapter, the commission shall consider, among other things, whether the applicant has a criminal history and if so:

(1) the nature and seriousness of any crimes to which the applicant has pled guilty or pled no contest, or for which the applicant has a prior conviction or convictions, including whether such a crime involves moral turpitude;

(2) the extent to which acting as a registered builder might offer the applicant an opportunity to engage in further criminal activity of a same or similar nature as that for which the applicant has a prior conviction;

(3) the extent and nature of the applicant's past criminal activity;

(4) the age of the applicant when any criminal activity discovered occurred;

(5) the remoteness in time between the submission of the application and the date of the applicant's last criminal conviction;

(6) the applicant's overall work history in relation to the dates of any criminal convictions;

(7) evidence of the applicant's successful rehabilitation efforts while incarcerated or after release, including but not limited to, restitution to the victim, completion of probationary requirements and completion of community service; and

(8) other evidence of the applicant's eligibility to serve as a registered builder, as requested by the commission.

(c) An applicant must respond to a commission request for further information in reviewing the application in order to complete the application process.

§303.7.Designated Agents.

(a) To be eligible to receive a certificate of registration under this subchapter all applicants must designate an individual as an agent. Each designated agent must adhere to the same registration requirements and meet the same eligibility requirements as any person applying for builder registration under this subchapter.

(b) A corporation must designate one or more of its officers as the designated agent(s).

(c) A limited liability company must designate one or more of its managers as the designated agent(s).

(d) A partnership, limited partnership or limited liability partnership must designate one of its managing partners as the designated agent or, if there are no individuals serving as a managing partner, a partnership, limited partnership or limited liability partnership must designate an individual officer among its managing partners as the designated agent.

(e) A corporation, limited liability company, partnership, limited partnership or limited liability partnership is not eligible for registration as a builder and may not act as a builder unless the entity's designated agent is individually eligible for registration as a builder.

§303.9.Eligibility Requirements.

At the time the application for registration is filed with the commission, an applicant must be at least 18 years of age and a citizen of the United States or a lawfully admitted alien and must demonstrate to the satisfaction of the commission that the applicant is honest, trustworthy and has integrity.

§303.11.Information Regarding Past Criminal History.

(a) The applicant must disclose on the application for registration:

(1) whether the applicant has entered a plea of guilty or nolo contendere (no contest) to any felony charge or to a misdemeanor charge for a crime involving moral turpitude; or

(2) whether the applicant has been convicted of any felony charge or of a misdemeanor charge for a crime involving moral turpitude and that the time for appeal of the conviction has elapsed or that the conviction was affirmed on appeal.

(b) The commission will conduct a criminal background check of each applicant and may conduct a criminal background check on any other person responsible for the registration if the commission determines it necessary to further the purposes of the Act.

(c) Any information obtained from an applicant as a result of the criminal background check that is not a public record at the time the commission obtains the information is deemed confidential. The commission may not release or otherwise disclose the confidential information except pursuant to a court order, subpoena or with the written consent of the applicant.

(d) For purposes of this section, an applicant who has received a deferred adjudication for any felony charge or for a misdemeanor charge for a crime involving moral turpitude shall disclose that charge on the application for registration.

§303.13.Designated Address.

(a) Each builder shall designate in the application for registration a fixed physical address located in this state to serve as its principal place of business.

(b) Each designated agent shall provide in the application for registration a fixed physical address in Texas.

(c) Each builder shall submit a commission-prescribed change of information form and the required fee not later than thirty (30) days from the date the builder moves from the address designated on its certificate of registration.

(d) Each designated agent shall submit a commission-prescribed change of information form and the required fee not later than thirty (30) days from the date the designated agent moves from the address provided on its application.

§303.15.Change of Registered Name.

(a) Within forty-five (45) days from the date a builder commences operation under a name different from the builder name designated on its current certificate of registration, the registered builder shall submit written notice to the commission of the new entity name under which it is operating.

(b) A change in the name of the registered builder resulting from a change in the form of business organization for that builder requires the submission of a new application for a certificate of registration.

§303.17.Material Change in Information.

Except as otherwise expressly provided in this subchapter, each builder and designated agent shall report to the commission in writing using a commission-prescribed form any material change in the information provided to the commission in the application for certificate of registration within thirty (30) days of the change.

§303.19.Renewal.

(a) After March 1, 2004, a person operating as a builder in this state must keep a current certificate of registration and must renew its certificate of registration prior to the expiration of the effective period shown on the certificate of registration. A builder who fails to maintain a current certificate of registration may be subject to an administrative penalty as determined by the commission.

