(a) At any time after the filing of a complaint, an
informal settlement conference may be held prior to the contested
case hearing for the purpose of:
(1) simplifying the issues;
(2) considering proposed admissions or stipulations
of fact;
(3) reviewing the procedure to govern the contested
case hearing;
(4) exchanging witness lists and agreeing to limit
the number of witnesses; and/or
(5) doing any act that may simplify the proceedings,
and dispose of matters in controversy, including settlement of issues
in dispute and preparation of an agreed order for presentation to
the board as provided herein.
(b) A licensee or applicant may request an informal
settlement conference; however, the decision to hold a conference
shall be made by the executive director or the investigation committee.
(c) Participation in an informal settlement conference
shall not be mandatory for the licensee or applicant, nor is it a
prerequisite to a formal hearing.
(d) The executive director or staff shall decide upon
the time, date, and place of the informal settlement conference and
provide written notice to the licensee or applicant of the same. Notice
shall be provided no less than 10 days prior to the date of the informal
settlement conference to the last known address of the licensee or
applicant. The 10 days shall begin on the date the notice is sent
electronically or deposited into the mail. The licensee or applicant
may waive the 10-day notice requirement in writing.
(1) The notice shall inform the licensee or applicant
of the following:
(A) the nature of the alleged violation;
(B) that the licensee may be represented by legal counsel;
(C) that the licensee or applicant may offer the testimony
of witnesses and present other evidence as may be appropriate;
(D) that board members may be present;
(E) that a representative of the office of the attorney
general will be present;
(F) that the licensee's or applicant's attendance and
participation is voluntary;
(G) that the complainant and any client involved in
the alleged violations may be present; and
(H) that the informal settlement conference shall be
cancelled if the licensee or applicant notifies the executive director
or staff that he or she will not attend.
(2) A copy of the board's rules may be referenced with
the notice of the informal settlement conference.
(e) The notice of the informal settlement conference
shall be sent to the complainant at his or her last known address.
The complainant shall be informed that he or she may appear and testify
or may submit a written statement for consideration at the informal
settlement conference. The complainant shall be notified if the conference
is cancelled.
(f) Participants in the informal settlement conference
may include board members, agency staff, the complainant, the licensee
or applicant, attorneys representing any of the participants, and
any other persons determined by the investigation committee or the
executive director or board's designee to be necessary for proper
conduct of the conference. All other persons shall be excluded.
(g) The informal settlement conference shall not follow
the procedures established in this chapter for contested cases and
formal hearings.
(h) The licensee, the licensee's attorney, investigation
committee members, and board staff may question witnesses, make relevant
statements, present statements of persons not in attendance, and present
such other evidence as may be appropriate.
(i) The board's attorney from the office of the attorney
general shall attend the informal settlement conferences to advise
the board members, executive director, and staff.
(j) The licensee or applicant shall be afforded the
opportunity to make statements that are material and relevant.
(k) Access to the board's investigative file may be
prohibited or limited in accordance with the Administrative Procedure
Act (APA) and Texas Register Act (TRA).
(l) No formal recording of the informal settlement
conference shall be made.
(m) At the conclusion of the informal settlement conference,
the investigation committee members, the executive director, or staff
may propose an informal disposition of a complaint or contested case
to the respondent subject to the board's approval. The informal disposition
may include any disciplinary action authorized by the Act and rules.
The investigation committee, the executive director, or staff may
also close the complaint investigation because the board lacks jurisdiction,
a violation of the act or rules was not established, or determine
further investigation is required.
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