PART IV .OFFICE OF THE SECRETARY OF STATE

ChMer Name OFFICE OF THE SECRETARY ...... STATUTORY DOCUMENTS ...... AUTOMOBILE CLUB ...... COMPUERSERWCES ...... CORPORATIONS ...... ELECTIONS ...... LIMITED PARTNERSHIP .....: ...... MICROFILM ...... NOTARY PUBLIC ...... LOBBY REGULATION ...... TEWREGISTER ...... TRADEMARK SECTION: PRACTTCE AND PROCEDURE ...... UNIFORM COMMERCIAL CODE ...... :...... ;.... BUSINESS OPPORTUNITY ...... STANDARDS OF CONDUCT OF STATE OFFICERS AND EMPLOYEES .... PRACTICE AND PROCEDURE BEFORE THE OFFICE OF THE SECRETARY OF STATE......

Revision Nos. 2. 3 & 4 ~cvisionNos. 2. 3 6 1 Iiiptr!ghc B 1% Stair aj rmr uJ HmInjjmwran S$ncnrr. Ins. CHAPTER 71. OFFICE OF THE SECRETARY

Section No. Section Name

PRACTICE AND PROCEDURE 71.1. Conflicting Rules. 71.2. Communications. 71.3. Business To Be Transacted in Writing. 71.4. Receipt of Letters and Papers. 71.5. Times for Taking Action. 71.6. [RESERVED] 71.7. Public Record. 71.8. Copies; Certified Copies; Fees for Copies. 71.9. Fees; Payment of Money; Refunds. 71.10. Special Services. 71.11. Petition for Adoption of Rules.

INSPECTION OF PUBUC RECORDS 71.21. Applications. 71.22. Documents Unavailable. 71.23. Designated Inspection Area. 71.24. Limited Copies Available at Times of Request. 71.25. Approval of Applications to Review Documents. 71.26. Inspection Hours. PRIVATE USE OF THE GREAT SEAL OF 71.40. Definitions. 71.41. Application Process. 71.42. Exemptions. 71.43. Denial of Application. 71.44. Fees; Payment of Money; Exemptions. 71.45. Licensing. 71.46. Quarterly Report. 71.47. Monitoring. 71.48. Enforcement. 71.49. tiirough 71.60. [RESERVED] Antborlty; The provisions of this Chapter 71 issued under the provUioos of Texas Civ. SL art 4331: Acts 1967, 60th Leg., p. 597. ch. 271, effective May 23, 1%7, as amended (Texas Civ. St. art. 6252-17); and AcU 1975, 64th Leg., p. 136, ch. 61, effective January 1, 1976, as amended (Texas Civ. St. an. 62S2-13a), unless otherwise noted.

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Revision Nos. 2, 3 & 4 136 Copyright e 1986 SiaieofTcxai and Han Ir\formaiionSyiienK. inc. Ch. 71 OFFICE OF THE SECRETARY 1 § 71.8.

PRACTICE AND PROCEDURE

§71.1. Conflicting Rules. In the event of a conflict between a rule contained in this category of the rules of the secretary of state, and a rule contained in another category, the rule in the other category shall prevail over the rule in this category. Sonrce: The provisiDnsofthis§7].l adopted to be effective January 1, 1976.

§71.2. Communications. All letters and other communications intended for the OfBce of the Secretary of State should be addressed to Secretary of State, P.O. Box 12887, Capitol Station, Austin, Texas 78711. When appropriate, a letter may be marked for the attention of particular division or individual. Sonrcc: The provisionsof this §71.2 adopted to be effective January I, 1976.

§7U. Business To Be Transacted in Writing. All business with the secretary of state should be transacted in writing. The personal attendance of principals or their attorneys or agents at the Offices of the Secretary of State is unnecessary. Unless it is otherwise specifically stated in the rules of this part, the action of the secretary of state will be based exclusively on the written record in the office. No consideration will be given to any alleged oral promise, stipulation, or understanding in relation to which there is disagreement or doubt. Source: The provisions of this §71.3 adopted to be effective January 1. 1976.

§71.4. Receipt of Letters and Papers. Letters and other papers received in the Office of the Secretary of State will be stamped with the date of receipt. The time of day will not be stamped. No papers are received on Saturdays, Sundays, or state holidays. Source: The provisions of this §71.4 adopted to be effective January 1, 1976.

§71.5. Times for Taking Action. Whenever periods of time are specified in the rules of this part in days, calendar days are intended. When the day, or the last day, fixed by the rules for taking any action or paying any fee in the Office of the Secretary of State falls on Saturday, Sunday, or on a state holiday, the action may be taken, or Uie fee paid, on the next succeeding day which is not a Saturday, Sunday, or a state holiday. This section does not alter the time for taking action which is fixed by any statute. Sonrce: The provisions of this §71.5 adopted lo be effective January I, 1976.

§71.6. [RESERVED]

§71.7. Public Record. (a) Unless otherwise provided by constitutional provision, statutory provision^ or judicial decision, all documents on file with the secretary of state are specifically declared to be public record. (b) Because of the necessity of ensiuing security of the files and file integrity, members of the general public shall not be allowed direct access to documents on file with the secretary of state without the prior approval of the appropriate division director, and unless the access is under the direct supervision of an employee of the secretary of state. (c) Documents on file will be produced for the examination of any person at such reasonable times and in such manner as will not interfere with the affairs of the Office of the Secretary of Stale. Source: The provisions of this §71.7 adopted to be effective January 1, 1976.

§71.8. Copies; Certified Copies; Fees for Copies. (a) Copies of any document on file in the Office of the Secretar>' of State will be furnished by the secretary of state to any person upon payment of the fee therefor. (b) Upon request, and upon payment of the statutory fee for the certificate in addition to the statutory fee for the copies, copies of documents on filei n the Office of the Secretary of State will be certified by the signature of the secretary and the seal of the Slate of Texas. (c) Fees for noncertified copies of documents on file in the Office of the Secretary of State shall be computed as follows: (1) fifty-five cents for the first page of a document; (2) fifteen cents for each additional page of the same document, or additional copies of the same document;

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(3) when noncertified copies are required to be mailed, the cost of postage will be added to the computed fee.

Source: The provisions of this §71.8adopted to be effective January- 1, 1976; amended to be effective December 29, 1976, 1 TexReg362I.

§71.9. Fees; Payment of Moner, Refunds. (a) Fees and charges payable to thesecreiarv of state are required to be paid in advance, thai is, at the time of presenting a document for filing or making a request for information for which a fee or charge is payable. (b) All payments of money lo the secretary of state should be made in United States specie, treasury notes, national bank notes, post office money orders, or by certified check. Payment tendered in any other form will authorize the Office of the Secretary of State to delay or cancel the credit until collection is made. Money orders and checks must be made payable lo the Secretar>' of State of Texas. Money sent by mail to the secretary of state will be at the risk of the sender; letters containing money should be registered. (c) Money paid by actual mistake or in excess, such as a payment not required by law, will be refunded, but a mere change of purpose after the payment of money, as when a party desires to withdraw an application for filing, will not entitle a party to a refund. Only amounts in excess of $5.00 will be refunded under any circumstances.

Source: The provisions of this §71.9 adopted to be effective Januarv 1, 1976; amended to be effective May 12, 1978, 3 TexReg 1590; amended to be effective January 9, 1980. 4TexReg4717; amended lo be effective June 3, 1985, 10 TexRcg 1619.

§71.10. Special Services. (a) Upon the request of any person, notice of any action taken by the secretary of state will be given the requesting party- by means of a Telex message or Mailgram. The fee for this service shall be $4.00, in addition to any statutory fees required by law. (b) Upon the request of any person, certification of the existence of any document on file in the Office of the Secretary of State will be given the requesting party by means of a Telex message or Mailgram. The fee for this service shall be $6.00, in addition to any statutory fees required by law. (c) Upon the request of any person, the secretary of state will expedite the filing or reviewing of a document relating to a profit or nonprofit corporation, professional corporation or association, cooperative association, or limited partnership. On the day of receipt, the secretary of state will notify the sender of the filing or of the reason the document was not filed. The fee for this service shall be $10. Requests for expedited filing or reviewing must be sent to: Secretary of State, Corporations Division, Special Handhng, P.O. Box 12436, Austin, Texas 78711. (d) Upon the request of any person, the secretary of state will expedite the handling of a certified record search pursuant to Business and Commerce Code Chapter 9 or 35, or Texas Taxation—General article 1.07C. The fee for this service shall be $5.00.

Source: The provisions of this §71.10 adopted to be effective Januar>' 1, 1976.

Authority: The provisions of this §71.10 issued under Acts 1979. 66lh Leg., p. 441, ch. 201, §1. effective August 27, 1979 (Texas Civ. St. an. 3916A).

§71.11. Petition for Adoption of Rules. (a) Any interested person may petition the secretar>' of state requesting the amendment, adoption, or repeal of a rule. Such a petition must be in writing, must be signed by the person or persons requesting the amendment, adoption, or repeal, and should be submitted to the general counsel. Office of the Secretary of Slate. The petition may be in any legible form but must contain at least the following information: (1) the caiegor\' number and title under which it is proposed that the action be taken. If the request is to amend or repeal an existing rule, the existing rule must be identified by number and title; (2) an explanation of the proposed rule, or an explanation of the amendment or reason for repeal if an amendment or repeal is being requested. The explanation should include any relevant background necessary to an understanding of the rule and must include a statement of any foreseeable effects of the requested action should that action be taken; (3) the text of the proposed rule, prepared in a manner lo indicate the words to be added or deleted from the text if an amendment or repeal of an existing rule is being requested; (4) a statement of the statutory or other authority under which the requested action may be taken. (b) Upon receipt of a petition which is in substantial compliance with the foregoing requirements, a copy of the petition will be promptly forwarded by the general counsel to the division director who has responsibility for the particular categor\' of rules under which the request has been made. Within 20 days after receipt of the petition from the general counsel, the division director shall respond in writing to the general counsel, setting out the director's recommendation on the request and the reasons for that recommendation. Within 20 days afler receipt of the division director's recommendation, the general counsel shall submit the petition to the secretary of state accompanied by the

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division director's recommendation and the general counsel's recommendation which shall also be in writing and shall set out the reasons for the recommendation. Final decision on the requested action shall rest with the secretary of state, (c) Within 60 days ai\er receipt of the petition from the requesting party, the Office of the Secretary of State shall deny the petition in writing, stating its reasons for the denial, or shall initiate rulemaking proceedings in accordance with section 5 of the Administrative Procedure and Texas Register Act (Texas Civil Statutes article 6252-13a). Source: The provisions of this §71.11 adopted to be effective January I, 1976.

INSPECTION OF PUBLIC RECORDS

§71.21. Applications. (a) Persons desiring to review documents maintained by the Office of the Secretary of State shall submit their request, in writing, on forms promulgated by the particular division to which the request is being made or in any other written manner which sets forth the required information. (b) The applications shall properly identify the document, or documents, to be inspected by name and/or nimiber. (c) The name and address of the applicant must be set forth on the application. A picture identification card, e.g., a driver's license, may be required lo verify the person's identity. (d) Applications will be handled in the order in which they are received. Sottrce: The provisions of this §71.21 adopted to be effective September I, 1982, 7 TexR^ 3061.

§71.22. Documents Unarailable. In the event the requested documents are in active use or in storage and, therefore, not available at the time the application to review documents is submitted, the division of the Office of the Secretary of State to which the request is being made shall set forth this fact in writing on the application to the applicant, and set a date and hour at which time the requested materials will be available for inspection. Soucc: The provisions of this §71.22 adopted to be effective September 1, 1982, 7 TexReg 9061.

§71.23. Designated Inspection Area. (a) Persons inspecting documents may do so only in a designated inspection area. (b) Each division of the Office of the Secretary of State shall designate an area where persons inspecting documents may be assisted by an employee. Source: The provisions of this §71.23 adopted to be effective September I, 1982, 7TexReg3061.

§71.24. Limited Copies Available at Times of Request. (a) The secretary of state shall have the authority to limit the number of pages which can be copied and supplied during a person's visit, if the number of copies requested is beyond the reasonable capacity of the available personnel and machines. (b) Copies in excess of the number available during a person's visit will be made and mailed to the applicant in the order in which the request is received. Sonne: The provisionsoflhia §71.24 adopted to be effective September 1, 1982, 7 TexReg 3061.

§71.25. Approval of Applications to Review Documents. All applications to review documents must be approved by an employee authorized to do so. Source: The provisions of this §71.25 adopted to be effective September I, 1982, 7 TexR^ 3061.

§71.26. Inspection Hoars. The inspection of documents will be allowed during regular business hours. SoDrce: The provisions of this §71.26 adopted to be effective September I, 1982, 7 TexReg 3061.

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PRIVATE USE OF THE GREAT SEAL OF TEXAS

§71.40. Definitions. The following words and terms, when used in this undesignated head shall have the following meanings unless the context clearly indicates otherwise. Unless otherwise expressly provided, the past, present, or future tense includes the other the masculine, feminine, or neuter gender each includes the other; and the singular and plural number each includes the other. Abuse—Any departure from reasonable use; immoderate or improper use; use contrary to customar>' or accepted practices and protocols such as would be a misuse of the Great Seal of Texas. Annual gross receipts—Gross receipts received during the calendar year. Applicant—.A person who has applied for a license. Application—Jht act of making a formal request for licensed permission to use the Great Seal of Texas. Benefit—Anything reasonably regarded as an economic gain or an economic advantage. Calendar year—Period of time firomJanuar y 1-December 31 inclusive. Commercial purpose—A purpose that is intended to result in a profit or other tangible benefit but does not include an official use in a state function or the use of the Great Seal of Texas or a representation of the Great Seal of Texas for a political purpose by an elected official of this state. Deceptively similar represeniation^.\ay representation which appears to contain at least' two elements similar to the Great Seal of Texas or at least four elements similar to the reverse side of the Great Seal of Texas. Denial—A refusal to grant a license. Elected official—Any individual who has been elected to an office of state government which is filled by the choice of the voters, including a member of the legislature. General public—.Any person of any nation, slate, county, municipality, or community, including individuals who are employed by the State of Texas. Great Seal of Texas—A seal which contains a five point star encircled by olive and live oak branches, and the words "the State of Texas," or depicts the reverse side of the Great Seal of Texas. Gross receipts—Total amotmt of money or the value of the benefits received fi"om the sale of licensed products. License—Permission by the secretary of state to conduct the use, manufacture, distribution, mass production, replication, sale or incorporation into advertisement, draft, or design the Great Seal of Texas within the accepted criteria of this title. Licensee—The applicant who receives permission to use the Great Seal of Texas. Licensed product—a Great Seal of Texas product which has been approved by a license. Licensing agreement—Contract to use the Great Seal of Texas, signed by applicant and the Secretary of State's Office after the applicant's application has been approved. Manufacturer—Any individual, partnership, corporation, or other legal entity which transforms raw or prepared materials into a product for trade or sale, including a publisher, printer, or advertiser. Nonexact representation—A deceptively similar representation of the Great Seal of Texas, including a state agency's seal which incorporates the Great Seal of Texas Nonojficial use—Any use of the Great Seal of Texas that is not an official use. Official use—The use of the Great Seal of Texas by an officer or employee of this state in performing a state function. Person—An individual or legal entity, including a corporation, partnership, or an association. Political purpose—.Any purpose designed to obtain or publicize a pubUc officer or position. Product—A good or service produced, manufactured or provided, either by natural means, by hand, or with tools, machinery, chemicals, or the like. Representation of the Great Seal of Texas—Includes a nonexact representation that the secretary of state determines is deceptively similar to the Great Seal of Texas. Reverse side of the Great Seal of Texas—Comprised of a shield consisting of a depiction of the Alamo, a cannon, and a bridge. The shield is encircled by oak and olive branches, and the unfurled flags of France, Spain, Mexico, the , the Confederate States of America, and the United States of America. Above the shield is emblazoned the motto "Remember the Alamo," and beneath it are the words, "Texas One and Indivisible," with a five-point star hanging over all. Revocation—An unconditional cancellation and nullification of an existing license by the Office of the Secretary of the State of Texas. State Agency—Any administrative department, or commission established by the State of Texas Constitution, the governor, or . State function—,A state governmental acti\nty authorized or required by law. The statute—Texas Business and Commerce Code §17.08. Suspension—A temporary stop order to previously licensed uses.

Source: The provisions of ihes §71.40 adopted to be effective July 29. 1986, 11 TexReg 3258.

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§71.41. Application Process. (a) Any person not a state public official, or under the express direction of a state agency and conducting official state business must prior to any use of the Great Seal of Texas in any commercial reproduction, distribution, advertisement, manufacture, promotion, rephcation, sale, or any such activity reasonably construed to be embraced by this description: (1) complete and file with the Office of the Secretary of State, on a form prescribed by that office, an application for a license for the private nonofficial use of the Great Seal of Texas; (2) obtain such license from the Office of the Secretary of State. (b) A complete application must: (1) be legibly printed or typewritten; (2) include a specific description of the intended usage involving the Great Seal of Texas; (3) be accompanied by a precise description and the specification of the actual product to bear the Great Seal of Texas in the form of an architectural drawing, an engineer's draff to scale, sales brochure, or lucid photograph; and (4) be accompanied by the application fee required by the statute and as set forth in §71.44 of this title (relating to Fees; Payment of Money). (c) E>rawings and drafts must be done on standard size paper (8'/2 inches by 11 inches). Drawings and drafts will become a permanent part of the application file. (d) Upon approval of a complete application, payment of the Ucensing fee, as set forth in §71.44 of this title (relating to Fees; Payment of Money), and execution of a Ucensing agreement on a form prescribed by the Secretary of State's Office, the licensee shall receive fiom the secretary of state a certificate bearing an identification number. Such number will be composed of: (1) letters representing the initials of the name of the current secretary of state of Texas; (2) four digits indicating the munerical month and year in which the license was issued; and (3) three digits for the sequential number of the Hcense. (e) Except as otherwise provided by law, no seal of any state agency, which incorporates the Great Seal of Texas, may be used for a nonofficial use by any person including any official or employee of said state agency. Unless a Ucense is first obtained pursuant to the procedures herein described, a person may not use a state agency's representation of the Great Seal of Texas for a commercial purpose. Soorce: The provisions of this §71.41 adopted to be effective July 29, 19S6, 11 TexReg 3258.