(b) In order to renew a certificate of registration, a builder shall submit a completed application for renewal of a certificate of registration and the required fee to the commission not later than thirty (30) days prior to the expiration of the effective period shown on the current certificate of registration.

§303.21.Denial of Registration.

(a) If the commission denies a certificate of registration, the commission shall provide written notice to the applicant not later than the 15th day after the date the commission receives the completed application for registration and the required fee.

(b) The commission shall state the reason(s) for denial of a certificate of registration in its written notice to the applicant and provide notice of the opportunity for appeal.

§303.23.Appeal from Denial.

(a) An applicant may file a written request for a hearing to appeal the denial of its certificate of registration not later than thirty (30) days from the date of receipt of the denial notification.

(b) A hearing for an appeal under this subsection will be conducted in accordance with the Administrative Procedures Act, Government Code, Chapter 2001 and procedures adopted by the commission.

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

Filed with the Office of the Secretary of State on May 21, 2004.

TRD-200403482

Susan Durso

General Counsel

Texas Residential Construction Commission

Effective date: June 10, 2004

Proposal publication date: January 9, 2004

For further information, please call: (512) 475-0595


Subchapter B. REGISTRATION OF HOMES

10 TAC §§303.100, 303.110, 303.120, 303.130, 303.140, 303.150, 303.160, 303.170

The Texas Residential Construction Commission (the "commission") adopts new rules at Title 10, Part 7, Chapter 303, Subchapter B, §§303.100, 303.110, 303.120, 303.130, 303.140, 303.150, 303.160 and 303.170, regarding the registration of a homes in the State of Texas as provided for in Title 16, Property Code. The new rules are adopted with changes to the proposed text as published in the January 9, 2004, issue of the Texas Register (29 TexReg 274). The new rules are adopted to implement provisions of House Bill 730 (Act effective September 1, 2003, 78th Legislature, Regular Session, Chapter 458, §1.01) and specifically provisions of Chapter 426, Property Code, which provides, in part, that builders must register a new home with the commission or register an existing home if the builder's work constitutes a material improvement to the home or is an interior renovation with a cost in excess of $20,000, and generally, pursuant to Property Code §408.001, which provides authority for the commission to adopt rules necessary for the implementation of Title 16, Property Code, House Bill 730 (Act effective September 1, 2003, 78th Legislature, Regular Session, Chapter 458, §1.01).

At the Open Meeting on December 18, 2004, the commission adopted emergency rules relating to the registration of homes and approved the publication of the proposed rules for the January 9, 2004, issue of the Texas Register . The new rules are adopted to implement provisions of House Bill 730 (Act effective September 1, 2003, 78th Legislature, Regular Session, Chapter 458, §1.01) and, more specifically, provisions of Chapter 426 of the Property Code.

The rules were published for comment in the January 9, 2004, issue of the Texas Register (29 TexReg 274).

Written comments were due February 9, 2004. Tom Lammers of Houston Structural, Inc. ("HSI") and Jay Dyer of the Texas Association of Builders ("TAB") submitted written comments for the commission's consideration during the comment period. No party requested a hearing pursuant to the Administrative Procedure Act, Government Code §2001.029.

In a letter dated January 28, 2004, Mr. Lammers commented that §303.100(b) should be revised to replace the word "earlier" with "later" as it relates to the time period when a builder must register a new home for a transaction governed by the Act for which there is no transfer of title. Mr. Lammers's concern was due to instances in which a homeowner and builder enter into an agreement months before the actual work on the home commences. Although circumstances as described by Mr. Lammers do exist, the rule tracks the language of §426.003 of the Act. Since the plain wording of the statute connotes the Legislature's intention that home registration occur sooner, rather than later, the commission declines to accept the suggested change. However, the commission has made revisions to clarify that the time period is to be calculated from the date on which the parties enter an agreement that is not subject to any contingency. Such revisions are in §303.100(c) and §303.110(b).

In a letter dated February 5, 2004, TAB submitted a number of proposed changes to the proposed text in its written comments. TAB suggested that a new subsection be added to §303.100 to provide a time period for builders to register a new home when there is to be no transfer of title. The commission agrees the proposed rule text did not fully address the circumstance described by TAB. Accordingly, the commission added a new subsection, §303.100(c), to ensure that the registration requirement encompasses new home construction governed by the Act regardless of whether there is a transfer of title.

