(a) Purpose and Applicability. This section establishes
procedures utilized by the Commissioner and Department staff in performing
background checks and reviewing an individual's criminal background
and credit history to determine his or her fitness and eligibility
for licensure in accordance with Tex. Fin. Code §157.0132.
(b) Supporting Information/Documentation for Criminal
Background Check. In order to facilitate his or her review by the
Department, an individual with a criminal history seeking to be licensed
by the Department, when requested by Department staff, must provide
the following in support of his or her application for each conviction
or other criminal proceeding identified by Department staff:
(1) a detailed explanation, in writing, of the events
and circumstances for each conviction or other criminal proceeding
required to be self-disclosed in his or her application, signed and
dated by the individual seeking licensure; and
(2) copies of court records or other documentation
reflecting:
(A) the nature of the criminal offense (including the
statutory provisions violated, and the severity or classification
of the offense);
(B) the individual's plea (including any terms or other
arrangements for the plea);
(C) the conviction (judgment or court order);
(D) the sentence imposed;
(E) any probation or community supervision imposed
(including evidence of compliance); and
(F) any other action in the proceeding causing final
disposition of the case to be deferred.
(c) Supporting Information/Documentation for Credit
History Check. In order to facilitate his or her review by the Department,
an individual seeking to be licensed by the Department, when requested
by Department staff, must provide the following for each financial
disclosure made in his or her application for licensure and each credit
account on his or her credit report identified by Department staff:
(1) a detailed explanation, in writing, of the background
and circumstances surrounding each financial disclosure made or credit
account identified, signed and dated by the individual seeking licensure;
(2) if a bankruptcy proceeding is disclosed, a copy
of the order of discharge from such proceeding, or if the proceeding
is ongoing, the current bankruptcy petition, together with the financial
schedules filed in the proceeding;
(3) if a judgment or lien is disclosed, a copy of such
judgment or lien filing; and
(4) if delinquent child support is disclosed, a copy
of the most recent statement of account or other documentation reflecting
the current amount due, and if the individual is in a payment plan
or has otherwise entered into terms for repayment, a copy of such
plan or terms.
(d) Effect of Providing Supporting Documentation. By
providing documentation to the Department in accordance with subsections
(b) and (c) of this section, the individual certifies that he or she
has a good faith belief that such documents are true and correct copies
of documents issued by the person that originally created the document
that the Department may rely on in making a decision on the application.
By providing such supporting documentation, the individual consents
to such documentation being admissible at an adjudicative hearing
if the Commissioner seeks to deny the individual's application for
licensure resulting in a contested case, and the individual waives
any objections concerning the admissibility of such documentation
into the administrative record at such adjudicative hearing.
(e) Certified Documents. Notwithstanding subsection
(d) of this section, an individual seeking to be licensed by the Department
must obtain and provide the Department with certified or exemplified
copies of any documents described in subsections (b) and (c) of this
section upon written request by Department staff.
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