§71.42. Exemptions. (a) State agencies and officials who use the Great Seal of Texas for official uses or state functions have no application or fee requirement; however, in an effort to achieve uniformity and continuity, state agencies and officials are encotiraged to submit their intended uses and renditions of the Great Seal of Texas to the Secretary of State. (1) When a manufacturer or vendor solely produces for, or solely sells or distributes to a state agency a product bearing the Great Seal of Texas for an official use or for a state fimction, no application or license is required. (2) A manufacturer or vendor seeking the exemption as set forth in paragraph (I) of this subsection mtist provide the secretary of state's office with the following: (A) a signed statement from that state agency or appropriate state official that the product has been or will be used by the state agency for an official use or a state function; and (B) a certification, on a form prescribed by the secretary of state's office, from the manufacturer or vendor that the product is not available to the general public. (3) Distribution or sale of the product to the general public by the state agency shall not preclude a manufacturer or vendor from obtaining the exemption, as set forth in paragraph (I) of this subsection. (4) When a manufacturer or vendor produces for, or sells or distributes to a state agency a product bearing the Great Seal of Texas that is also available to the general pubUc, the manufacturer or vendor must file an application in accordance with §71.41(a) of this title (relating to Application Process), obtain a license in accoixlance with §71.45(a) of this title (relating to Licensing), and pay, except as otherwise provided by these administrative regulations, all fees required by §71.44 of this title (relating to Fees; Payment of Money). (5) Gross receipts received from the sale of licensed products to state agencies under the conditions set forth in paragraph (4) of this subsection are exempt from the royalty fee required by the statute and §71.44 of this title (relating to Fees; Payment of Money), provided the manufacturer or vendor of the licensed products provides the Secretary of State's Office with a signed statement from that state agency or appropriate state official that the products have been or will be used by the state agency for an official use or a state fimction. (b) Elected officials who use the Great Seal of Texas for political purposes have no appUcation or fee requirement. (1) When a manufacturer or vendor solely produces for, or solely sells or distributes to an elected official a product bearing the Great Seal of Texas for a political purpose, no application or hcense is required.

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(2) .A manufacturer or vendor seeking the exemption as set forth in paragraph (1) of this subsection must provide the secretary of state's office with the following: (A) a signed statement from the elected official or designated agent that the product has been or will be used by the elected official for a political purpose; and (B) a certification, on a form prescribed by the secretary of state's office, from the manufacturer or vendor that the product is not available to the general public. (3) Distribution or sale of the product to the general public by the elected official shall not preclude a manufacturer or vendor from obtaining the exemption, as set forth in paragraph (1) of this subsection. (4) When a manufacturer or vendor produces for, sells, or distributes to an elected official a product bearing the Great Seal of Texas that is also available to the general public, the manufacturer or vendor must file an application in accordance with §71.41(a) of this title (relating to Apphcation Process), obtain a license in accordance with §71.45(a) of this title (relating to Licensing), and pay, except as otherwise provided by these administrative regulations, all fees required by §71.44 of this title (relating to Fees; Payment of Money). (5) Gross receipts received from the sale of licensed products to an elected official under the conditions set forth in para^ph (4) of this subsection are exempt from the royalty fee required by the statute and §71.44 of this title (relating to Fees; Payment of Money), provided the manufacturer or vendor of the Ucensed products provides the Secretar\' of State's Office with a signed statement from the elected official or designated agent that the products have been or will be used by the elected official for a political purpose. (c) The manufacturer of a product bearing the Great Seal of Texas bears the responsibility for fihng the necessary application, obtaining the appropriate license, and the payment of all fees required by the statute and these administrative regulations. (1) Vendors or resellers are exempt from the application, licensing, and fee requirements of the statute and these administrative regulations where the manufacturer of the product tiansferted has obtained the required Great Seal of Texas license, provided the vendor or reseller, prior to resale, obtains from the manufacturer, on a form prescribed by the secretary of state's office, a certification of the manufacturer's liceme. (2) The certification shall contain the manufacturer's name, license number, and the type and number of items purchased. (3) The certification must be kept and maintained at the vendor's or reseller's place of business for four years and made readily available for inspection by the secretary of state's office upon request, (4) A vendor or reseller who fails to obtain, maintain, or make readily available for inspection the certifications of the manufacturer's license shall be responsible for obtaining the necessary Ucense and the payment of all fees required by the statute and these administrative regulations. (d) Gross receipts received from the sale of a licensed products to the general public are exempt from the royalty fee required by the statute and §71.44 of this title (relating to Fees; Payment of Money) where a royalty is paid to the Texas Sesquicentennial Commission (Texas Civil Statutes Article 6145-11) for the sale of the licensed products. Source: The provisionsof this §71.42 adopted to be effective July 29, 1986, II TcxReg3258.

§71.43. Denial of Application. An original or renewal application may be denied for any of the following reasons: (1) failure of the application to comply with the statute and these administrative regulations; (2) failure lo include the required fee; (3) where the intended use is deemed by the Secretary of State to be detrimental to the image of the state and not in its best interest. Sonrce: The ftrovisions of this §71.43 adopted to be effective January 24, 1986, 11 TexReg 126.

§71.44. Fees; Payment of Money; Exemptions. (a) Application fees are required to be paid at the lime of presenting the original or renewal application for Ucense. Licensing fees must be paid within 21 days of the approval of the original or renewal license. Royalty fees must be received with each quarterly report and in accordance with the deadlines set forth in §71.46(c) of this title (relating to Quarteriy Report). A fee shall be deemed delinquent if not received within 30 days after it is due. (b) All fees paid to the Secretary of State shall be in United States curtency, cashier checks, money orders, certified checks, or personal or corporate checks. Payment tendered in any other form will result in the delay or cancellation of either the application or license. (c) A mere change of purpose after the payment of fees, as when an applicant desires to withdraw an application from filing, or when a licensee terminates its license, will not entitle either the applicant or the licensee to a refiind of any fees paid under the statute or these administrative regulations. (d) Fee schedule is as follows: (1) Original or renewal application fee (Non-refundable)—$35; (2) Original or renewal license fee—$250;

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(3) Royahy fee—3.0% of armual gross license receipts in excess of $5,000. (e) Failure to Pay Fees as required by this subsection will result in the following: (1) Failure to pay the original or renewal application fee shall result in the denial of the appUcation. (2) Failure to pay the Ucensing fee within 21 days of the approval of the original or renewal application shall result in the denial of a license and the cancellation of the previously approved application. . (3) Failure to pay royalty fees may result in suspension or revocation of license. (4) Appropriate enforcement action may be requested by the secretary of state under §71.48 of this title (relating to Enforcement) where a licensee has failed to pay fees when due. Source: The provisions ofthis §71.44 adopted to be efTective January 24, 1986, II TexReg 126; amended to be effective July 29, 1986. 11 TexReg 3258.

§71.45. Ucensing. (a) Grant of license. Upon approval of an appUcation, payment of the Ucensing fee (as set forth in §71.44 of this title (relating to fees; payment of money)), and the execution of a licensing agreement on a form prescribed by the Secretary of State's Office, any individual or corporation may be granted a license which will certify to all, that such person has compUed with the requirements of appUcation and fiUng. Licensees may engage in the reproduction of the Great Seal of Texas for private and pubUc nonofiicial uses. It is accepted that the licensee will use the Great Seal of Texas in an exemplary manner. Any and all transactions which involve the vendor, manufacturer or distributor of the Great Seal of Texas and the public are expected to be handled in an honest and conscientious fashion. A Ucensee must display the Ucense in a Conspicuous manner in the licensee's office or place of business. (b) Renewal of license. A renewal of license must take place annually on the renewal appUcation and license form provided by the secretary of state's office. A renewal may not be granted if licensee: (1) has used the Great Seal of Texas in a manner that is detrimental to the im^e of the state and not in its best interests, or (2) has violated either the statute or these administrative regulations. (3) has violated or breached a term or condition of the Ucensing agreement. (c) Suspension of License. The licensee's use of the Great Seal of Texas must not be detrimental to the image of the state and its best interests, by \irtue of its draft, design, presentation, association, distribution, mantifacture or sale. Any such use, late payment, or nonpayment of a required fee, violation of either the statute or these administrative regulations, or the violation or breach of a term or condition of the licensing agreement will resuh in the suspension of the license. (1) A suspension may not take place until the licensee has been sent notice and given an opportunity at a hearing to there show that there is no basis for a suspension. (2) Any distribution, manufacture, and, or sale of Ucensed products after the license has been suspended is unlawful. (3) Failure to observe a suspension or accompanying directive may result in a revocation of the License. (d) Revocation of an Existing License. (1) A license may be revoked for, but not limited to, the following reasons: (A) use detrimental lo the image of the state and not in its best interests; (B) abusive use of the Great Seal of Texas; (C) criminal use of the Great Seal of Texas; (D) willfii] failure to observe reporting requirements; (E) a violation of the statute or these administrative regulations; (F) a continuing violation after notice thereof: (G) failure or refusal to allow monitoring under §71.47 (of this title (relating to Monitoring)). (H) violation or breach of a term or condition of the licensing agreement. (2) A revocation may not take place until the Licensee has been sent notice and given an opportunity at a hearing to there show that there is no basis for a revocation. Souixe: The provisions ofthis §71.45 adopted to be effective Januarv 24, 1986, 11 TexR^ 126; amended lo be effective July 29, 1986, II TexReg 3258.

§71.46. Quarterly Report. (a) Licensees must file with the Office of the Secretary of State a statement (i.e. quarterly report), on a form prescribed by that office, containing the following; (1) a statement of the total quantity of licensed products sold;

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(2) a statement of the total quantity of licensed products sold upon which a royalty was paid to the Texas Sesquicentennial Commission; (3) the total amount of gross receipts received from the sale of Ucensed products during the quarter; (4) the total amount of gross receipts received from the sale of licensed products during the quarter upon which a royalty was paid to the Texas Sesquicentennial Commission; (5) where the licensee has obtained an exemption under §71.42(a)(5) ofthis title (relating to exemptions) the total amount of gross receipts received from the sale of licensed products during the quarter to state agencies. (6) where the licensee has obtained an exemption under §71.42(b)(5) ofthis title (relating to Exemptions) the total amount of gross receipts received from the sale of licensed products during the quarter to elected officials. (7) the total amount of gross receipts derived by the licensee from other uses of the Great Seal of Texas during the quarter; (8) the amount of any royalty fee due for the quarter. (b) The licensee shall remit with each quarterly report the amount of any royalty fee due or a statement as to the reason no royalty fee is due. (c) Where an applicant is licensed after January 1st of a calendar year, the licensee's first quarterly report shall include the amount of gross receipts received on licensed products from the beginning of the calendar year. (d) A quarteriy report must be filed with the office of the secretar>' of state in each quarter in accordance with the following schedule: (1) First quarter (Januarv- 1 -March 31)—quarterly report due April 15 of the curtcnt calendar year; (2) Second quarter (April 1-June 30)—quarterly report due July 15 of the current calendar year (3) Third quarter (July I -September 30)^<]uarterly report due October 15 of the current calendar year (4) Fourth quarter (October 1-December 31)—quarterly report due February 15 of the following calendar year. Source: The provisions of this §71.46 adopted to be effective Januar>'24, 1986, II TexReg 126; amended to be effective July 29, 1986. 11 TexReg 3258.

§71.47. Monitoring. The Office of the Secretary of State may conduct at its discretion, random, unannounced examinations of the Ucensee's records during normal business hours (8:00 a.m. - 5:00 p.m.) to determine the licensee's compUance with the statute and these administrative regulations. All records related to the statute and these administrative rules shall be kept in accordance with generally accepted accounting principles at the Licensee's place of business or a place designated by written notification by certified mail, return receipt requested and maintained for four years. If the Licensee fails to keep and make readily available accurate records or file Quarterly Reports under §71.46 (ofthis title (relating to Quarterly Reports)), the Secretary of State may estimate the royalty fee due based in any information available, including, but not limited to, records of vendors, resellers, or manufacturers. Information contained in quarteriy reports filed with the Office of Secretary of State pursuant to §71.46 (of this title (relating to Quarteriy Reports)) will be disclosed to the State Comptroller, the State Auditor, or any similar state investigatory agenc>' upon request.

Source: The provisions of this §71.47 adopted lo be effective January 24, 1986:11 TexReg 126.

§71.48. Enforcement. In addition to the suspension or revocation of a Great Seal of Texas License, the Office of the Secretary of State may: (1) request that the Texas .Attorney General bring a civil action to enjoin either a violation of the statute or these administrative regulations relating to the Great Seal of Texas, or to coUect deUnquent fees; (2) refer any criminal violations to the appropriate prosecuting authority under the statute. Source: The provisions of this §71.48 adopted to be effective January 24, 1986, 11 TexReg 126.

§71.49. through 71.60. [RESERVED]

Revision Nos. 2. 3 & 4 144 Copyright C 1986 State of Te.xas and Han Information Systems. Inc. CHAPTER 73. STATUTORY DOCUMENTS

Section No. Sectioa Name

LABOR ORGANIZERS 73.1. AppUcation. 73.2. Apphcation Form. 73.3. Organizers Card. 73.4. Use of the Organizers Card.

SESSION LAWS 73.11. Publication of Session Laws. SERVICE OF PROCESS 73.31. Service on the Secretary. 73.32. Forwarding by the Secretary. 73.33. Certificate of Service. 73.34. Fees. LOBBYIST 73.51. . Registration Form. 73.52. Reporting Form. 73.53. Termination Form. 73.54. Reporting Requirements. COMMISSIONS 73.71. Issuance of Commissions.

Revision Nos. 2, 3 & 4 145

Ch. 73 STATUTORY DOCUMENTS 1 §73.11.

LABOR ORGANIZERS

Authority: The provisions of these §§73.1-73.4 issued under Acts 1943, 48th Leg., p. 180, ch. 104, effective August 10, 1943, as amended (Texas Civ. Sl. an. 5154a, 54), unless otherwise noted.

§73.1. AppUcation. Prior to soliciting any members for a labor union organization, any labor union organizer operating in the State of Texas shall obtain an organizer's card from the Statutory Documents Section of the Office of the Secretary of State.

Source: The provisions ofthis §73.1 adopted to be eflFeclive January 1, 1976.

Notes of DecfsioiK: Requirement that labor organizer register with the secretary of slate was unconstitutional as applied to labor leaderinviied to Texas and who merely made speech asking people to join union. Thomas v. ColbrisdS. S. Ct. 315, 323 U.S. 516, 89 L. Ed 430, rehearing denied 65 S. Ct 957, 89 L. Ed. 630 (Sup. Ct-l945). Requirement that labor organizer register with secretary of state is valid exercise of the stale's police power. American Federation of Labor v. Mann 188 S.W. 2d 276 (1945). Requirement that labor organizer register with secretarv of state was not an abridgement of constitutional right of freedom of speech. Coultalds v. State 268 S.W. 2d 192 (1954).

§73.2. Application Fonn. The application for an organizer's card shall be on a form lobeprovidedby the Office of the Secretary of State. The Statutory Documents Section of the Office of the Secretary of Slate hereby adopts by reference the following form, "Application for Labor Organizer Card." All persons required to fUe an application shall use this form. Copies may be obtained by contacting the Office of the Secretary of State, Statutory Filings Division, Statutory Documents Section, P.O. Box 12887, Austin, Texas 78711-2887,(512)475-3061.

Anthority: The provisionsof this §73.2 issued under Acts 143, 48lh Leg., p. 180, ch. 104, effective August 10, 1943, as amended (Texas Civ. St art. 5154a, §5).

Soiure: The provisions ofthis §73.2 adopted to be effective January 1, 1976; amended to be effective August 8, 1963, 8 TexR^ 2805.

§73.3. Organizers Card. Upon receipt of a complete and signed application, the secretary of state shall issue an organizers card to the applicant. The card shall bear the following information: (1) the apphcant's name; (2) the applicant's union affiliation; (3) a space for the apphcant's signature; (4) the designation "labor organizer"; (5) the signature of the secretary of state, dated and attested by his seal of office.

Source: The provisions ofthis §73.3 adopted to be effective January 1, 1976.

§73.4. Use of the Organizers Card. Whenever any labor organizer is soliciting members in the State of Texas, the organizer shall carry the organizers card issued by the secretary of state, and shall exhibit the card when requested to do so by a person being solicited for membership.

Scarce: The provisions ofthis §73.4 adopted to be effective January 1, 1976.

SESSION LAWS

§73.11. Publication of Session Laws. The session laws following the conclusion of a regular and/or special session shall be published. These volumes may be obtained from the publisher. The name and address of the publisher may be obtained by contacting the Statutory Documents Section of the Office of the Secretary of State, P.O. Box 12887, Austin, Texas 78711-2887, or calling (512) 475-3061.

Authority: The provisions of this §73.11 issued under Acts 18S3, 18th Leg., p. 33, effective July 13. 1883 (Texas Civ. St art. 4337).

Sonrce: The provisions ofthis §73.11 adopted to be effective January 1, 1976; amended to be effective December 15, 1981, 6 TexReg 4449.

Revision Nos. 2, 3 & 4 147 1 §73.11. OFFICE OF THE SECRETARY OF STATE Pt. IV

SERVICE OF PROCESS Authority: The provisioQS of these §§73.31-73.34 issued under Aas 1919. 36th Leg., p. 79. effective June 18, 1919. as amended (Texas Civ. SL art. 3914); Acts 1955, 54th Leg., ch. 64, effective September 6, 1955, as amended (Texas Bus. Corp. Act arts. 2.11. 8.10. 8.14. and 10.01); Acts 1959, 56th Leg., p. 85. ch. 43, effective August 11, 1959 (Texas Civ. St. art. 2031b); and .\cts 1959. 56th Leg., p. 286, ch. 162. arts. 2.07. 8.09, and 8.13, effective August 11, 1959, as amended (Texas Civ. St. arts. 1396—2.07, 1396—8.09, and 1396—8.13), unless otherwise noted.

§73.31. Service on the Secretary. Serv^ice of process under many of the existing statutory authorities may be had upon the secretar\' of state by delivering to the secretarj' of state, or to any clerk so designated by the secretar>^ of state, two copies of the process. The name and appropriate address of the person or corporation being named as defendant must be provided. It is the responsibility of the attorney or pwrson seeking service of process to determine when to obtain and to secure personal service of process upon the secretary of Slate.

Source: The provisions ofthis §73.3! adopted lo be cflective Januarv I, 1976; amended to be effective July 29, 1986,11 TexJleg 3258.