TAB suggested that the phrase "governed by this Act" be deleted from §303.100(a) because the phrase is unnecessary due to the two defined terms contained within the rule. The commission has defined the term "transaction governed by the Act" in its rule on definitions and believes that its use in this section adds clarity to the rule. Therefore, while the rule text has been revised to enhance readability, the term has been retained in §303.100(a). TAB's comment also suggested that the term "enter" in §303.100(b) be replaced with "execute" to indicate the signing of an agreement for construction. The commission notes that the term "enter" is statutory and, perhaps, was utilized by the Legislature to connote that an agreement could be oral or be written but unsigned. Therefore, the commission has retained the term as used in the statute. TAB also commented regarding this subsection that language should be added to state that the builder's obligation for home registration only applies to construction projects in which the agreement is entered into or the construction work is commenced after January 1, 2004. As a result of other changes in the proposed rule text and to signal to builders that the obligation to register home construction projects began on January 1, 2004, the language suggested by TAB has been included in the rule text. TAB further commented that a new subsection (d) should be added to state that builders have no obligation to register homes for which construction described by a transaction governed by the Act commenced before January 1, 2004. The commission believes that the rule language as modified has clarified that the builder's obligation to register homes began on January 1, 2004 and the suggested new subsection would be superfluous.

TAB commented that the phrase "for consideration" in §303.120(b) should be replaced with "when the cost of the work." Although, the commission chose the term "consideration" to reflect the required element for a contractual agreement between a builder and homeowner and to embrace forms of compensation other than cash, the commission has revised the definition of "improvement to the interior of an existing home when the cost of the work exceeds $20,000" to make clear that compensation in any form is relevant to determining the cost of the work. However, due to other modifications in §303.120, the comment is no longer relevant to the rule text.

TAB commented that §303.150(b) should be revised to add the word "home" and delete the word "registration." The commission has revised the proposed text of this subsection and believes that the revisions encompass this TAB comment.

In addition to written public comments received concerning the home registration rules during the public comment period, the commission held informal public meetings around the state between January and March of 2004 and gathered comments on a variety of issues pending before the commission, including rule comments. During those informal meetings, Becky Oliver, Greater San Antonio Builders Association, commented that in instances of new home construction on property not owned by the builder §303.110(b) should be revised to read "fifteen days from the signing of the mechanic's lien contract" instead of "not later than the fifteenth day after the date that the builder and the homeowner enter into an agreement." Mr. Buford Chapman, a building official for the City of Lufkin, made a similar comment regarding the withdrawal of home registration for agreements that fall through. As mentioned in the above response to TAB's comments, the commission agrees that clarification is needed in this subsection and has added language to make clear that the trigger date for registration is the date upon which the parties enter into an agreement that is not subject to a contingency, such as the approval of financing. These comments on the failure of projects to commence as a result of financing issues also prompted numerous comments on the question of procedures for home registration withdrawal that was provided for in the proposed rule text under §303.110(c). One such comment was received from Mr. Harris Connell, a homebuilder in San Antonio.

An additional comment regarding §303.110 was received from Mr. Lawrence Cronk of Sugar Land. Mr. Cronk commented that determining when to register a home for projects with multiple agreements with consideration that totals $20,000 in a twelve-month period may be difficult, for example, if one project under $20,000 commenced in January and second project commenced in June. As a result of that comment and others with a similar focus, the commission has replaced the language of §303.110(c) to reflect Mr. Cronk's comment. The commission will propose a new §303.115 regarding withdrawal as proposed in §303.110(c) to address Mr. Connell’s comment.

All comments regarding these rules, including any not specifically referenced herein, were fully considered by the commission. As a result of those comments and the commission's desire to improve the clarity of its intent and the readability of the rules, the commission has made other modifications to the proposed rule text.

The statutory provisions affected by the adoption of these rules are those set forth in Property Code Chapters 27, 408, 426 and House Bill 730, 78th Legislature, Regular Session.

No other statutes, articles, or codes are affected by the adoption.

§303.100.New Home Registration.

(a) On or after January 1, 2004, a builder shall register with the commission all new home construction resulting from a transaction governed by the Act.

(b) For new home construction involving a title transfer from the builder to the initial homeowner, the builder shall submit a home registration form and the appropriate fee to the commission on or before the 15th day of the month that follows the month in which the title transfer takes place.

(c) For new home construction that does not involve a title transfer from the builder to the initial homeowner, a builder shall register a home by submitting a home registration form and the appropriate fee to the commission not later than the 15th day after the date that the builder enters into a transaction governed by the Act that is not subject to any contingency or the date of commencement of the work on the home, whichever date is earlier.

§303.110.Registration of Existing Homes by a Builder.

(a) On or after January 1, 2004, a builder who enters into a transaction governed by the Act for an existing home shall register the home with the commission.