§73.32. Forwarding by the Secretary. One copy of the petition and citation will be forwarded by registered or certified mail, as appropriate under the particular statute under which service is being made, to the person or corporation named at the address provided. Source; The provisions ofthis §73.32 adopted to be effective January 1, 1976. Notes of I>ecisioiis: Secretary of State's mailing of copies of ciution and petition to wrong address of defendants registered ofBce failed to comply with the requirements of law and delault judgement based thereon will be set aside. Texas Inspection Services, Inc. V. .Melville 616 S.W. 2d 253 (1981). Plaintiff must provide defendants' name and address of home or home office to be in compliance with requiremenisofTex. Rev. Civ. Stat. art. 2031b, §5. Verges v. Lomas & Nettlelon Financial Corp. 642 S.W. 2d 820 (1982).

§73.33. Certificate of Service. Upon the request of any person serving the secretar>' of state, the secretary of state will issue his certificate showing that service was had on him, that a copy of the process was forwarded to the named defendant at a particular address, and further showing the disposition of that mailing as indicated by the postal return receipt. Source: The provisions ofthis §73.33 adopted to be effective January 1, 1976. Notes of Decisions: Service of process was not invalidated by failure of secretary of states' certificate to identify as defendants' registered office address where citation and petition were mailed. Labor Force, inc. v. Hunter, Farris & Co., Inc. 601 S.W. 2d 146 (1980). Service on secreur>' of stale may be proven by cenificate from secretar>' of state. Vanguard Investmenu v. Fireplaceman, Inc. 641 S.W. 2d 655 (1982).

§73.34. Fees. The fee due the secretarj' of state for maintaining a record of service upon the secretary of state shall be as provided in Texas Business Corporation Act article 10.01. The fee for issuing a certificate of service shall be as provided in Texas Civil Statutes anicle 3914. Sonrce: The provisions ofthis §73.34 adopted lo be effective January 1, 1976; amended lo be effective August 30, 1983, 8 TexReg 3183. Notes of Dedsions: Secretary of State should as a genemi matter charge the fees set by statute for fumisfiing copies of documents in his office rather than using fee schedule prepared by the State Purchasing and General Services Commission. Article 3913, V.T.C.S. of the Business and Commerce Code establishes ihe fee for an uncertified copy of a financing statement filed pursuant lo that code. Op. Any. Gen. No. M.W.-163 (1980).

LOBBYIST Authority: Theprovisionsof these §§73.51-73.54 issued under Acts 1957, 55th Leg., p. 213, ch. 100, effective August 24, 1957. as amended (Texas Civ. St. art. 6252-9(c)).

§73.51. Registration Form. The Statutorv' Documents Section of the secretarv' of state's office hereby adopts by reference the following form, "Registration Form for Persons Engaged in .A.ctivities Designed to Influence Legislation." All persons required to register shall use this form. Copies may be obtained bv contacting the Secretary of State, lobby registrar, P.O. Box 12887, Austin, Texas 78711, or calling (512)475-2015.

Source: The provisions ofthis §73.51 adopted to be effective October 30, 1981, 6 TexReg 3839.

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§73.52. Reporting Form. The Statutory Documents Section of the secretary of state's office hereby adopts by reference the following form, "Supplemental Registration and Activities Report" All persons required to report shall use this form. Copies may be obtained by contacting the Secretary of State, lobby registrar, P.O. Box 12887, Austin, Texas 78711, or calling (512) 475-2015. SoDTce: The provisions ofthis §73.52 adopted to be effective October 30, 1981, 6 TexReg 3839.

§73.53. Termination Form. The Statutory Documents Section of the secretary of state's office hereby adopts by reference the following form, "Termination Notice." All persons required to terminate shall use this form. Copies may be obtained by contacting the Secretary of State, lobby registrar, P.O. Box 12887, Austin, Texas 78711, or calling (512) 475-2015. Source: The provisions of this §73.53 adopted to be effective October 30, 19S1, 6 TexReg 3839.

§73.54. Reporting Requirements. (a) Monthly reporting during the regular session is only required through the month of May. Minimal extension of regular session activities into the month of June would not require monthly reporting for that period. It should, however, be included in the report for the April, May, and June calendar quarter. (b) Any portion of a calendar month in which the legislature is in special session would qualify that month as a session month requiring a monthly report of activities and expenditures to be filed between the first and 10th day of the succeeding month. (c) All reports required to be filed with the Secretary of State must be received by 5 p.m. on the 10th day of the reporting period. If the lOth day falls on a Saturday, Simday, or state hoUday, the deadUne will be extended to 5 p.m. on the next succeeding day which is not a Saturday, Sunday, or state hohday. Source: The provisions ofthis §73.54 adopted to be effective October 30, 1981, 6 TexReg 3839.

COMMISSIONS

§73.71. Issuance of Commissions. A commission will be issued and forwarded to an appointed or elected state officer following receipt of an executed oath of office. Authorit)': The provisionsof this §73.7] issued under Texas Civ. St. an. 4331; and Acts 1919,36th Leg., p. 79, effective June 18, 1919, as amended (Texas Civ. SL art. 3914). Source: The provisions ofthis §73.71 adopted to be effective Januarv I, 1976; amended to be effective August 30, 1983, 8 TexReg 3183.

Revision Nos. 2, 3 & 4 149 1 §73.71. OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 150 Copyright e 198^ Suic of Texas and Han information System:. Inc. CHAPTER 75. AUTOMOBILE CLUB

Section No. Section Name

APPLICATION FOR CERTIFICATE OF AUTHORITY 75.1. AppUcation Form.

REGISTRATION OF SALESMEN OR AGENTS 75.11. Application for Appointment 75.12. Termination. 75.13. Fee and Renewal. 75.14. AppUcation Form. 75.15. Notification Form. 75.16. Renewal Appointment Notification Form. 75.17. Termination Notice Form.

REVOCATION AND SUSPENSION OF CERTIHCATE 75.31. Revocation. 75.32. Good Cause. 75.33. Notice. 75.34. Hearing. Anthority: The provisions ofthis Chapter 75 issued under Acts 1963, 58th Leg., p. 678, ch. 250, effective September 1, 1963 (Texas Civ. St. art. 1528d), unless otherwise noted.

Revision Nos. 2, 3 & 4 151 OmCEOrTHESECKETmOFSTATE

Revision Nos. 2, 3 & "

1 §75.1. OFFICE OF THE SECRETARY OF STATE Pt. IV

11. There is attached hereto a verified copy of our financial statement as the same existed on the last day of the calendar or fiscal year preceding the filing of this application, the same to be considered a part of this application as if fully set out therein.

12. This application is accompanied by the following: a) Certified copy of its articles of incorporation and all amendments and supplements thereto. b) If not a corporation, a duly athenticated copy of Its Constitution and By-Laws. c) If subject to the Texas Securities Act, a certificate from the Securities Commissioner that it has complied with the requirements of the Act. d) If a corporation, certificate of good standing from Comptroller of Public Accounts. e) Certified copy of application for membership. f ) Certified copy of service contract furnished the member. g) Certified copy of a description of the services or benefits to which the member is entitled, h) Certified copies of membership certificates , membership cards , membership kits, promotional material furnished all prospective members , etc. i ) Certified copy of the certificate of participation in a group accidental Injury or death policy, furnished the member . j ) A schedule of rates , dues and fees . k) Statement of any additional facts which might have a bearing on your plan of operation. 1) $25,000 in cash, securities or bond, m) Check for f 100.000 to cover filing fee. Dated , 19 BY: (President or Principal Officer ) STATE OF I COUNTY OF I I, , a notary public, do hereby certify that on this day of , 19 , personally appeared before me , who being by me first duly sworn, declared that he signed the foregoing document as of the Automobile Club and that the statements therein contained are true.

(Notarial Seal) Notary Public

Source: The provisions of this §75.1 adopted to be effective Jaauary I, 1976. Notes of Decisions: No certificate of authority should be issued by the Secretary of State lo an automobile club whose services constitute an insurance business under the facts presented, but variable membership fees may be cbarged for legally authorized ser>ices under article 1528d, V.C.S. Op. Att>'. Gen. No. M-994 (1971).

REGISTRATION OF SALESMEN OR AGENTS

§75.11. Application for Appointment. Within 30 days of the date of employment of a salesman or agent with an automobile club to sell memberships in the automobile club to the pubhc, notification shall be made to the secretary of state on an afRdavit application for appointment to act as salesman or agent of an automobile club form to be accompanied by a notification of appointment of automobile club salesman or agent form. Source: The provisions ofthis §75.11 adopted to be effective January I, 1976.

Revision Nos. 2, 3 & 4 1 54 Copyright C 1986 State of Texas and Han Informaiion Systems, Inc. Ch. 75 AUTOMOBILE CLUB 1 § 75.14.

§75.12. Termination. Upon termination of a salesman or agent, the club shall within 30 days thereafter notify the secretary of state of such termination; notification to be made on the prescribed termination notice form. Source: The provisions ofthis §75.12 adopted to be effective January 1, 1976.

§75.13. Fee and Renewal. The registration fee for salesmen or agents shall be $3.00 annually and shall be renewed each 12 months after issuance by notification to the secretary of state on the prescribed notification of renewal appointment of automobile club salesmen or agents form. Sonrce: The provisionsof this §75.13 adopted to be effective January I, 1976.

§75.14. Application Form. AfBdavit application for appointment to act as salesman or agent of an automobile club form:

Revision Nos. 2, 3 & 4 155 1 §75.14. OFFICE OF THE SECRETARY OF STATE Pt. IV

AFFIDAVIT APPLICATION FOR APPOINTMENT TO ACT AS SALESMAN OR AGENT OF AN AUTOMOBILE CLUB

(PLEASE PRINT OR TYPE APPLICATION)

FIRST MIDDLE LAST NAME Name of Auto Club making appointment

Home Address Office Address

City, State & Zip Code City, State £ Zip Code

To: SECRETARY OF STATE STATE OF TEXAS

I hereby make application for appointment to act as salesman or agent for the above named Automobile Club, and in support of such application, the following statements and representations are made by me under oath:

1. Age .Sax .Social Security Number

2. Place of birth Height Weight Color of hair Color of eyes r,arried

3. Are you a bona fide resident of Texas? How long have you lived here

4 . List residence address for the last five ( 5 ) years from this date:

Address City State Zip Code How Long?

5. List occupation and places of employment during the last five (5) years:

Street and Town Beginning t Ending Dates Kind of Nature Address of Bach Employment Business of Work

Revision Nos. 2. 3 & 4 156 Copyright O 198o Stale of Texas and Han Information Systems, Inc. Ch. 75 AUTOMOBILE CLUB 1 § 75.14.

6 . Have you ever been convicted of a crime or misdemeanor? If so, give details

7. Have you ever had a license to sell insurance, or real estate, or securities? Was the License ever cancelled or refused? If so, when and where, giving the reason

8. Do you understand that automobile clubs operating in Texas can make no reference to the Certificate of Authority or approval from the Secretary of State in any advertising, circular, contract or membership card, nor shall such automobile clubs advertise or describe their services In such a sianner as would lead the public to believe such services include automobile insurance?

9. Attach a clear, recent and close-up photograph, at least 2 " X 3 " size. Write name and date photograph was taken on back. Proofs and newspaper pictures are not acceptable. Attach it to front page on the upper right side.

10 . Give the name and address of two < 2) responsible people who are in a position to testify as to your reputation. Please do not use a relative as a reference.

Name Address City State Zip

I HEREBY CERTIFY THAT I HAVE READ AND CAREFULLY CONSIDERED THE ABOVE QUESTIONS BEFORE REPLYING THERETO, AND THAT ALL OF MY ANSWERS AHD STATEMENTS ARE TRUE.

Signature of Applicant

Subscribed and sworn to before me, this day of 19

Notary Public

CERTIFICATE OF RECOHHBHOATIOH

I, THE UNDERSIGNED DO CERTIFY THAT THE APPLICANT IS PERSONALLY KNOWN TO HE; THAT THE APPLICANT IS OF GOOD REPUTATION, THAT I HAVE READ THE STATEMENTS MADE BY THE APPLICANT AND THEY ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE AND BELIEF.

Automobile Club

BY Authorized Representative

Title Source: The provisions ofthis §75.14 adopted to be efTective January 1, 1976.

Revision No». 2, 3 & 4 157 1 §75.15. OFFICE OF THE SECRETARY OF STATE Pt. IV

§75.15. Notification Form. The notification to the secretary of state of the appointment of an automobile club salesman or agent shall be on the following prescribed form:

NOTIFICATION OP APPOINTMENT OF AUTOMOBILE CLUB SALESMAN OR AGENTS

TO: Secretary of State State of Texas

We, the undersigned automobile club give notice of ""Notification of Appointment^as a salesmen or agent to be registered with your office showing the individual' s name, age, sex, address, city, town and zip code, social security number and the date they are appointed:

NAME OF INDIVIDUAL AGE SEX HOME ADDRESS SOCIAL DATE OF (in alphabetical order) CITY, TOWN. ZIP SECURITY NO. APPOINTMENT

Have any of the above listed salemen or agents been convicted of a felony or misdemeanor? If so , give details .

This notification is accompanied by a remittance in the amount of $ to cover the Three Dollars ($3. 00) registration fee for each salesmen or agent.

Name of Automobile Club or Asso-

Authorized Signature

Title

Revised 8/ 1/78 Source; The provisions of this §75.15 adopted to be effective January 1, 1976.

Revision Nos. 2. 3 & 4 158 Copyright e I986Staie of Texas and Han information Systems. Inc. Ch. 75 AUTOMOBILE CLUB 1 § 75.16.

§75.16. Renewal Appointment Notification Fonn. The notification to the secretary of state of the renewal appointment of an automobile club salesman or agent shall be on the following prescribed form:

NOTIFICATION OF RENEWAL APPOINTMENT OF AUTOMOBILE CLUB SALBSHAN OR AGENTS TO: Secretary of State State of Texas He, the undersigned automobile club give notice of "Renewal of Appointment" made annually of our salesmen or agents registered with your office showing the Individual's name, age, sex, address, city, town, zip, social security no. and the date of their original appointment:

NAME OP INDIVIDUAL AGE SEX HOME ADDRESS SOCIAL DATE OF (in alphabetical order) CITY, TOWN, ZIP SECURITYNO. APPOINTMENT

Have any ot the above listed salemen or agents been convicted of a felony or a misdemeanor? it so, give details.

This notification is accompanied by a remittance in the amount of $ to cover the Three dollars ($3.00) registration fee for each salesmen or agent.

Name of Automobile Club or Association

Authorized Signature

Title

Revised: 8/ 1/78 Sonrce: The provisions ofthis §75.16 adopted lo be effective January I, 1976.

Revision Nos. 2, 3 & 4 159 1 §75.17. OFFICE OF THE SECRETARY OF STATE Pt. IV

§75.17. Termination Notice Form. The notice to the secretary of state of the termination of an automobile club salesman or agent shall be on the following prescribed form:

Termination notice must be filed within 30 days after date of Termination

TERMINATION NOTICE

(To be used by Automblle Club in Terminating the Employment of a Salesmen or Agent)

TO: Secretary of State ' State of Texas

This isa to notify you of the termination of employment of the salesmen or agent named below:

NAME OP SALESMEN ADDRESS DATE OF DATE OF APPOINTMENT TERMINATION REASON

Name of Automobile Club or Association

Authorized Signature

Title

Revised 8/ 1/ 1978

Source: The provisionsof this §75.17adopted to be effective January 1, 1976.

Revision Nos. 2, 3 & 4 160 Copynghte 1986 Staie of Te.xas and Han information Systems. Inc Ch. 75 AUTOMOBILE CLUB 1 § 75.34.

REVOCATION AND SUSPENSION OF CERTIFICATE

§75.31. Revocation. The secretary of state at anytime for good cause shown may revoke or suspend an automobile club's certificate of authority. Revocation and suspension will be subject to the right of notice, hearing, and adjudication pursuant to the automobile club rules, and the Administrative Procedure and Texas Register Act Such action will be subject to the right of appeal to a district court in the county of the aggrieved person^s residence within 60 days after the date of notice by registered mail of such decision but not thereafter. Source: The provisions of this 975.31 adopted to be cfTective January 1, 1976. Crass Refercncei: This section cited in 1 TAC §75.32 (relating to Good Cause).

§75 J2. Good Cause. Good cause as stated in §75.31 of this title (relating to Revocation) shall include but not be limited to a violation of a provision of article lS28d, that it is not operating an automobile club as defined in this chapter, that it is insolvent, that its assets are less than its UabiUties, that it refuses to submit to an examination by the secretary of state, that it is transacting business fraudulently, or that any owner, officer, or operating manager is not of good moral character. Sonrce: The provisions ofthis 575.32 adopted lo be effective January 1, 1976.

§75.33. Notice. No revocation or suspension is effective unless prior to the institution of proceedings, the secretary of state gives a minimum of 21 days notice by registered or certified mail to the automobile club. SooTcc: TheproviuoQsofthis§7S.33adoptedtobeefreciive January 1, 1976. Cross References: This section cited in 1 TAC §75.34 (relating to Hearing).

§75.34. Hearing. All hearings will be held in Austin, Texas. The secretary of stale will set the time and hearing room location in the notice as prescribed in §75.33 ofthis title (relating to Notice). Source: The provisions ofthis §75.34 adopted to be cfTective January 1, 1976..

Revision Nos. 2, 3 & 4 161 1 §75.34. OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 162 CopyrightO 1986 State ofTexas and Han information Sytiems, Inc. CHAPTER 77, COMPUTER SERVICES

Section No. Section Name 77.1. Fees and (Thargcs.

Revision Nos. 2, 3 & 4 163 OFHCE OF THE SECRETARY OF STATE Pi. IV

Revision Nos. 2. 3 & 4 164 CopynghtC 19S6 state of Texas and Han Irtformatton Systems, inc. Ch. 77 COMPUTER SERVICES 1 § 77.1.

§77.1. Fees and Charges. (a) The following fees shall be charges for the extraction of information fi'om public records maintained on computer by the Data Services Division of the Office of the Secretary of State: (1) Equipment costs. (A) CPU time—$5.00 per execution minute; (B) Printer—$.45 per 1,0(X) lines printed on stock forms provided by the performing agency. (2) Personnel costs. (A) Data entry and/or control—$5.00 per hour (two hour minimimi); (B) Systems analysis—$35 per hour, (C) Programming—$25 per hour; (D) Computer operator—$8.00 per hour (one hour minimum). (3) Supplies. Supplies, authorized travel (at state allowances), and telephone tariffs used specifically for the requesting party will be at the secretary of state's costs. (4) Costs. Costs for performing services on another computer system will be charged at cost. (b) If any information is required to be mailed, the cost of postage will be added to the charge for the information. Authority: The provisions ofthis §77.1 issued under Acts 1973, 63rd Leg., p. 1112, ch. 424, effective June 14, 1973, as amended (Texas Qv. St. art. 6252-17a). Sonnx: The provisions ofthis §77,1 adopted to be effective January 1, 1976; amended to be effeciive April 7. 1978. 3 TexReg 1076; amended lo be effective March 24, 1981, 6 TexReg 880. Notes of Dedskms: A govenunental body may not ordinarity charge for employee time in editing records or in making records available under the Open Records Acts. Op. Atty. Gen. JM-114 (1983).

Revision Nos. 2, 3&4 165 1 §77.1. OFHCE OF THE SECRETARY OF STATE Pt. IV

Re\ision Nos. 2, 3 & 4 166 Copyright © I986 State of Texas and Han Information Systems. Inc CHAPTER 79. CORPORATIONS

Section No. Section Name

GENERAL INFORMATION AND CORRESPONDENCE 79.1. Address of Communications Intended for the Corporations Ehvision. 79.2. Business To Be Transacted in Writing. 79.3. Receipt of Letters and Documents. 79.4. Docimients To Be Clear and Legible. 79.5. Verification. 79.6. Requisites of a Verification. 79.7. Documents To Contain Verification; Acknowledgment Not Acceptable. 79.8. Date of Receipt. 79.9. Date of Filing. 79.10. Requested Date of Filing. 79.11. Hour of Fifing. 79.12. Forms Provided. 79.13. through 79.16. [RESERVED] 79.17. Address on Certificate of Withdrawal.

CORPORATE NAME AVAILABILITY 79.31. Characters of Print Acceptable in Names. 79.32. False Implication of Governmental Affiliation; False Implication of Purpose. 79.33. Grossly Offensive Name. 79.34. Words of Incorporation. 79.35. Categories of Name Similarity. 79.36. "Same" Defined. 79.37. "Deceptively Similar" Defined. 79.38. "Deceptively Similar" Name Not Acceptable. 79.39. Name "Deceptively Similar" When. 79.40. "Similar Requiring Letter of Consent" Defined. 79.41. "Similar Requiring Letter of Consent" Acceptable with Letter. 79.42. Form of Consent. 79.43. "Similar Requiring Letter of Consent" When. 79.44. Alphabet Names. 79.45. Surnames. 79.46. Exception for Churches. 79.47. Foreign Words Nontranslaled. 79.48. Matters Not Considered. 79.49. Final Determinations of Name Availability. 79.50. Professional Corporations and Associations. 79.5J. through 79.53. [RESERVED] 79.54. Examples Not Exclusive.

Revision Nos. 2, 3 & 4 167 OFFICE OF THE SECRET.ARY OF STATE Pt. IV

Revision Nos. 2. 3 & 4 168 Copyright C I986 State of Texas and Han information Systems, In^. Ch. 79 CORPORATIONS 1 § 79.8.

GENERAL INFORMATION AND CORRESPONDENCE Authority: The provisions of these §$79.1-79.12 issued under Acts 1955, 54th Leg., ch. 64, effective September 6, 1955, as amended (Texas Bus. Corp. Act art. 9.03), unless otherwise noted.

§79.1. Address of Communications Intended for the Corporations Division. All letters and other communications intended for the Corporations Division should be addressed to Secretary of State, Corporations Division, P.O. Box 13697, Capitol Station, Austin, Texas 78711. Sonrce: The provisions ofthis §79.1 adopted to be effective January 1, 1976; amended to be effective March 3, 1981, 6 TexReg 675.

§79.2. Business To Be Transacted in Writing. All business with the Corporations Division should be transacted in writing. The action of the Corporations Division will be based exclusively on the written record in the division. Source: The provisions ofthis §79.2 adopted to be effective January 1, 1976; amended to be effective March 3, 1981, 6 TexReg 675.

§79.3. Receipt of Letters and Documents. Letters or documents received in the Corporations Division are stamped with the date of receipt. The hour of receipt is not noted. Documents are not received in the Corporations EHvision on Saturdays, Sundays, or state holidays. Documents may be deUvered by hand during office hours; office hours are 8 a.m. to S p.m. Mail is not considered as received in the Corporations Division until it has been brought from the post office or otherwise hand-delivered to the Office of the Secretary of State. Source: The provisions ofthis §79.3 adopted to be effective January I, 1976; amended lo be effective March 3, 1981, 6 TexReg 675.

§79.4. Documents To Be Clear and Legible. All documents must be clear and legible, written with black ink on white paper, so that clear microfilm copies may be made. Sonrce: The provisions of this §79.4 adopted to be effective January' 1, 1976; amended lo be effective March 3, 1981, 6 TexReg 675.

§79.5. Verification. A verification is a statement by a notary public or other officer having lawful authority to administer an oath, which states that a document was subscribed and sworn to, or afHrmed by words amounting in law to an oath. Sonrce: The provisions of this §79.5 adopted to be effective January 1, 1976; amended to be effective March 3, l98l,6TexReg 675.

§79.6. Requisites of a Verification. The notary's or officer's statement must contain the date signed, must be subscribed, and must be authenticated with a seal if the officer is required by law to use a seal. Source: The provisions ofthis §79.6 adopted to be effective January 1, 1976; amended to be effective March 3, 1981, 6 TexR^ 675.

§79.7. Documents To Contain Verification; Aclcnowledgment Not Acceptable. When a document is required by law to be verified, an acknowledgment is not acceptable in heu of the verification. Source: The provisions ofthis §79.7 adopted to be effective January 1, 1976; amended to be effective March 3, 1981, 6 TexReg 675.

§79.8. Date of Receipt. The date of receipt of a letter or document is the date stamped or written on the letter, document, or envelope by an employee of the secretary of state. A postmark or a date placed on a letter, document, or envelope by some person other than an employee of the secretary of state cannot be considered as the date of receipt. Soorce: The provisions ofthis §79.8 adopted to be effective Januarv 1, 1976; amended to be effective March 3, 1981, 6 TexReg 675.

Revision Nos. 2. 3 & 4 169 1 §79.9. OFFICE OF THE SECRETARY OF STATE Pt. IV

§79.9. Date of Filing. The date of filing of documents which conform to law and for which the filing fee has been paid will be the same date as the date of receipt. If a document does not conform to law, it will be returned to the sender. When the document is corrected and resubmitted, the date of filing of the document will be the same date as the date of the last receipt. The date of filing may not be a date prior to the date on which the document is found to conform to law.

Source: The provisions ofthis §79.9 adopted to be effective Januan' 1, 1976; amended to be effwruve March 3, 1981, 6 TexReg 675.

§79.10. Requested Date of Filing. .At the request of the sender, a document may be filed on any dale which is on or after the dale the document is found lo conform to law, even if the requested date falls on a Saturday, Sunday, or holiday. .A certificate of filing will not be issued prior to the date stamped on the document as the date of filing.

Source: The provisions ofthis §79.10 adopted to be effective Januarv 1. 1976; amended to be effective March 3, 1981, 6 TexReg 675.

§79.11. Hour of Filing. The hour of filing of a document will not be noted.

Sonrce: The provisionsof this §79.11 adopted to be effeciive January 1, 1976; amended to be effective March 3, 1981, 6 TexReg 675.

§79.12. Forms Provided. The secretar>- of state vvill provide forms for use in filings when required by law, or when convenient for the Office of the Secreiarv' of Slate. Sonrce: The provisionsof this §79.12adop:ed to be effective Januarv 1, 1976; amended to be effective March 3, 1981,6TexReg 675.

§79.13. through 79.16. [RESERVED)

§79.17. Address on Certificate of Withdrawal. Article 8.14 of the Texas Business Corporation Act, and article 1396-8.13 of the Texas Non-Profit Corporation Act require a foreign corporation lo designate a post office address on a certificate of withdrawal to which the secretary of state may mail a copy of any process against the corporation that may be served on the secretary of state. After the fihng of the certificate of withdrawal, a corporation may change this address by notifying the secretary of state of such change in writing.

Authority: The provisions ofthis §79.17 issued under Acts 1955, 54th Leg., ch. 64, effective September 6, 1955, as amended (Texas Bus. Corp. Act art. 9.03); -Acts 1959, 56th Leg., p. 286, ch. 162, art. 9.04, effective August 11,1959, as amended (Texas Qv. St. art. 1396-9.04); and Ads 1975, 64lh Leg., p. 136, ch. 61, effective January.!, 1976, as amended (Texas Qv. St. art. 6252-13a). Sonrc«: The provisions ofthis §79.17 adopted to be effective November 5, 1981, 6 TexReg 3908.

CORPORATE NAME AVAILABILITY

Authorit}: The provisions of these §§79.31-79.54 issued under Acts 1955. 54th Leg., ch. 64, effective September 6, 1955, as amended (Texas Bus. Corp. Act art. 9.03); and .•\cts 1959, 56th Leg., p. 286, ch. 162. art. 9.04, effective August 11, 1959, as amended (Texas Civ. St. ait. 1396-9.04).

§79.31. Characters of Print Acceptable in Names. (a) Corporate names may consist of letters of the Roman alphabet, Arabic numerals, and certain symbols capable of being reproduced on a standard English language typewriter, or combination thereof (b) Only upper case, or capital, letters with no distinction as to type face or font will be recognized. (c) Arabic numerals include 0, 1,2, 3, 4, 5, 6, 7, 8, and 9. (d) The symbols recognized as part of a name may include the follovnng: !'*$%&'()*?, and -. A space or spaces after words, letters, numerals, or symbols may be considered as part of the name.

Source: The provisions of this §79.31 adopted to be effective January 1. 1976.

Revision Nos. 2, 3 & 4 170 Copynghie 1986 State of Tuas and Han information Systems. Inc. Ch. 79 CORPORATIONS 1 § 79.39.

§79.32. False Implication of Governmental Affiliation; False Implication of Purpose. (a) The corporate name may not be one that might falsely imply governmental afRliation. Example: Texas Real Estate Commission, Inc. (b) The corporate name may not imply a purpose which would be unlawful for the type of corporation being organized to conduct. (1) The word "insurance" must be accompanied by other words which remove the implication that the corporate purpose is to be an insurer. The name may include the phrase '"insurance ^ency" or "insurance agent." (A) Example: John Hancock Insurance Company would not be filed. (B) Example: John Hancock Insurance Agency, Inc., would be filed. (2) The words "bail bond" and "surety" imply an unlawful purpose, as corporations with these powers must be incorporated under the Texas Insurance Code, and these words may not be used in the name of a business corporation. (A) Example: Ace Bail Bonds, Inc. (B) Example: A-1 Surety Company. Source: The provisions ofthis §79.32 adopted to be effective January 1, 1976.

§79J3. Grossly Offensive Name. The corporate name may not be one that is deemed to be so grossly offensive as to be unacceptable as a corporate name. Source: The provisions ofthis §79.33 adopted to be effective January 1, 1976.

§79.34. Words of Incorporation. Words of incorporation include "company," "corporation," "incorporated," and, in the case of a foreign corporation, "limited," and their acceptable abbreviations. The acceptable abbreviations are, respectively: "Co.," "Corp.," "Inc.," and "Ltd." The words "companies," "corporations," "incorporation," and "unlimited" when used alone are not acceptable. Source: The provisions ofthis §79.34 adopted to be effective January 1, 1976.

§79.35. Categories of Name Similarity. There are three categories of name similarity: (1) same; (2) deceptively similar; (3) similar requiring letter of consent. Source: The provisionsof this §79.35 adopted to be effective January 1, 1976.

§79 J6. "Same" Defined. Corporate names are the "same" if a comparison of the names reveals no difference. Source: The provisions ofthis §79.36 adopted to be effective January 1, 1976.

§79.37. "Deceptively Similar" Defined. Corporate names are "deceptively similar" if on comparison of the names by the secretary of state there is an apparent difference, but the difference is such that the names are likely to be confused. Source: The provisions of this §79.37 adopted lo be cfTective January 1, 1976.

§79.38. "Deceptively Similar" Name Not Acceptable. A proposed corporate name which is deemed to be "deceptively similar" to a corporate name on file with the secretary of state cannot be filed even though the existing corporation may grant a letter of consent. Source: The provisions ofthis §79.38 adopted to be effective January I, 1976.

§79.39. Name "Deceptively SimUar" When. A proposed corporate name is deemed to be "deceptively similar" to a corporate name on file if any of the following conditions exist: (I) The difference in the names consists in the use of different words of incorporation. Example: Sampson, Inc., is "deceptively similar" to Sampson Corporation.

Revision Nos. 2, 3 & 4 171 1 §79.39. OFHCE OF THE SECRETARY OF STATE Pt. IV

(2) The difference in names consists in the use of different particles of speech. Example: The Slaughter Co. is "deceptively similar" to Slaughter Co. (3) The difference consists in the use of periods, spaces, and symbols. (A) Example: The following names are "deceptively similar." (i) .AGX Corp; (ii) AGX Corp; (ill) -A.G.X. Corp; (iv) A*G*X* Corp; (v) AG&X Corp; (vi) A&GX Corp; (vii) .\G-X Corp. (B) Example: Fair View Rest Home, Inc. is "deceptively similar" to Fair\'iew Rest Home, Inc. (4) The difference consists in the presence or absence of letters which do not alter the names sufficiently to make them readily distinguishable. (A) Example: Exon, Exxonn, or Exxons are "deceptively similar" to Exxon; (B) Example: Centennial Alarm Systems Corp. is "deceptively similar" to Sentennial Alann Systems, Inc; (C) Example: Chemtech Corporation is "deceptively similar" to Kemtek Incorporated. Source: The provisions ofthis §79.39 adopted to be effective January I, 1976.

§79.40. "Similar Requiring Letter of Consent" Defined. Corporate names are "similar requiring a letter of consent" if a comparison of the names by the secretar>' of state reveals similarities which may tend to be misleading as to the identity or affiliation of the corporation, but not to the extent that the names are the same or deceptively similar. Source: The provisions of this §79.40 adopted lo be effective January 1, 1976.

§79.41. "Similar Requiring Letter of Consent" Acceptable with Letter. A proposed name which is deemed to be "similar requiring letter of consent" cannot be filed without a letter of consent. No waiver of a required letter of consent will be allowed even though it may appear that the existing corporation is not actively engaged in business, is about to change its name, be dissolved, forfeited, or merged out of existence. Source: The provisions ofthis §79.41 adopted to be effective January 1, 1976.

§79.42. Form of Consent. No particular form of consent is required. The consent must be in writing and signed by an officer or authorized agent of the consenting corporation. Consent given orally or by telegraph cannot be accepted. Consent from more than one corporation may be required in some instances. The letter of consent must not state conditions; it must give unequivocal consent Source: The provisions ofthis §79.42 adopted to be effective January 1, 1976.

§79.43. "Similar Requiring Letter of Consent" When. A proposed corporate name is "similar requiring letter of consent" if any of the following conditions exist: (1) The proposed corporate name is the same as, or deceptively similar to, a corporate name on file except for a geographical designation at the end of the name. (A) Example: Bull and Bear Qub of would need a letter of consent from Bull and Bear Qub. (B) Example: San Antonio Bull and Bear Qub would not need a letter of consent from Bull and Bear Club. (2) The first two or more words of proposed corporate name are the same as, or deceptively similar to, the first two words of a corporate name on file but are not frequently used in combination. (A) Example: Service and Supply, Inc., would need a letter of consent from Houston Service, Inc. (B) Example: Sunset Oil Co. would need a letter of consent from Sunset Oil and Gas, Inc. (C) Example: First Texas Mortgage and Title Company would need a letter of consent from First Texas Mortgage Company. (D) Example: Hot Dog Publications, Inc.. would not need a letter of consent from Hot Dog Enterprises Corp. (3) The proposed corporate name is the same as, or deceptively similar to, a corporate name on file except for a numerical expression which implies that the proposed corporation is an affiliate of or in a series with the existing corporafion. Example: A letter of consent from an existing corporation named United Company would be required in order to file any of the following: (A) United IV;

Revision Nos. 2, 3 & 4 172 Copynghte I9S6 State of Texas and Han information Syste/ns, Inc. Ch. 79 CORPORATIONS

(8) United No. 7; (C) United Phase Two. (4) If the corporate name on fie has only one significant word and the proposed corporate name consists of the same word followed by some other significant word, the proposed corporate name is not "similar requiring letter of consent." Example: A letter of consent £tom an existing corporation named United Company would not be required in order to file any of the following: (A) United Salts; (B) United Service; (C) United Supply; (D) United Industries; (E) United Associates; (F) United International; (G) United Systems; (H) United Products; (I) United Productions. (5) The proposed corporate name contains the same words as an exisling corporate name but the words arc inverted. (A) Example: Energy Ventures, Inc., would need a letter of consent fiom Ventures Energy Corp. (B) Example: Austin Auto Parts, Inc., wouId need a letter of consent from Auto Pans of Austin, Incorporated.

Smamz The provisions of this G79.43 adopted lo be effective January 1, 1976.

g79.44. Alphabet Names. Whm a name or a unit of name consists of initials only or letters of the alphabet, the combination of initials will be considered as one word for the purpose of applying name avaihbility rules. . (I) Example: The following are different "words" and are nor considered to be similar: a (A) A & A; . (B). '4.m (C) AAAA; (D) A &B; (E) AAB; (F) AAAC. (2) Example: A & B Supply is not similar when compared to A & 9, Inc. !?tom The provisions of this 979.44 adopted to bt &live January 1, 1976.

879.45. Surnames. (a) A surname is considered to be a "word." Where a proposed corporate name contains a surname as the second "word," and contains a given name or initials as a first "word" which is different fiom the first "word" of an existing corporation, the name is not similar. (1) Example: E. G. Williams Electric Company is not similar when compared to Williams Electric Compaliy. (2) Example: Jim Smith. Inc. is not similar when compared to Smith, Inc. (3) Example: Ralph A. Johnson, Inc., is not similar when compared to Ralph Johnson, Inc. (b) The use of a surname, or surnames, as part of a proposed corporate name is not similar if there is some other sufficient basis for distillction of the two corporate names. Example: Davis & Davis, P.C.,is not similar when compared to Davis & Davis Publications, Inc.

Sow: The provisions of this 579.45 adopted lo be effective January 1, 1976.

g79.46. Exception for Churches. Corporate names of churches will not be considered similar if there is some sufficient basis for distinguishing the name fiom an existing corporate name. Example: First Baptist Church of Wimberley is not similar when compared to First Baptist Church of Austin.

Source The provisions orthis 479.46 adopted to be effective January 1. 1976.