(b) A builder shall register a home under this subsection by submitting a home registration form and the appropriate fee to the commission not later than the 15th day after the date that the builder enters into a transaction governed by the Act that is not subject to a contingency or the date of commencement of the work on the home, whichever date is earlier.

(c) A builder shall not intentionally divide an agreement to improve the interior of an existing home into more than one agreement each with consideration of less than $20,000 for the purpose of avoiding the requirements of this subchapter.

§303.120.Registration for Purposes of the State-sponsored Inspection and Dispute Resolution Process.

A person who files a request with the commission to initiate the state-sponsored inspection and dispute resolution process for an alleged construction defect(s) resulting from a transaction governed by the Act, must register the home with the commission at the time of filing the request if the home has not been registered previously with the commission.

§303.130.Homes Not Eligible for Registration.

The commission shall not register a home under this subchapter if:

(1) the home was built by the homeowner acting in the capacity of a builder with or without the assistance of the homeowner's hired employees or independent contractors; and

(2) the home has been used or will be used by the homeowner as the homeowner's primary residence for at least one year after completion or substantial completion of construction of the home.

§303.140.Home Registration Process.

(a) A person registering a home under this subchapter shall use a commission-prescribed home registration form.

(b) A completed home registration form must be submitted to the commission with the appropriate fee by first class mail, personal delivery or, if provided by the commission, an electronic method of submission.

§303.150.Fees.

(a) Home registration fees shall be made payable to the Texas Residential Construction Commission via check, money order, credit card or other payment method acceptable to the commission.

(b) A builder who fails to register a new or an existing home with the commission pursuant to the requirements of this subchapter may register the home not later than sixty (60) days after the required registration period has expired by submitting the home registration form with payment of the home registration fee and a late home registration penalty in an amount set by the commission.

(c) A builder who has been granted tax-exempt status by the Internal Revenue Service under the Internal Revenue Code §501(c)(3) may request a waiver of a home registration fee by submitting a commission-prescribed fee waiver form and documentation verifying the builder's Internal Revenue Code §501(c)(3) tax-exempt status.

§303.160.Public Information.

(a) Within thirty (30) days of the receipt of a completed home registration form, the commission shall provide to the homeowner of the registered home the following:

(1) information regarding the functions of the commission;

(2) information on the limited statutory warranty and building and performance standards adopted by the commission;

(3) a description of the state-sponsored inspection and dispute resolution process;

(4) a description of the commission complaint resolution procedures; and

(5) other information as determined by the commission.

(b) The commission shall notify a builder in writing that a home has been registered under the builder's name.

§303.170.Administrative Penalties.

The commission may assess an administrative penalty and/or take other disciplinary action within its authority against a builder:

(1) who fails to register a home with the commission pursuant to the requirements of this subchapter;

(2) who fails to pay a late home registration penalty required under this subchapter;

(3) who registers a home more than sixty (60) days after the expiration of the registration period required under this subchapter; or

(4) who is found to have intentionally divided an agreement to improve the interior of an existing home into more than one agreement, each with consideration of less than $20,000, for the purpose of avoiding the requirements of this subchapter.

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

Filed with the Office of the Secretary of State on May 21, 2004.

TRD-200403484

Susan Durso

General Counsel

Texas Residential Construction Commission

Effective date: June 10, 2004

Proposal publication date: January 9, 2004

For further information, please call: (512) 475-0595


Chapter 318. RESIDENTIAL CONSTRUCTION ARBITRATION

Subchapter A. ARBITRATIONS BETWEEN HOMEOWNERS AND BUILDERS

10 TAC §§318.1 - 318.3

The Texas Residential Construction Commission (the "commission") adopts new rules at Title 10, Part 7, Chapter 318, Subchapter A, §§318.1 - 318.3, relating to Arbitrations between Homeowners and Builders. Section 318.1 and §318.2 are adopted without changes to the proposed text as published in the March 5, 2004, issue of the Texas Register (29 TexReg 2165). Section 318.3 is adopted with changes to the proposed text as published as set forth below.

Section 318.1 states the purpose and scope of the rule. Section 318.2 defines the terms arbitration and arbitrator. Section 318.3 states the instances in which arbitration awards related to residential construction must be filed with the commission and the instances in which the filing is voluntary.