Revision Nos. 2. 3 & 4 173 1 §79.47. OFFICE OF THE SECRETARY OF STATE Pt. IV

§79.47. Foreign Words Nontranslated. (a) Although corporate names may consist in whole or in pan of words in a foreign language which utilize letters of the Roman alphabet, such words will not be translated for purposes of determining corporate name availability. (!) Example: Tejas Enterprises, Inc., is not similar when compared to Texas Enterprises, Inc. (2) Example: Casa Blanca Productions, Inc., is not similar when compared to White House Productions, Inc. (b) Where the difference in the names consists in the use or omission of different particles of speech, although in a foreign language, the names will be considered deceptively similar. (1) Example: Las Brisas Corp. is deceptively similar when compared to Brisas, Inc. (2) Example: La Boutique, Inc., is deceptively similar when compared to Le Boutique, Co. Source: The provisions of this §79.47 adopted to be effective December 15. 1981, 6 TexReg 3249.

§79.48. Matters Not Considered. Only the proposed corporate name and the names of active (not dead, dissolved, or forfeited) corporations on file are considered in determining name availability. Among matters not considered are the following: (1) whether the purpose of a proposed corporation is tlie same as or similar to the purpose of an existing corporation; (2) whether the corporations will be carrying out activities in the same or nearby locations; (3) whether an analogous situation has previously been aaed upon by the Corporation Division; (4) whether an "opinion" as opposed to a final determination has previously been expressed by an employee of the secretary' of state in response to an oral or written request; (5) whether an existing corporation is actively engaged in business, or has a telephone listing, or a location of a place of business; (6) whether an existing corporation is about to change its name, or be dissolved, or merged out of existence; (7) whether a response to an inquiry can be obtained from an existing corporation; (8) whether the appHcant has ordered stationery, opened a bank account, signed a contract, or otherwise altered his position in the expectation, hope, or belief that the proposed name would be available; (9) whether the applicant is more or less important, extensive, widely known, or influential than an existing corporation; (10) whether the applicant has a prior or superior right to the use of a name apart from what might be shown on inspection of the names of active corporations on file in the corporate records of the secretary of slate; (U) whether infringement or unfair trade practice has occurred or might occur. Source: The provisions ofthis §79.48 adopted to be effective January 1, 1976.

§79.49. Final Determinations of Name Availability. An employee of the Corporations Division may express an opinion on name availabibt>' in response lo a written, telephone, or other oral request, but such an opinion is not a final determination that the name will or will not be available or that a document containing such name will or will not be accepted for filing and stamped filed. A final determination is made only when the document is submitted for filing. Source: The provisions of this §79.49 adopted to be effective January 1, 1976.

§79.50. Professional Corporations and Associations. Corporate names of professional corporations and professional associations are governed by these sections and by the laws or ethics regulating the practice of the professional service rendered through the professional corporation or professional association. Source: The provisions of this §79.50 adopted to be effective September 15. 1981, 6 TexReg 3249.

§79.51. through 79.53. [RESERVED]

§79.54. Examples Not Exclusive. (a) The determination of similarity is based on the definitions of "same," "deceptively similar," and "similar requiring a letter of consent." (b) The conditions used in these secfions are not meant to be exclusive, nor should they be used to limit the determination of whether a proposed name is the same as, deceptively similar to, or similar to the name of an existing corporation.

Revision Nos. 2, 3 & 4 174 Copyright © 1986 State of Texas and Han Information Systems. Inc. Ch. 79 CORPORATIONS 1 § 79.54.

(c) The examples used in these sections are not meant to be exclusive, nor should they be used to hmit the determination of whether a proposed name is the same as, deceptively similar to, or similar to the name of an existing corporation. Aotbanty: The provisions ofthis §79.54 issued under Acts 1955, 54th Leg., ch. 64, effective September 6, 1955, as amended (Texas Bus. Corp. Act an. 9.03); Acis 1959, 56th leg., p. 286, ch. 162, art. 9.04, effective August 11, 1959, as amended (Texas Civ. St. art. 1396—9.04): and Acts 1975, 64th Leg., p. 136, ch. 61. effective January 1. 1976, as amended (Texas Civ. SL art. 6252— 13a).

Source: The provisions ofthis §79.54 adopted to be effective November 5, 1981, 6 TexReg 3908.

Revision Nos. 2, 3 & 4 175 1 §79.54. OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 1 76 Copynsht © 1986 .'^taie of Texas and Han information Systems, Inc. CHAPTER 81. ELECTIONS

Section No. Section Name

VOTER REGISTRATION 81.1. Application Forms Used by Volunteer Deputies. 81.2. Change Forms and Applications for Replacement. 81.3. Effective Date of Changed Registration. 81.4. Delivery of Change form by Volunteer E>cputy. 81.5. Volunteer Deputy Not to Perform Duties of Registrar. 81.6. Notificatioo to High School Deputies. 81.7. Directive for High School Deputy Registrars. 81.8. Submission of Lists to the Secretary of State. 81.9. Duties of Elections Administrator. 81.10. Voter Registration Transactions.

ABSENTEE VOTING 81.30. Machines to be Sealed. 81.31. List of Declared Write-in Candidates for Mail Ballots.

VOTING SYSTE;MS 81.40. Voting System Sample Ballots. 81.41. Voting System Specimen Ballots. 81.42. Paper Ballots for Precinct Chairman. 81.43. Optical Scanner Ballots. 81.44. Punch-Card Ballots. 81.45. Inspection of Voting System Equipment. 81.46. Delivery of Voting System Equipment. 81.47. Installation of Voting System Equipment. 81.48. Write-in Record to be Sealed. 81.49. Irregularities in Seals or Serial Numbers. 81.50. Test Program. 8i.5i. Malivnctioo in Tabulating Equi^myent 81.52. Precinct Ballot Counters. 81.53. Preservation of Punch-Card Ballot Label Assembly.

MISCELLANEOUS 81.70. Approval of Voting Booths by Secretary of State. POLITICAL PARTIES 81.100. Primary Administrator. 81.101. Other Salaried Personnel. 81.102. Contracts for Labor. 81.103. Employee Fidelity Bond. 81.104. Office Rent. 81.105. Office Equipment. 81.106. Office Supplies and Copies of the Texas Election Code. 81.107. Telephone and Postage Charges. 81.108. Competitive Quotations for Services or Products. 81.109. Bank Account for Primary Fund Deposits and Expenditures. 81.110. Deposit of Currency. 81.111. List of Candidates and Filing Fees. 81.112. Signature on Checks; Authorization of Primary Fund Expenditures. 81.113. Payee of Checks Restricted to an Entity or Person. 81.114. Form of Payments; Petty Cash Fund; Documentation of Petty Cash Transactions. 81.115. Documentation of Expenses. 81.116. General Primary Election Cost Estimate Transmitted to the Secretary of State Prior to the Close of the Regular Filing Period. 81.117. Returning Surplus Funds. 81.118. County Election Officer Not to Receive Compensation under Election Services Contracts for 1986 Primary Election. 81.119. Compensation For Services at the Polling Place. 81.120. Compensation for Delivering Election Records and Supplies. 81.121. Number of Election Workers per Voting Precinct.

Revision Nos. 2, 3 & 4 177 OFHCE OF THE SECRETARY OF STATE Pt. IV

81.122. Number of Voting Machines, Devices, and/or Precinct Ballot Counters Per Voting Precinct. 81.123. Estimating Voter Turnout. CAMPAIGN REPORTING AND DISCLOSURE 81.161. Reportingand Renewal of Loans. 81.162. Campaign Reporting and Disclosure Forms. 81.163. 1986 Political Funds Repoiiing and Disclosure Directive. 81.164. Incorporation of a Political Committee. 81.165. Notice of Late Filing. Authority': The provisions ofthis Chapter 81 issued under Acts 1951, 52nd Leg., p. 1097. ch. 492, art. 3, effective September 7, 1951, as amended (Texas Election Code art. 1.03), unless otherwise noied.

Revision Nos. 2, 3 & 4 178 Copyright C 1986 State of Texas and Hart Information Systems, Inc Ch. 81 ELECTIONS 1 § 81.7.

VOTER REGISTRATION Authority: The provisions ofthis chapter issued under the Texas Election Code §31.003.

§81.1. Application Forms Used by Volunteer Deputies. Voter registration applications distributed or collected by volunteer deputy registrars must be on forms either prescribed or approved by the secretary of state and approved by the voter registrar before their distribution. Source: The provisions ofthis jSl.l adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.2. Change Forms and Applications for Replacement. Certificates Used by Volunteer Deputies. Volunteer deputy registrars may distribute and coUect voter registration change forms and applications for replacement certificates on forms prescribed or approved by the secretary of state and approved by the voter registrar before distribution. On receipt of a change form or replacement certificate application, the volunteer deputy registrar shall review it for completeness in the presence of the person submitting it and return the form to the person for completion and resubmission if the form does not contain the required information and signature. On receipt of a completed change form or replacement certificate application, the volunteer deputy registrar shall prepare a receipt in duplicate on a form supplied by the registrar. The receipt must contain the name of the person submitting the change form or replacement certificate application and the date the completed application is submitted to the volunteer deputy registrar. The volunteer deputy shall sign the receipt in the presence of the person submitting the change form or replacement certificate application and shall give the original to the applicant. The volunteer deputy shall deliver the duplicate receipt to the registrar with the change form or replacement certificate application. The registrar shall retain the receipt on file with the change form or replacement certificate application.

Source: The provisions ofthis §81.2 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.3. Effective Date of Changed Registration. The date of submission of a completed voter registration change form to a volimteer deputy registrar is considered to be the date of submission to the volunteer deputy registrar for purposes of determining the effective date of the changed registration. Soorce: The provisions of this §81.3 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.4. Delivery of Change form by Volnnteer Deputy. A volunteer deputy registrar shall deliver in person to the registrar each completed voter registration change form and replacement certificate application submitted to the deputy in accordance with the deadlines for delivery of voter registration applications provided for in the Texas Election Code § 13.042.

Source: The provisionsof this §81.4 adopted to beefTective June 27, 1986, 11 TexReg 2740.

§81.5. Volnnteer Deputy Not to Perform Duties of Registrar. A volunteer deputy registrar may not perform any oflicial duties of the voter registrar, except as expressly authorized by law or by these sections. Sotirce: Theprovisionsofthis§81.5adopted to beefTective June 27, 1986, 11 TexReg 2740.

§81.6. Notification to High School Deputies. The voter registrar shall notify each principal of each high school located in the registar's county of the principal's duties as high school deputy registrar under the Texas Election Code, §13.046. The registrar shall provide to such high school principals the registration forms, notices, and receipt forms required for performance of the high school deputy registrar's duties under §13.046.

Source: The pro\'isions of this §81.6 adopted lo be effective June 27, 1986, 11 TexReg 2740.

§81.7. Directive for High School Deput>' Registrars. The directive for high school deputy registrars is adopted by reference. Copies are available from the Secretary of Stale's Elections Division, P.O. Box 12887, Austin, Texas 78711. The voter registrar shall provide a copy of this directive to each high school deputy registrar in the county.

Source: The provisions ofthis §81.7 adopted to be effective June 27, 1986, 11 TexReg 2740.

Revision Nos. 2, 3 & 4 179 1 §81.8. OFFICE OF THE SECRETARY OF STATE Pt. IV

§81.8. Submission of Lists to the Secretary of State. In addition to the fists required by the Texas Election Code, §18.063, to be delivered by the registrar to the secretary of state showing each new registration, cancelled registration, and change in registration information in the county since the delivery of the previous corresponding list, the registrar shall submit fists of such updated information on or after June 1, but before June 16 of each even-numbered year, and on or afler December 1, but before December 16 of each even-numbered year. Source: The provisionsof this §81.8 adopted to be effective June 27, 1986, 11 TexReg2740.

§81.9. Duties of Elections Administrator. Where a county has created the position of elections administrator and a statute outside the Texas Election Code requires a duty or function to be performed by the county clerk, the county clerk shall perform such function or dut>', unless the fiJncUon or duty is related to elections governed wholly or in part by the provisions of the Election Code, in which case (he county elections administrator shall perform such duty or function. On request, the secretary of stale shall determine, if it is unclear from the provisions of the election code and these sections, whether a duty or function required by a particular statute outside the Texas Election Code to be performed by the county clerk shall be performed by the elections administrator, Source: The provisions of this§81.9 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.10. Voter Registration Transactions. The publication "Voter Registration Transactions—Data Processing Reporting Instructions," January 1986, is hereby adopted by reference and said publication is made a part ofthis section for all purposes. The publication is published by and is available from the Elections Division, Office of the Secretar>' of State, P.O. Box 12060, Austin, Texas 78711. Source: The provisions of this§81.10 adopted to be effective July 29, 1986, 11 TexReg 3259.

ABSENTEE VOTING

§81.30. Machines to be Sealed. Where absentee voting is conducted on voting machines, the absentee voting clerk shall seal such machines at the close of each day's voting in the presence of poll watchers, if any, and such seal shall be broken by the clerk in the presence of poll watchers, if any, the following morning when absentee voting resumes. The authority conducting the election may provide for a written record to be made by the absentee voting clerk of the numbers registered on the public counter each time the machine is sealed or unsealed. Source: The provisions ofthis §81.30 adopted to be effective June 27, 1986. 11 TexReg 2739.

§81.31. List of Declared Write-in Candidates for Mall Ballots. A list of declared write-in candidates shall be mailed with the other balloting materials to voters voting absentee by mail in the general election for state and count>' officers. Source: The provisions of this §81.31 adopted to be effective June 27, 1986, II TexReg 2739.

VOTING SYSTEMS

§81.40. Voting System Sample Ballots. Where punch-card or mechanical voting systems are to be used in the election, the authority responsible for procuring the election supplies may have a supply of sample ballots printed. Use of sample ballots is governed by the provisions of the Texas Election Coiie. §52.008 and §62.012. Voting system sample ballots may be printed in the format that would be used if the election were conducted using paper ballots. If mechanical voting devices are to be used in the election, the sample ballots may also be in the formats used for the ballot placards for such devices in the election. If punch-card voting system is to be used in the election, the sample ballot may also be in the format used for the ballot labels for use with the voting de\ices in the election. .A sample ballot posted at a polling place must contain only those races and propositions for which voters voting at that polling place would be entitled to vote. Source: The provisions ofthis §81,40 adopted lo be effective June 27, 1986, 11 TexReg 2739.

Revision Nos. 2, 3 & 4 180 Copyright €> 1986 State of Te.xas and Han information Systems. Inc. Ch. 81 ELECTIONS 1 §81.45.

§81.41. Voting System Specimen Ballots. (a) The specimen ballots provided for ballot formats to be used with mechanical voting devices must be selected fix)m the ballot placards which will actually be used with the mechanical voting devices, and specimen ballots must be provided for each ballot format to be used in the election, provided that such a specimen ballot shall not be separated into strips as is the ballot placard which is placed in the voting machine, but must remain unseparated on one sheet of paper. (b) The specimen ballots provided for ballot formats to be used with pimch-card devices must be selected from the ballot labels which will be used with the punch-card devices, and specimen ballots must be provided for each ballot format to be used with such punch-card devices in the election; provided that such a specimen ballot shall not be separated into pages as is the ballot label which is placed in the voting device, but must remain unseparated on one sheet of paper. Also, where punch-card specimen ballots are to be provided, an official punch-card for use with such voting system must be provided as part of the specimen ballot. (c) All specimen ballots provided in accordance with this section must be labelled "specimen ballot", and their provision and use must otherwise conform to the requirements of the Texas Election Code, §52.007. (d) Where optical scanner systems are lo be used in the election, specimen ballots must be provided in accordance with the provisions of the Texas Election Code, §52.007. Source: The provisions ofthis §81.41 adopted to be effective June 27, 1986, 11 TexReg 2739.

§81.42. Paper Ballots for Precinct Chairman. In primary elections where voting for precinct chairman is to be conducted on paper ballots at polling places using voting machines, pursuant to the Texas Election Code, § 124.034, the form of the paper ballot used must conform to the requirements of the Texas Election Code, Chapter 52 for paper ballots. Where voting for the party office of precinct chairman is to be conducted on separate paper ballots at polling places using electronic voting systems, pursuant to the Texas Election Code, §124.065, the form of the separate paper ballot used must conform to the requirements of the Texas Election Code, Chapter 52 for paper ballots. Soncc: The provisionsof this §81.42 adopted lobecffective June 27, 1986, 11 TexReg 2739.

§81.43. Optical Scanner Ballots. Optical scanner ballots may be divided into parts and primed upon two or more pages. Where all candidates for the same ofiice or all party columns cannot be placed on the same face of the same page, the candidates or columns may be carried on more than one page, but in such event the first page of the sequence shall contain a statement that the names of other candidates or other party columns appear on the following page or pages. If the ballot is printed on more than one page, different tints of paper other than yellow, or some other suitable means may be used to facilitate the sorting of ballots. Each page shall bear the ballot number, and other appropriate provision may be made for identifying the related parts of the ballot. When party columns appear on the ballot, there shall be printed at the head of the ballot the names of the parties and spaces for voting a straight party ticket, so that a voter may cast a straight ticket vote for all of a party's nominees on the ballot by making a single mark on the first page of the ballot. For a mark-sense optical scanner voting system to be in comphance with the requirement of the Texas Election Code, §1.005(20) and §122.001(a)(10), it must provide for a single ballot card capable of containing all the candidates in an election in which candidates run by party, or alternatively, be programmed to permit straight party voting by means of a single mark, regardless of the number of ballot cards utilized. A system providing for straight party voting by means of a single mark on each of two or more separate ballot cards is not in compliance with the Election Code.

Source: The provisions ofthis §81.43 adopted to be effective June 27, 1986, 11 TexReg 2739.

§81.44. Punch-Card Ballots. Punch-card ballot cards may be divided into parts and a different ballot card used for each of the separate parts, but in all cases where more than one card is necessary to accommodate the entire ballot, the names of all candidates for any particular office shall be placed on the same part. A separate voting device shall be provided for each part at each polling place. Each ballot card shall bear the ballot number, and other appropriate provisions may be made for identifying the related ballot cards. In an election in which party columns appear on the ordinary paper ballot, the punch card ballots must be printed to enable a voter to cast a straight ticket vote for all of a party's nominees on the ballot by making a single punch on the first page of the ballot. Scarce: The provisions ofthis §81.44 to be adopted to be effective June 27, 1986, 11 TexReg 2739.

§81.45. Inspection of Voting System Equipment. (a) Before voting machines are delivered to polling places for use in an election, they must be inspected, and a written record made of the inspection, pursuant to the Texas Election Code, §125.031.

Revision Nos. 2. 3 & 4 Igl 1 §81.45. OFFICE OF THE SECRETARY OF STATE Pt. IV

(b) Other voting or tabulating equipment to be delivered to polling places must be inspected by the authority responsible for delivering supplies for the election and put in proper working order prior to delivery. A punch-card device must be tested by such authority to ensure that the device permits the accurate recording of votes for each race and/or proposition on the ballot. Test ballot cards should be used for this purpose. (c) Electronic tabulating equipment which is to be used at polling places must be tested by the authority to ensure that the equipment accurately counts ballots, distinguishes and separates ballots which require manual tabulation, and otherwise functions properly. Such test must be conducted in accordance with the provision of the Texas Election Code, § 127.094(b) and (c).

Source: The provisions of this §81.45 adopted to be effective June 27, 1986, 11 TexReg2739.

§81.46. Delivery of Voting System Equipment The authority responsible for distributing election supplies for an election shall arrange for the delivery of voting systems equipment to the polling places. Delivery of such equipment must be made by such authority, by the presiding judge of the polling place, by the sheriff or constable for an election ordered by the governor or a county authority, or by the sheriff or constable or a police officer having jurisdiction over the territor>' in which the polling place is located for an election ordered by other authority. Mechanical voting machines must be delivered in a locked and secured condition. The keys to such voting machines shall be delivered to the presiding judge at least 30 minutes before the polls open, in a sealed envelope on which there is recorded the number on the protective counter, the seal number, and the serial number of the voting machine the key is for.

Source: The provisions of this §81.46 adopted to be effeciive June 27, 1986. II TexReg 2739.

§81.47. Installation of Voting System Equipment. Voting systems equipment shall be installed at the polling place in accordance with the instructions of the authority responsible for distributing election supplies for the election. During the absence of election officers or the custodian of the premises, polling places to which voting systems equipment has been delivered must remain locked and secured. Source: The provisions of this §81.47 adopted lo beeffcctivc June 27, 1986, 11 TexReg 2739.

§81.48. Write-in Record to be Sealed. Where mechanical voting machines are used, after the write-in record from the machine is entered on the retiums, the write-in record shall be sealed in an envelope provided for that purpose, and returned to the custodian of election records. Source: The provisions of this §81.48 adopted to be effeaive June 27, 1986, 11 TexReg 2739.

§81.49. Irregularities in Seals or Serial Numbers. If irregularities are discovered in the seals or the serial numbers of containers of voted ballots received at the central counting sution, pursuant to the Texas Election Code, §127.038(d) or §127.068(c), the presiding judge of the central counting station shall make and sign a memorandum in duplicate setting forth the nature of the irregularities. One copy of the memorandum shall be attached to the copy of the returns delivered in envelope number one for the presiding officer of the canvassing authority. The presidingjudge shall deliver the other copy of the memorandum tolhedisctrictattomey of the county in which the voted ballots placed in such box were voted. The district attorney shall investigate the irregularities and take further action as appropriate. If more than one container of voted ballots was delivered to the central counting station from the election precinct from which the container in which irregularities were discovered was delivered, the judge shall include in the memorandum a record of the total number of ballots in the container in which irregularities were discovered, and such container shall be returned to the custodian of election records after the ballots are counted containing only the ballots delivered to the central counting station in that container. In all cases, the ballots in a container in which irtegularities are discovered shall be counted and returns made as for the other ballots received at the central counting station.

Source: Theprovisionsofthis§81.49adoptcd tobeeffective June27, 1986, 11 TexReg 2739.

§81.50. Test Program. Where a program is prepared for the automatic tabulating equipment to be used for counting ballots at a central counting station, the program shall be used in the tests of such tabulating equipment provided for in the Texas Election Code, Chapter 127, Subchapter D. After the completion of the first test provided for in the Texas Election Code, § 127.096, the program shall be sealed with the test materials in the container provided for by the Texas Election Code, §127.099. .After the completion of the second test, as provided for in the Texas Election Code, §127.097, the program shall be used for the count of ballots voted in the election. The program shall then be used in the third test, provided for in the Texas Election Code, §127.098, and then sealed with the test materials in the container provided for in the Texas Election Code, §127.099.

Source: The provisions of this §81.50 adopted lo be effective June 27, 1986, 11 TexReg2739.

Revision Nos. 2, 3 & 4 182 Copyright €> 1986 State of Texas and Hartlt\formation Systems, inc. Ch. 81 ELECTIONS 1 § 81.70.

§81.51. Malfunction in Tabulating Equipment After the discovery of a malftinction in the tabulating equipment at a central counting station, which malfiinction caused the results tobe incorrect as provided for in the Texas Bection Code. §127.129, the presidingjudge ofthe central counting station shall follow the procedures set out in § 127.098(c) and (d). If the presidingjudge determines that obtaining a valid automatic count is impracticable, the ballots shall be counted manually, and the presidingjudge shall execute and attach a certificate to the returns stating that the ballots were counted manually and stating the nature ofthe equipment malfunction which led him to the determination that the ballots would be counted manually. Source: The provisions of this §81.51 adopted to be effective June 27, 1986, 11 TexReg 2739.

§81.52. Precinct Ballot Counters. (a) Where an electronic voting system that does not entail the counting of ballots at central locations established under the Texas Election Code, Chapter 127, Subchapter A, is to be used at an election, the election results shall be ptrocessed in accordance with this section. (b) If the tabulating equipment is capable of separating damaged ballots, irregularly marked ballots, and write-in ballots for manual processing, the equipment may be arranged so that voters deposit their marked ballots directly into the tabulator. The tabulator must be provided with a sealed container such that ballots deposited by voters are counted by the tabulator or separated for manual counting, as the case may be, and then placed by the device directly into the sealed container. (c) If the tabulating equipment is not capable of separating damaged, irregularly marked, and write-in ballots for manual counting, a container meeting the specifications ofthe Election Code for ballots boxes number I and number 2 must be provided for the deposit of ballots by voters after the ballots have been marked. At the direction of the presiding judge, the election officials shall unlock the ballot container and process the ballots in accordance with the provisions ofthe Texas Election Code, §127.034(b) and then pass the ballots to be counted electronically through the tabulator for counting. (d) In either case, the damaged and irregulariy marked ballots shall be coimted manually or duplicated for automatic tabulation pursuant to the Texas Election Code, §127.126. Write-in ballots shall be counted manually, and the results added to those for ballots counted by the tabulating equipment. The results entered on the returns shall reflect the totals obtained finm the count of the ballots tabulated on the tabulating equipment and from the manual count of damaged, irregularly marked, and write-in ballots. (e) In this section, damaged ballot means a ballot that is damaged such that it may not be accurately counted by the tabulating equipment. (f) The returns, ballots, and other records ofthe election shall then be distributed in accordance with the provisions ofthe Texas Election Code, Chapter 66. Ballots must be returned to the appropriate authority in a container meeting the specifications of the Election Code for ballot box number three. Source: The provisions ofthis §81.52 adopted to be effective June 27, 1986, 11 TexReg 2739.

§81.53. Preservation of Punch-Card Ballot Label Assembly. The elements of the ballot label assembly to be preserved for the period for preserving precinct election records under the Texas Election Code, §l27.182(b), consist ofthe punch-card ballot label and the ballot mask. The ballot mask is the plate which is attached to the voting device and under which the ballot card is inserted for voting, with holes corresponding to every position which may be punched on the ballot label. None ofthe other parts ofthe voting device, including the brackets which hold theballot label and mask, are elements ofthe ballot label assembly which are required to be preserved under §127.182(b). Source: The provisions ofthis §81.33 adopted to be effective June 27, 1986, 11 TexReg 2739.

MISCELLANEOUS

§81.70. Approval of Voting Booths by Secretary of State. (a) The secretary of state has determined that a voting booth designed to be placed on a table top that meets or exceeds the following specifications may be used without individual approval by the secretary of state. (1) The booth must be constructed of opaque material and have three sides. (2) The top ofthe booth must reach at least 54 inches from the floor or 24 inches from the table top, whichever is less. (3) The booth must be at least 22 inches wide and 19 inches deep at the writing surface. (4) At the highest point, the booth may be no more than two inches shallower than the depth of the booth at the writing surface. (5) The booth must be so constructed as to be reasonably sturdy and to withstand expected use.

Revision Nos. 2, 3 & 4 183 1 §81.70. OFFICE OF THE SECRETARY OF STATE Pt. FV

(b) .\ booth designed for table lop use that does not meet or exceed each of these specifications must be submitted for individual approval by the secretary of state. (c) Variances from statutory standards for voting booths designed to be used by a standing voter will be considered on a case-by-case basis. (d) All booths designed for use with punch-card voting systems that have been approved by the secretary of state for use in Texas may be used as voting booths for either punch-card or paper ballot voting without further approval by the secretar>' of state. (e) Vendors wishing to sell voting booths which do not comply with the Texas Election Code, §51.032, or with subsection (a) of this section to political subdivisions for use in elections must obtain approval in writing for such booths pursuant to the Texas Election Code, §51.031, before offering the booths for sale. Source: The provisionsof this §81.70 adopted lo be effective June 27, 1986, 11 TexReg 2739.

POLITICAL PARTIES

§81.100. Primary Administrator. In counties with registered voters in excess of 100,000 the county chairman may employ a primary administrator for the period beginning on January- I preceding the primary, and ending on the last day ofthe month in which the last primary is held (general or runoff primary). The maximum salary payable from the primary fund to a primary administrator shall be $2,000 per month. No additional payment from the primary fund is allowable for transportation or other personal expenses incurred by primary administrators in performance of their duties. Sonrce: Theprovisionsof this§81.IOOadopted tobeeffective June27, 1986, II TexReg2740.

§81.101. Other Salaried Personnel. Salaries or wages of personnel necessary to aid in the conduct ofthe primary elections are payable from the primary fund for the period beginning on January 1 preceding the primary and ending on the last day ofthe month in which the last primary is held (general or runoff primary). Such compensation for each salaried personnel must be less than $2,000 per month. A list of necessary' personnel shall be transmitted to the secretary of state, with each finance report, indicating the name and title of employee, job duties, period of employment, monthly or hourly rate of pay, and the estimated or actual gross pay for the period. A copy of all quarterly 941 returns filed with the IRS shall be transmitted to the secretary of state along with the final primary- election cost report. Source: The provisions of this§81.101 adopted to be effective June 27, 1986, II TexReg2740.

§81.102. Contracts for Labor. All contracts for labor necessary- for the conduct of primary elections must be in writing. The contract shall include the name of the individual, the duties, job, or services to be performed, period of employment, and the rate or fee to be paid The contract shall be signed by both the county chairman and the employee. Copies of all contracts of labor shall be transmitted to the secretary of state along with the final primary election cost report. Source: The provisions ofthis §81.102 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.103. Employee Fidelity Bond. The purchase of an employee fidelity bond for employees whose responsibilities include the receipt and/or expenditiuv of primary funds is required and payable from the primary fund. Sonrce: The provisions of ihis §81.103 adopted to be effeciive June 27, 1986, 11 TexReg 2740.

§81.104. Office Rent. Office rent is payable from the primary fund for the period to begin January I preceding the primary and ending on the last day ofthe month in which the last primary was held (general or runoff primary). A copy ofthe lease agreement or explanation of change in such agreement shall be transmitted to the secretary of state along with the general primary election cost estimate. Office rent shall not exceed the fair market rate for office space in the locale. Any change in a lease agreement and explanation of such change shall be transmitted to the secretary of slate with the next required primary estimate or report. Source: The provisions of this §81.104 adopted to be effeaive June 27, 1986, 11 TexReg 2740,

Revision Nos. 2, 3 & 4 184 Copynghi © 1986 State ofTcxns and Han Information Systems. Inc. Ch. 81 ELECTIONS 1 § 81.113.

§81.105. Office Equipment. Office eqtiipment (including telephone equipment) necessary for the administration ofthe primary elections may be leased for the period beginning January 1 preceding the primary and ending on the last day ofthe month in which the last primary is held (general or runolT primary). Such rental costs are payable fromth e primary frind. Sonrce: The provisions of this §81.105 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.106. Office Supplies and Copies ofthe Texas Election Code. Purchase of office supplies necessary for the administration ofthe primary elections are payable from the primary fund. The expenditure for purchase of two copies of a paperback version of the Texas Election Code is authorized from the primary fund. Source: The provisionsof this §81.106 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.107. Telephone and Postage Charges. Telephone and postage charges which are incurred during the period from January 1 preceding the primary and ending on the last day of the month in which the last primary is held, and which are related to the administration of the primary elections, are payable fromth e primary fund. Any costs not directly attributable to the conduct ofthe primary are not chargeable to the primary fund. Source: The provisionsof this §81.107 adopted tobeeffective JUDC 27, 1986, 11 TexReg 2740.

§81.108. Competitive Quotations for Services or Products. Unless prior approval of the secretary of state is obtained, county chairmen must purchase all services and products using competitive quotations from two or more sources if more than one source is available in the stale. Documentation of the lack of availability of com[>etitive quotations must be submitted with the general or runoff primary election cost estimate, whichever is applicable. This section does not apply to petty cash expenditures of SlOO or less. Source: The provisions ofthis §81.108 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.109. Bank Account for Primary Fund Deposits and Expenditures. County chairman shall establish and maintain a bank account for the sole purpose of depositing and expending primary fiinds. Primary funds shall not be commingled with any other fund or account. Source: The provisions ofthis §81.109 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.110. Deposit of Currency. All filing fees and contributions received in currency shall be deposited intact into the primary fund. Source: The provisions of this §81.110 adopted to bceffective June 27, 1986, 11 TexReg 2740.

§81.111. List of Candidates and Filing Fees. A complete list of candidates, including the office sought and amount of filing fee received from each candidate, shall be transmitted to the secretary of state by February 14. Sonrte: The provisions of this §81.111 adopted lo be effective June 27, 1986, 11 TexReg 2740.

§81.112. Signature on Checks; Authorization of Primary Fund Expenditures. AU checks written on the primary fiind shall be personally signed by either the county chairman or a bonded agent for the county chairman, except that payroll checks and checks to sole source vendors must be signed by the county chairman. All primary fiind expenditures shall be authorized by the county chairman. Sonrce: The provisions of this §81.112 adopted to beeffcctivc June 27, 1986, 11 TexReg2740.

§81.113. Payee of Checks Restricted to an Entity or Person. No check written on the primary fund shall be made payable to cash or bearer. All checks shall be made payable to an enfitiy or person.

Source: The provisions of this §81.113 adopted to be effective June 27, 1986, 11 TexReg 2740.

Revision Mos. 2, 3 & 4 1S5 1 §81.114. OFFICE OF THE SECRETARY OF STATE Pt. IV

§81.114. Form of Payments Petty Cash Fund; Documentation of Petty Cash Transactions. All payments from the primary fund shall be made by check, except that county chairmen may establish a petty cash fund not exceeding $100 for minor purchases and payments. Complete documentation of all petty cash transactions shall be made. Source: The provisionsof this §81.114 adopted lo beeffcctivc June 27, 1986, 11 TexReg 2740.

§81.115. Documentation of Expenses. Copies of all bills, invoices, contracts, and petty cash receipts supporting primary eleaion costs shall be transmitted to the secretary of state upon request. Source: The provisions of this §81.115 adopted to be effccUvc June 27. 1986, 11 TexReg2740.

§81.116. General Primary Election Cost Estimate Transmitted to the Secretary of State Prior to the Close of the Regular Filing Period. If the general primary election cost estimate is transmitted to the secretar>' of state prior to the close ofthe regular fihng period, county chairmen shall estimate the amount of filing fees to be collected. The amount of estimated filing fees shall be reported as a financing source on the general primary election cost estimate. When the general primary election cost estimate is transmitted to the secretary of state after the close ofthe regular filing period, county chairmen shall report the actual amount of filing fees received as a financing source on the general primary election cost estimate. Source: The provisions of this §81.116 adopted to be effective June 27, 1986, 11 TexReg2740.

§81.117. Returning Surplus Funds. Any surplus remaining in a county primary fund account after payment of approved expenses shall be remitted to the secretary of state, primary fund account, with the final cost report. Sonrce: The provisions of this §81.117 adopted lo be effective June 27, 1986, II TexReg 2740.

§81.118. County Election Officer Not to Receive Compensation under Election Services Contracts for 1986 Primary Election. An eleaion services contract for the 1986 primary elections shall not provide for any additional salary or compensation ofthe county election officer for the performance of any primary election duty or service. Source: The provisions of this §81.118 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.119. Compensation For Services at the Polling Place. For the 1986 general and runoff primar>' elections, the hourly compensation for election officers shall not exceed $4.00. Source: The provisions of this §81.119 adopted to beeffeciive June 27, 1986, II TexReg2740.

§81.120. Compensation for Delivering Election Records and Supplies. Compensation ofthe election judge or clerk for defivery ofthe election records, equipment, and unused supplies after the 1986 general and runofi" primary elections may not exceed $15 for each election. Source: The provisionsof this §81.120 adopied to be effective June 27, 1986, 11 TexReg 2740.

§81.121. Number of Election Workers per Voting Precinct. The following table must be used to determine the number of election workers allowable for each precinct. Number of Election Wokers Per Voting Precinct Number of Election Workers (Includes one judge and one alternate judge) Estimated Voter Turnout Punch Card, Optical Per Voting Precinct Paper Ballot tabulators and Voting Machine 100 or less 3 3 101 - 300 5 4 301-600 6 5 601 - 1000 8 6

Revision Nos. 2, 3 & 4 186 Copynght e 1986 State of Texas and Han Information Systems. Inc. Ch. 81 ELECTIONS 1 §81.162.

1001 or more 12 8 Sonrce The provisions ofthis §81.121 adopted to be effective June 27, 1986, 11 TexReg 2740.

§81.122. Number of Voting Machines, Devices, and/or Precinct Ballot Counters Per Voting Precinct Except as expressly authorized by the secretary of state, the following table must be used to determine the number of voting machines or optical tabulators and punch card voting devices allowable for each precinct. Number of Voting Machines, Devices and/or Precinct Ballot Counter Estimated Vo*er Turnout per Voting Punch Card Precinct Ballot Counters (punch card Precinct Voting Machines Devices or optical tabulators) 100 or less 1 1 1 101 - 300 1 2 1 301 - 600 2 4 1 601-900 3 6 1 From each additional 300 voters 1 N/A N/A 350 voters N/A 1 N/A Soarc«: The provisions ofthis §81.122 adopted to be effective June 27, 1986. 11 TexReg 2740.