The commission received written comments from the Texas Association of Builders ("TAB") and from an unidentified member of the public regarding the new sections. TAB commented that the term "arbitration" in §318.2 should be defined instead of cross-referenced to §154.027, Civil Practices and Remedies Code. An unidentified member of the public commented that the Act and §318.1 both state that they supplement the requirements of Chapter 171 of the Civil Practices and Remedies Code with regard to a court's jurisdiction over an arbitration award, but that the court's authority is only over binding arbitration awards and the proposed definition of arbitration by referring to §154.027 of the Civil Practices and Remedies Code refers to both non-binding and binding arbitration agreements. The proposed text restates the language of the Act verbatim. The definition proposed by TAB alters the language of the Civil Practices and Remedies Code and does not allow for amendments to the Civil Practices and Remedies Code. The commission declines to adopt the suggested language and instead retains the statutory reference in order to allow for any amendments to the section of the Civil Practices and Remedies Code referenced in the Act.

TAB also commented that §318.3(b)(4) should be revised to replace the term "party" with "arbitration service provider." The commission did not define or use the term arbitration service provider because it is a self-explanatory term. However, the commission did not intend that use of the term "party" in §318.3(b)(4) would be interpreted as a reference to a "party" to the arbitration process, but rather to a third-party; therefore, it has replaced "party" with "third-party." TAB further suggested that if the term "arbitration service provider" was used, then it should be defined in §318.2. As a result of the commission's response to the previous comment, no definition has been added. TAB further suggested that §318.3(b)(7) should be revised to require that the amount of the arbitrator's monetary award be included in the award summary, if any. The commission agrees that the award amount is a necessary item and has modified the rule to reflect the change. Finally, TAB requested that "an amount not to exceed $100" be set forth as the late penalty for failure to file an arbitration award. The commission has adopted penalty fees for various late filings and has made the amount of those fees publicly available. Moreover, the commission has adopted a rule that provides it with the flexibility to review fees and revise them as necessary at least annually. Therefore, to avoid repeated amendments to this subsection, the commission declines to modify the rule as suggested.

Members of the State Bar of Texas Alternative Dispute Resolution Section commented that the requirement to file an award summary within thirty days of the date that the award is made, if the award is filed in a court of competent jurisdiction, creates a dilemma. Most arbitration awards are not filed with the court before thirty days have elapsed from the date of award in order to give the parties time to comply with the arbitrator's decision. However, the time frame for filing the award summary is statutory; therefore, the commission is not able to modify the language to accommodate the issue raised.

All comments regarding these rules, including any not specifically referenced herein, were fully considered by the commission. As a result of those comments and the commission's desire to improve the clarity of its intent and the readability of the rules, the commission has made other modifications to the proposed rule text.

The new sections are adopted to implement new legislation enacted during the 78th Legislative Session, Regular Session, House Bill 730 (Act effective September 1, 2003, 78th Legislature, Regular Session, Chapter 458, §1.01), including Title 16, Property Code. Section 408.001 of the Property Code provides general authority for the commission to adopt rules necessary for the implementation of Title 16, Property Code. Section 430.001 requires that certain persons file arbitration awards relating to residential construction with the commission.

The statutory provisions affected by the proposal are those set forth in Title 16, Property Code Chapters 408 and 430 and House Bill 730, 78th Legislature, Regular Session, Chapter 458, §1.01.

No other statutes, articles, or codes are affected by the adoption.

§318.3.Filing of Arbitration Awards.

(a) Mandatory. If an arbitration award to which this subchapter applies is filed in a court of competent jurisdiction in this state, the filer shall also file a summary of the arbitration award with the commission not later than the thirtieth day after the date of the arbitrator's award.

(b) The arbitration award summary shall include:

(1) the names of the parties to the dispute;

(2) the name of each party's attorney, if any;

(3) the name of the arbitrator(s) who conducted the arbitration;

(4) the name of the third-party who administered the arbitration, if any;

(5) the total fee charged to the parties to conduct the arbitration;

(6) a general statement of each issue in dispute;

(7) the arbitrator's determination, including the party that prevailed on each issue in dispute;

(8) the amount of the award; and

(9) the date of the arbitrator's award.

(c) Any agreement to prohibit the disclosure of the information listed in subsection (b) of this section is unenforceable.

(d) If a person is required to file an award under this section and fails to do so in the time period required by subsection (a) of this section, that person shall pay a late fee as established by the commission.

(e) A party to an arbitration or an attorney for a party may report to the commission the failure to file an award by the person responsible for filing under subsection (a) of this section.

(f) Voluntary filing. Any party to an arbitration award covered by this section may voluntarily file the information contained in subsection (b) of this section.

(g) This section applies only to an arbitration that is initiated on or after January 1, 2004.

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

Filed with the Office of the Secretary of State on May 21, 2004.

TRD-200403483

Susan Durso

General Counsel

Texas Residential Construction Commission

Effective date: June 10, 2004

Proposal publication date: March 5, 2004

For further information, please call: (512) 475-0595