§81.123. Estimating Voter Turnout. County chaimien may use the precinct by precinct method as recommended by the secretary of state or any other reasonable method for estimating voter turnout for the primary elections. When using a method other than the precinct by precinct method, county chairmen shall submit an explanation and complete documentation of the method used to the secretary of state along wi^ the general runoff primary election cost estimates. Instructions for the precinct by precinct method are available fi-omth e Elections Division, Of&ce of Secretary of State, P. O. Box 12887, Austin, Texas 78711-2887.

Soaror: The provisionsof this §81.123 adopted tobeeffective June 27, 1986, 11 TexReg 2740.

CAMPAIGN REPORTING AND DISCLOSURE

§81.161. Reporting and Renewal of Loans. BX2*Intere5t on reportable promissory notes shall be report^ as an expenditure for the reporting period in which such interest accrues if the amount of interest is ascertainable by the end of the reporting period. Upon execution of a promissory note, the renewal shall be disclosed as a part ofthe explanation ofthe purpose ofthe interest expenditure. Such explanation of a renewal note shall include the following: (1) the date of the renewal; (2) the principal amount ofthe preexisting promissory note; (3) the amount of interest paid on the preexisting promissory note if it constitutes less than the total interest item being reported; (4) the principal amount of the renewal note; (5) the amount of interest accrued on the renewal note for the remainder ofthe reporting period, if ascertainable. Aothority: The provisions ofthis §81.161 issued under Acts 1951, 52nd Leg., p. 1097, ch. 492, arts. 3, 249, effective September 7, 1951. as amended (Texas Election Code arts. 1.03 and 14.13).

Sourer: The provisions of this §81.161 adopted to beeffective Aiigust 16, 1978, 3 TexReg 2668.

Notes of Dedsions: Repayment of a loan, including interest payments when such funds were used in an election constitutes an expenditure under Chapter 14 of the Election Code. Election Law Opinion JWF-22.

§81.162. Campaign Reporting and Disclosure Forms. The secretary of state adopts by reference the new campaign reporting and disclosure forms prescribed by the Office of the Secretary of State in 1977. These forms are published by and are available from the Office ofthe Secretary of State, P.O. Box 12887, Capitol Station, Austin, Texas 78711.

Authority: The provisions ofthis §81.162 issued under Acts 1951, 52nd Leg., p. 1097, ch. ,492, arts. 3,249, effective September 7, 1951, 9S amended (Texas Election Code arts. 1.03 and 14.13).

Source: The provisions of this §81.162 adopted tobeeffective August 16, 1978, 3 TexReg 2714.

Revision Nos. 2, 3&4 187 I §81.163. OFHCE OF THE SECRETARY OF STATE Pt. IV

§81.163.1986 Political Funds Reporting and Disclosure Directive. The secretarv' of state adopts by reference the 1986 Political Funds Reporting and Disclosure Directivepiescnhed by the Office ofthe Secretary of State. The directive is published and is available from the Office ofthe Secretary of State, P.O.Box 12070, Austin, Texas 78711-2070.

Source: The provisions of this §81.163 adopted to be effective April 30, 1983, 9 TexReg 1434.

Notes of Decisions: Article 14.06 of the Code expressly permits the use of corporate fiinds for the establishment, administraiion and solicitation of contributions from the stockholders, employees and their families to a separate segregated fund or other general purpose political committee to be utilized for political purposes. "Establishment," "administration," and "solicitation" include the costs of office space, phones, salaries, utilities, supplies, accounting fees, and other expenses incurred in setting up and maintaining a separate segregated fund or political committee. It is permissible under Chapter 14, Texas Election Code, for a corporation to make a donation to help defray the administrative operating costs of a county or state political party headquarters to the extent that the donations do not become directly or indirectly utilized for activities which would constitute "contributions" as defined m article 14.01(D) ofthe Code. The criminal sanctions in Chapter 14 make it especially advisable for the state or county political parties and corporations involved to be able to establish that corporate donations and not and will not be accepted or utilized for any purpose which could be construed as a "contribution." Election Law Opinion JWF-3. A contribution becomes reportable upon the recipient's decision to accept the contribution. This decision may occur before, after, or at the time of receipt. Once the candidate accepts an offer of a definite amount of money, he will report this amount as a contribution on the sworn statement as ofthe day of acceptance. There is no requirement to disclose the subsequent receipt ofthis money. Once a contribution has been properly reported, Chapter 14 offers no method to adjust this previous statement when the actual transfer of funds is never realized. .A candidate may do so, if he wishes, in any way which will achieve that purpose within the confines of Chapter 14. including the reporting ofthis amount on a sworn statement as a negative adjustment to contributions. For Chapter 14 purposes, an expenditure is not reportable until the amount is readily determinable or, if the character ofthe expenditure is such that normal business practice is not to disclose the amount until the date of receipt of the next periodic bill, until the date of such receipt. Once an obligation is reported as an expenditure, actual payment of the obligation does not trigger additional Chapter 14 reporting requirements. The recipient candidate reports the fair market value of an in-kind contributionoD the applicable sworn statement as both a contribution and a simiJtaneous expendituree. The proceeds obtained from a subsequent sale ofthis item will not be reponed as a contribution if the sale was a commercially reasonable transaction for fair tnariet value. The office-holder files a sworn statement not later than the 15th day after he designates a campaign treasurer with the same authority with which he previously filed sutements relating to that office. After the office-holder designates a campaign treasurer, he will file the semi-annual sworn statements required of officer-holders with the same authority with whom he filed the designation of campaign treasurer for the upcoming election. Election Law Opinion JWF-22. A loan made to the lending corporation's own political committee is not a prohibited corporate contribution under Chapter 14 if: 1) the corporation has been legally engaged in the business of lending money continuously for more than one year prior to the making of such loan;'and 2) the loan is made in due course of business under terms comparable to those on the open market Election Law Opinion JWF-26; amended to be effective June 19, 1986. 11 TexReg 2582.

§81.164. Incorporation of a Political Committee. (a) A political committee may incorporate pursuant to the Texas Nonprofit Corporation Act. However, incorporation of a political committee shall not reheve any person of any liability, duty, or obligation created pursuant to any provision ofthe Texas Election Code. It is "lawful" within the meaning of Texas Civil Statutes article 1396-2.01 for a nonprofit corporation to operate as a political committee. To incorporate for liability purposes only pursuant to Texas Election Code article 14.01(c), a political committee must state exactly the following language as the only purpose for which the corporation can be organized:

To accept contributions and make expenditures as a political committee pursuant to Article 14.01(0), Texas Election Code.

(b) Any incorporated political committee that states this precise language as the only purpose for which the corporation can be organized shall not be deemed to be a corporation within the meaning of Texas Election Code article 14.01(Q, The secretary- of state adopts by reference the incorporation of a political committee (PCI) form, article four of which complies with the prescription ofthis section. Other articles of incorporation that contain all information required by law, including article four ofthe form (PCI), are acceptable lo the Corporations Division and the Campaign and Ethics Section ofthe Elections Division ofthe Secretary of Slate's Office. The PCI form is available upon request from the Campaign and Ethics Section, Elections Division, Office ofthe Secretarv of State, P.O. Box 12887, Austin, Texas 78711. Authority: The provisions ofthis §81.164 issued under Acts 1951, 52nd Leg, p. 1097, ch. 492, arts. 3, 237, effective September 7, 1951, as amended (Texas Civ. St. arts. 1.03 and 14.01(0); and Acts 1959, 56th Leg., p. 286, ch. 162. arts. 2.01, 9.04, effective August 11,1959. as amended (Texas Civ. St. ans. 1396-2.01 and 1396-9.04).

Source: The provisions of this §81.164 adopied to be effeaive December 10, 1979, 4 TexReg 4344.

§81.165. Notice of Late FUing. If any person subject to a civil penalty for late filing under Tex. Elec. Code Ann. art. 14.07c tenders payment ofthe penalty before the Secretary of State has mailed a late notice to the person, the Secretary of State will not mail a late notice to that person. The Secretary' of Stale shall notify the Attorney General to inform him that the person who filed late has already paid the penalty and that therefore the civil suit may not be initiated. A candidate or officeholder may not utilize contributions

Revision Nos. 2. 3 &4 188 Copyright e 1986 State ofTexas and Han information Systems, inc Ch.81 ELECTIONS 1 §81.165. accepted on or after September 1, 1983 for payment of the civil penalty. A political committee is permitted to use contributions for such purpose. A corporation or labor organization may not utilize its funds for the payment of the civil penalty incurred by a political committee which supports or opposes candidates. Source: The provisions of this §81.163 adopted to be effective March 19, 1984, 9 TexReg 1352.

Revision Nos. 2, 3 & 4 189 1 §81.165. OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 190 Copyrights I986 State of Texas and Han information Systems. Inc. CHAPTER 83. LIMITED PARTNERSHIP

SecttonNo. Section Name 83.1. Applicable Law. 83.2. Requirements. 83.3. Administrative Review. 83.4. Partnership Agreement May Be Filed. 83.5. Foreign Limited Partnerships. 83.6. Fees. Aatborhy: The provisions ofthis Chapter 83 issued under Texas Civ. St. art 4331; and Acts 1955, 54th Leg., p. 471. ch. 133, effective September 6, 1955, as amended (Texas Civ. SL art 6132a), unless otherwise noted.

Revision Nos. 2, 3 & 4 191 OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 192 Copyright © 1986 State ofTexas and Han Information Systems, Inc Ch. 83 LIMITED PARTNERSHIP 1 § 83.5.

§83.1. Applicable Law. Certificates of limited partnership will be filed for record in the Office ofthe Secretary of State in accordance with Texas Civil Statutes article 6132a, §3. A qualification of a foreign limited partnership will be filed in accordance with Texas Civil Statutes article 6132a, §32. Source: The provisions ofthis §83.1 adopted to be effeaive January 1,1976; amended to be effective March 16, 1981, 6 TexReg 803. Notes or Dedsions: Failure to file a limited partnership will not necessarily result in the formation of a general partnership. Voudouris V. Walter E. Heller &. Co., 560 S.W. 2d 202 (1977).

§83.2. Requirements. In order to enable the secretary of state to determine the applicable filing fee in accordance with Texas Civil Statutes article 6132a, §3(a) (2) or §26(g), the following seaions will apply to the statement of the limited partners' contributions in a certificate or amendment of a certificate of limited partnership for a Texas limited partnership. (1) A contribution must be shown for each limited partner. A nominal contribution may be shown if applicable. (2) A description of and the agreed value of other property contributed by each limited partner must be stated. (3) If a limited partner has ^reed to make any additional contribution of cash or other property, the amount of cash and description of and the agreed value of such other property must be stated. If the amoimt of additional contributions is indefinite, the secretary of state may request that the certificate state that an amendment to the certificate will be filed when such contributions are made and the amounts can be ascertained. Source: The provisions ofthis §83.2 adopted tobe effiective January 1, 1976; amended tobeeffective March 16, I981,6TexReg 803. Notet of DeciskMis; Reqtiirement of filing a certificate of limited partnership provides notice to third parties of essentials of the partner^p. Carren v. Koepke 569 S.W. 2d 568 (1978).

§83.3. Administrative Review. The secretary of state will file for record a limited partnership certificate, amendment, or cancellation when the name ofthe partnership can be determined and the appropriate filing fee has been remitted. The secretary of state will not determine substantia] compliance with the provisions ofthe Texas Uniform Limited Partnership Act, Texas Civil Statutes article 6132a. Sonrce: The provisions of this §83.3 adopted to be effective January 1, 1976; amended to be effective March 16,1981, 6 TexR^ 803.

§83.4. Partnership Agreement May Be Filed. A partnership agreement may be filed as a certificate of limited partnership if it meets the requirements for filing a certificate of limited partnership. Soorce: Theprovisionsof this §83.4 adopted to be effective Januar>' 1, 1976; amended to be effective March 16, 1981, 6 TexReg 803.

§83.5. Foreign Limited Partnerships. (a) Foreign limited partnerships filed with the Secretary of Stale of Texas prior to the passage of section 32 of the Texas Uniform Limited Partnership Act will remain filed for record without action of the filing party. If the partnership wishes to comply with section 32 ofthe .Act, the partnership should execute and submit a qualification statement for filing. Documents previously filed with this office may be accepted in lieu of certified copies of the certificate of limited partnership and all amendments from the jurisdiction of formation. Fees paid on all documents filed prior to the submission of the qualification statement will be considered in determining whether an additional filing fee is required. The partnership will not be assigned a new file number. (b) Limited partnerships formed in foreign countries may qtialify to transact business in Texas by following the qualification procedure set forth in section 32 ofthe Texas Uniform Limited Partnership Act (c) The secretary of state may request the filing party lo submit an affidavit or other statement acceptable to the secretary reporting the total contributions of the limited partners if such information is not contained in the certified copy submitted vnth the qualification statement, or is not readily ascertainable from an inspection ofthe certified copy. (d) A registered agent of a foreign limited partnership may resign by following the procedure for resignation of a registered agent of a corporation set forth in article 2.10 of the Texas Business Corporation Act. Authority: The provisions ofthis §83.5 issued under Texas Civ. St. art. 4331; Acts 1955, 34th Leg., p. 471, ch. 133, effective September 6, 1955, as amended (Texas Civ. St. an. 6132a); and Acts 1975, 64th Leg., p. 136. ch. 61, effective January I, 1976, as amended (Texas Civ. St art. 6252-13a, §4}.

Source; The provisions ofthis §83.5 adopted to be effective March 16, 1981, 6 TexReg 803.

Revision Nos. 2, 3 & 4 193 1 §83.6. OFHCE OF THE SECRETARY OF STATE Pi. FV

§83.6. Fees. (a) The filing fee for the certificate of limited partnership is Vi of 1.0% ofthe total contributions ofthe limited partners. Total contributions include contributions made at the time of filing as well as those contributions which the limited partners have agreed to make in the future. The minimum filing fee for a certificate is $100; the maximum filing fee for a certificate is $2,500. (b) Under section 26 ofthe Texas Uniform Limited Partnership Act, the filing fee for an amendment which provides for new, increased, or additional contributions is '/2 of 1.0% ofthe new, increased, or additional contributions. A filing fee of not less than $100 nor more than $2,500 shall be paid for each amendment filed under section 26. Filing fees previously paid on the certificate and earlier amendments are not considered in the calculation. (c) A new contribution is a contribution shown for a person who is not shown to be a limited partner on the next preceding amendment or certificate on file. A transfer ofthe interest of a general partner so that it is stated to be the interest of a limited partner is a new, increased, or additional contribution. A substitution of a limited partnership interest is not a new, increased, or additional contribution if there is a statement in the amendment that such substitution occurred. Source: The provisions of this §83.6 adopted to beeffeciive January 1. 1976; amended to be effective March 16, 1981, 6 TexReg 803.

Revision Nos. 2, 3 & 4 194 Copyright ti 1986 Siate of Texas and Han information Systems, inc. CHAPTER 85, MICROFILM

Section No. Section Name 85.1. Fees and Charges.

Revision Nos. 2. 3 & 4 195 OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 196 Copyright® 1986 State of Texas and Han information Systems. Inc. Ch. 85 MICROHLM 1 § 85.1.

§85.1. Fees and Charges. The following is the schedule of fees which will be changed for copies of documents on microfilm and for rolls of microfilm containing documents on filewit h the Office of the Secretary of State: (1) a fee of $.75 for the firstpag e of a document; (2) a fee of $.25 for each additional page of the same document or additional copies of the same doctiment; (3) a fee of$15.00 for the firstrol l of information; (4) a fee of $13.00 for subsequent rolls of like information, or for additional copies ofthe first roll; (5) if the copies or i^olls are mailed, the cost of postage will be added to the cost for the copies or rolls. Autboiity: The provisiftDs of ihis §85. J issued voder Acis J967, 60lh Leg., A ^97, cb. 27}, effeciive May 23, J967, as amended (TexasCiv. St art. 6252-17); and Acts 1973, 63rd LM.. p. 1112, ch. 424, effective June 14, 1973, as amended {Texas Civ. St art. 6252-17a). , ^^, p , ,

Sotirce: The provisions ofthis §85.1 adopted to be effective January I, 1976; amended to be effeciive November 3, 1978, 3 TexReg 3689.

Revision Nos. 2,3&4 !$7 1 §85.1. OFHCE OF THE SECRETARY OF STATE Pi. IV

Revision Nos. 2, 3 & 4 198 CopvnghiO 1986 State of Texas and Han information Systems, Inc. CHAPTER 87, NOTARY PUBLIC

Section No. Section Name

NOTARY PUBUC APPOINTMENTS 87.1. Application for Appointment as a Texas Notary Public Form. 87.2. Notice of Expiration and Application for Appointment as a Notary Public for the State ofTexas. 87.3. Completion and Execution ofthe Application for Appointment. 87.4. Appointment by the Secretary of State. 87.5. Notice of Expiration by the Secretary of State.

NOTARY PUBUC QUAUHCATIONS 87.21. Notice of Appointment, Bond, and Oath of Office. 87.22. Completion and Execution ofthe Bond and Oath of Office Form. 87.23. Qualification with the Secretary of State. REJECTION AND REVOCATION 87.41. Rejection of Application and Revocation of Commission. 87.42. Eligibility for Appointment or to Hold the Office of Notary Public. 87.43. Good Cause. Authority: The provisions of this Chapter 87 issued under Acts 1881, 17th Leg., p. 94, effeaive July 1, 1881, as amended Texas Civ. St art. S949, unless otherwise tioted.

Revision Nos. 2, 3 & 4 199 OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2. 3 & 4 200 Copyright e I986 State ofTexas and Han Information .Systems. Inc. Ch. 87 NOTARY PUBLIC 1 § 87.3.

NOTARY PUBUC APPOINTMENTS

§87.1. Application for AppoiDtment as a Texas Notary PubUc Form. (a) Application for appointment shall be made on forms prescribed by the secretary of state for use in making application for appointment as a notary public for the State ofTexas. (b) The application form prescribed by the secretary of state shall be in the format shown in the following:

APPLICATION FOR APPOINTMENT AS A TEXAS NOTARY PUBUC (For UM by Secretary of State) Revised 6/84 Please Print or Type

Name to be used In acting as a Notary Public (must match name In (1) below)

Full Legal Name

Mailing Address City County State Zip

Business Address City County State Zip

Residence Address City County State Zip Date of Birth

Social Security Number* Texas Drivers License or I.D. TlvdiMUwn ol TOW Sooai Bteurtf Nmtw « mviMicry. tt m tdUM by A* lutholty ol AratM B«». VA.T.S..

§87.2. Notice of Expiration and Application for Appointment as a Notary Pnbiic for the State of Texas. (a) Notice of expiration and application for appointment as a Texas notary public shall be made on forms prescribed by the secretary of state for use in applying for another appointment as a notary public for the State ofTexas. (b) Specifications pertaining to the prescribed approved form may be obtained by writing the Notary Public Section, Office ofthe Secretary of State, P.O. Box 12079, Austin, Texas 78711. (c) The form cannot be duplicated without the prior written approval ofthe secretary of state. Source: The provisions ofthis §87.2 adopted to be effective March 20, 1980, 5 TexReg 968.

§87.3. Completion and Execution of the Application for Appointment. The application for appointment will be completed and executed as follows: (1) All information entered on the application will be legible. (2) On the first line, applicant will print or type his or her name as it will be used in acting as a notary public. A woman who upon marriage assumes her husband^s surname will apply for appointment in her given name and her husband^s surname. (3) On the second line, applicant will enter his or her full legal name. (4) On the third, fourth, and fifth lines, applicant will enter his or her mailing, business, and residence addresses, including the county in which they are located.

Revision Nos. 2, 3 & 4 201 1 §87.3. OmCE OF THE SECRETARY OF STATE Pt. IV

(5) In the space provided, applicant will enter his or her Social security number, Texas driver's license or I.D. number, and date of binh. (6) Applicant will read the question carefully and answer either "yes" or "no." If answered "yes," the applicant will submit a copy ofthe final conviction and sentence, or a statement ofthe facts ofthe crime, together with a copy of any pardon or certificate of restoration of citizenship rights if granted. (7) The applicant vnll sign his or her name in the form that is given as it will be used when acting as a notary public. (8) Applicant must also answer the question on citizenship or permanent resident alien status.

Source: The provisions of this §87.3 adopied to be effective March 28, 1980, 5 TexReg 968; amended to be effective October 25, 1984, 9 TexReg 5269.

§87.4. Appointment by the Secretary of State. (a) The secretary of state shall appoint each applicant if: (1) the apphcation is properly completed and executed; (2) the applicant is a resident ofthe United States and ofTexas, and is at least 18 years of age; and (3) the applicant is eligible and no good cause is known for rejection of the application as provided by law and hereafter by §87.41 ofthis title (relating to Rejection of Application and Revocation of Commission). (b) The secretary of state shall not appoint an applicant if he or she has had a prior application rejected or a commission revoked for the following: (1) A finding of a failure to comply with subsection (b) or (c) of section 5 ofTexas Civil Statutes article 5949 within one year ofthe final decision and order. (2) A finding of ineligibilit>' or good cause which still continues. (c) The lime allowed for qualification for any appointment shall be as provided by law and hereafter by §87.23 (a) (2) and (c) ofthis title (relating to Qualification with Secretary of Slate). The appointment for any person faihng to qualify within the time allowed shall be void; however, if the applicant desires thereafter to qualifV, his or her name may be considered resubmitted as in the same manner as hereinabove provided by using the previously submitted application. (d) If any application for appwintment is received that is not properly completed and executed, the appointment of that particular applicant will be delayed. The secretary of state shall notify the applicant by means of a rejection notice Slating why the appointment was not made» and the steps which should be taken to correct the errors or omissions. The applicant will have 30 days from the date ofthe notice to respond; otherwise, the appUcation will be considered abandoned. (e) When an applicant states that he or she has been convicted of either a felony or a crime involving moral turpitude, or for the violation of any law concerning the regulation of the conduct of notaries public, the secretary of state may request such additional facts or supporting documentation as may be deemed necessary for fair consideration ofthe appointment. Once a request for additional facts or supporting documentation is made, the applicant shall have 30 days fi-om the date of the request to respond; otherwise, the application will be considered abandoned. (0 When all conditions for appointment have been met, the application shall be approved, stamped "appointed" with the date of appointment, and filed.

Source: The provisions ofthis §87.4 adopted to be effeaive March 28, 1980, 5 TexReg 968; amended to be effective October 25. 1984. 9 TexReg 5269.

Cross References: This section cited in I TAC §87.23 (relating lo Qualification with the Secretary of State).

§87.5. Notice of Expiration by the SecreUry of Stote. The secretar>' of state shall notify' each notary public as to the expiration of his or her commission. The notice of expiration and application for appointment shall be sent to the notary public at least 90 days prior to expiration to the most recently provided mailing address.

Source: The provisions of this §87.5 adopted to be effective March 20, 1980, 5 TexReg 968.

NOTARY PUBLIC QUALIFICATIONS

§87.21. Notice of Appointment, Bond, and Oath of Office. (a) The notice of appointment, bond, and oath of office shall be made on the forms prescribed by the secretary of state for use in qualifying as a notarv' public. (b) Specifications pertaining to the prescribed approved form may be obtained by writing the Notary Public Section, Oflice ofthe Secretary of State, P.O. Box 12079, Austin, Texas 78711.

Revision Nos. 2, 3 & 4 202 Copyright^ 1986 State of Texas and Han information Systems, Inc. Ch. 87 NOTARY PUBLIC 1 § 87.23.

(c) The form cannot be duplicated without the prior written approval of the secretary of state and issuance of an authorization code. Source: The provisions ofthis §87.21 adopted to be efTcctive March 28, 1980, 5 TexReg 968; amended to be effective October 25, 1984, 9 TexRej 5269.

§87.22. Completion and Execution of the Bond and Oath of Office Form. (a) The Bond and Oath of Office form will be completed as follows: (1) All information entered on the application will be legible. (2) The name and social security number ofthe appointed notary pubUc will be entered in the space provided in the bond. (3) The complete name ofthe 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 appointed notary public will sign in the space provided for signature for the principal in the form in which appointed. The surety oflicer or an attorney in fact for an insurance or bonding company will sign in the space provided and give their company or agenVs hcense number. (6) The name ofthe notary public in the form in which appointed will be entered in the space provided in the oath of office. (7) The notary public will take the oath of ofGce before a notary public or other qualified officer and sign in the space provided for signature in the form in which appointed. Source The provisions ofthis §87.22 adopted to be effective March 20, 1980, 5 TexReg 968. Cross References: This section cited in I TAG §87.23 (relating to Qualification with tbe Secretary of Sute).

§87.23. Qualification with the Secretary of State. (a) The Bond and Oath of Office form shall be approved by the secretary of state if: (1) the form is properly completed and executed as hereinabove provided in §87.22(a) of this title (relating to Completion and Execution of the Bond and Oath of Office Form); (2) the form is received by the secretary of state within 20 days from the date of appointment or no later than the expiration dale of the term for which the notary public is presently serving when appointed for another term of office in response to a notice of expiration as hereinabove provided in §87.4 of this title (relating to Appointment by the Secretary of State); and (3) the $4.00 fiUng fee for the Bond and Oath of Office form and the $10.00 commission fee as provided by law are remitted with the form to the secretary of state. (b) If the Bond and Oath of OfGce form is not properly completed and executed or is not received with the correct fees, the secretary of state shall delay the approval and filing of the form. The Bond and Oath of Office form shall be returned to the applicant together with a rejection notice identifying any errors or omissions. When the corrected form and fees are properly received by the secretary of state vriihin the time limits imposed by this section, it shall be approved and filed. All forms not properly received will be considered abandoned and all fees deposited forfeited. (c) If the Bond and Oath of OfGce form and fees are not received by the secretary of state in the time allowed for qualification as provided by law, but are received within 20 days after the expiration of such time, the secretary of state may consider the application for appointment resubmitted as required by law, and approve and file the form. (d) When aU conditions for qualification have been met, the Bond and Oath of Office form shall be approved, stamped "qualified" with the date of qualification, and filed. The secretary of state shall cause a commission to be issued and sent to each notary public who has qualified, which commission shall be cfTective as ofthe date of qualification for a term of office as provided by law. Scarce: Tbe provisions ofthis §87.23 adopted to be effective March 28, 1980, 5 TexReg 968; amended to be effective October 25, 1984, 9 TexReg 5269. Cross References: This section cited in 1 TAC §87.4 (relating to Appointment by the Secretary of State).

Revision Nos. 2, 3 & 4 203 1 §87.23. OFHCE OF THE SECRETARY OF STATE Pt. IV

REJECTION AND REVOCATION

§87.41. Rejection of Application and Revocation of Commission. The secretary of state by final decision and order may, for ineligibility or good cause, reject any application, or revoke the commission of any notary public. Rejection and revocation proceedings will be held pursuant to the right of notice, hearing, and adjudication as set out in the Office of the Secretary of State practice and procedure rules and Texas Civil Statutes article 6252-13a, the Administrative Procedure and Texas Register Act. Such action will be subject to the right of apjjeal to a district court of Travis County, Texas. Sonrce: The provisions ofthis §87.41 adopted to be effective March 20, 1980, 5 TexReg 968. Cross References: This section cited in 1 TAC §87.4 (relating to Appointment by the Secretary of State); and 1 TAC §87.43 (relating to Good Cause).

§87.42. Ellgibiiit>' for Appointment or to Hold the Office of Notary Public. An application for appointment will be rejected if the appUcant is not 18 years of age and a resident ofthe United States and Texas. A notary public commission will be revoked if the applicant was not at least 18 years of age at the time of appointment, or is no longer a resident of the United States and Texas. An applicant or notary public will no longer be eligible to hold the public oHlce of notar>' public if convicted of a felony which has become final, and not set aside, for which no pardon or certificate of restoration of citizenship rights has been granted. The dismissal and discharge of proceedings under the adult probation, parole, and mandatory supervision law will not be considered a conviction for the purpose of determining a person's eligibility to be appointed or hold the office of notary public. Sonrce: The provisions of this §87.42 adopted to be effective March 28, 1980, 5 TexReg 968; amended to be effective October 25, 1984, 9 TexReg 5269.

§87.43. Good Cause. (a) Good cause as stated in §87.41 ofthis title (relating to Rejection of Application and Revocation of Commission) shall include but not be limited to a final conviction for a crime involving moral turpitude; any false statement knowingly made in an application; final conviction for the violation of any law concerning the regulation ofthe conduct of notaries public ofthis state or any other state; the failiuc to comply with subsections (b) or (c) of section 5 ofTexas Civil Statutes article 5949, deahng with restrictions imposed on the advertising of notary services in a foreign language by other than attorneys and the prohibition against the literal translation of "notary public" into Spanish; a feilure to fully and faithfully discharge any ofthe duties or responsibilities required of a notary public; tbe unauthorized practice of law; a failure by the notar>' pubhc to print or stamp his or her name and the date of expiration of his or her commission; a failure to administer an oath or affirmation as required by law; the collection of a fee in excess of those authorized by Texas Civil Statutes article 3945; a failure to keep a well-bound book of all notarial transactions as required by Texas Civil Statutes anicle 5955; a failure to provide and use a seal of office as required by Texas Civil Statutes articles 3960 and 5960(a); the execution of any certificate as a notary public containing a statement known to the notar>' public to be false; a failure to complete the acknowledgment at the time the notary public's signatuire and seal are affixed to the document; the advertising in any manner whatsoever that you are a notary public in conjunction with and holding yourself out as an immigration specialist, immigration consultant, or any other title or description reflecting an expertise in immigration matters; and the use of false or misleading advertising of either an oral or written nature, whereby the notary public has represented or indicated that he or she has duties, rights, powers, or privileges that are not possessed by law. (b) A crime involving moral turpitude means the commission of a crime mala in se (an ofTense that is evil or wrong from its own nature or by natural law irrespective of statute) which may include but not be limited to; (1) Class A- and B-type misdemeanors; and (2) felony convictions which have not been set aside, or for which no pardon or certificate of restoration of citizenship rights have been granted. (c) The dismissal and discharge of proceedings under either the misdemeanor adult probation and supervision law or the adult probation, parole, and mandatory supervision law shall not be considered a conviction for the purposes of determining good cause. (d) Final Class C-iype misdemeanor convictions shall not be considered in determining good cause. Source: The provisions ofthis §87.43 adopted to be effective January 1, 1976; amended to be effective January 26,' 1981, 6 TexReg 153.

Revision Nos. 2, 3 & 4 204 Copyright e J986 State ofTexas and Han Irilbrmation Systems, Inc. CHAPTER 89. LOBBY REGULATION

Section No. Section Name

REGISTRATION, REPORTING, TERMINATION 89.1. Registration Form. 89.2. Reporting Form. 89.3. Termination Form, 89.4. Reporting Requirements. 89.5. Notice of Late Filing. 89.6. Advisory Opinions.

Revision Nos. 2, 3 & 4 205 OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 206 Copyright & I986 State of Texas and Han information Systems, Inc. Ch. 89 LOBBY REGULATION 1 § 89.6.

REGISTRATION, REPORTING, TERMINATION

§89.1. Registration Form. The Office ofthe Secretary of State hereby adopts by reference the following form, "Lobby Registration Form." All persons required to register shall use this form. Copies may be obtained by contacting the Office of the Secretary of State, Disclosure Fihngs Section, P.O. Box 12887, Austin, Texas 78711. Source: The provisions of this $89.1 adopted tobe effective March 19, 1984, 9 TexReg 1353.

§89.2. Reporting Fonn. The Office of the Secretary of State hereby adopts by reference the following form, "Lobby Activity Report" All persons required to report shall use this form. Copies may be obtained by contacting the Office ofthe Secretary of State, Disclosure FiUngs Section, P.O. Box 12887, Austin, Texas 78711. Source: The provisions ofthis §89.2 adopted to be effective March 19, 1984, 9 TexReg 13S3.

§893. Tennination Form. The Office of the Secretary of State hereby adopts by reference the following form, "Termination Notice." All persons required to terminate shall use this form. Copies may be obtained by contacting the Office ofthe Secretary of State, Disclosure Filings Section, P.O. Box 12887, Austin, Texas 78711. Source: The provisionsof this §89.3 adopied to be effective March 19, 1984, 9 TexReg 1333.

§89.4. Reporting Requirements. (a) A monthly report must be filed for any month in which the legislature was in session for even one day during that month. The monthly report is to cover the activity since the previous report and is to be filed between the first and 10th day ofthe succeeding month. A quarterly report must be filed for any quarter in which the legislatiu^ was not in session at all during that quarter. The quarterly report is to cover the activity since the previous report and is to be filed between the first and 10th day ofthe succeeding quarter. (b) Any portion of a calendar month in which the legislature is in special session qualifies that month as a session month requiring a monthly report to be filed between the first and 10th day ofthe succeeding month. (c) All reports required to be filed with the Office ofthe Secretary of State must be received by 5 p.m. on the 10th day of the reporting period. If the lOth day falls on a Saturday, Sunday, or state holiday, the deadline will be extended to 5 p.m. on the next day which is not a Saturday, Sunday, or state holiday. Source: The provisions ofthis §89.4 adopted to be effective March 19, 1984, 9 TexReg 1353.

§89.5. Notice of Late Filing. If any person subject to a civil penalty for late filing under Texas Civil Statutes article 6252-9c, tenders payment ofthe penalty before the Office ofthe Secretary of State has mailed a late notice to that person, the Office ofthe Secretary of State shall notify the attorney general to inform him that the person who filed late has already paid the penalty and that, therefore, the civil suit may not be initiated. Source: The provisions of this §89.5 adopted to be effective March 19. 1984, 9 TexReg 1353.

§89.6. Advisory Opinions. In order to expedite the processing of requests for advisory opinions under Texas Civil Statutes article 6252-9c, §14A(d), the Office of the Secretary of State will issue advisory opinions in reponse to written requests that address a question relating to the statute, the answer to which would clear up some ambiguity or difficulty in interpretation. Other written requests, the answers to which are clearly set out in the statute, will be answered by a letter unless the request asks if certain conduct would result in liability under this statutes. In such a case, an advisory opinion shall be issued in order to give full effect to Texas Civil Statutes article 6252-9c, §14A(c). Source: The provisions of this §89.6 adopted to be effective March 19, 1984, 9 TexReg 1353.

Revision Nos. 2. 3 & 4 207 1 §89.6. OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 208 Copyright e 1986 state of Texas and Han Irtformation Systems, Inc CHAPTER 91. TEXAS REGISTER

Section No. Section Name

DEFINITION OF TERMS 91.1. Definitions.

AGENCY LIAISON 91.11. Function. 91.12. Appointment. FILING OF DOCUMENTS 91.21. Compliance; Nonacceptance of Documents. 91.22. Transmittal Methods; Receipt; Acknowledgment 91.23. General Fihng Procedures: Rules or Sections. 91.24. Procedure for Filing Withdrawals. 91.25. Procedure for Filing Emergency Adoptions. 91.26. Procedure for Filing Proposals. 91.27. Procedure for Filing Adoptions. 91.28. Procedure for FiUng Notice of Open Meeting. 91.29. Procedure for Filing Actions of the Governor. 91.30. Procedure for Filing Actions ofthe Attorney General. 91.31. Procedure for Filing a Miscellaneous Notice. 91.32. Procedure for Filing Notice of Apphcation to Acquire State Bank Securities. 91.33. Procedure for Filing Notice Related to the Use of Private Consultant Services. 91.34. Procedure for Filing Notice of Interest Rate. 91.35. Procedure for Filing Notice of Rate Ceiling. 91.36. Procedure for Filing Notice of Adoption tmder the Insurance Code, article 5.96 and article 5.97. 91.37. Procedure for Filing Notice of PubUc Hearing under the Insurance Code, article 5.96 and article 5.97. 91.38. Procedure for FiUng Actions ofthe Secretary of State. 91.39. Procedure for FiUng Actions of the Stale Ethics Advisory Commission.

ADOPTION BY REFERENCE: ADOPTION UNDER FEDERAL MANDATE 91.41. Documents Allowed To Be Adopted by Reference. 91.42. Procedure for FiUng a Document by Reference. 91.43. Procedure for Filing a FedeiaUy Mandated Document.

DOCUMENT FORMAT 91.51. Paper Size and Form. 91.52. Headings. 91.53. Format for Emergency and Proposed Repeal Action. 91.54. Format for Final Repeal Action. 91.55. Format for Adopied Text. 91.56. Typography. 91.57. Statement of Legal Authority. 91.58. Certification. 91.59. Photoslicks.

CLASSIFICATION SYSTEMS 91.71. Classification Terms. 91.72. Numbering Schemes. 91.73. Structure; Terminology. 91.74. Rule or Section Titles. 91.75. Identification.

SUBMISSION FORMS 91.91. Useof Submission Forms. 91.92. tRESERVED] 91.93. Form for Rule Action. 91.94. Form for Notice of Open Meeting. 91.95. Form for Miscellaneous Document.

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91.96. Form for Governor, Attorney General, Secretary' of State, and State Ethics Advisory Commission. 91.97. Reproduction of Forms. 91.98. Form for Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L. PUBLICATION SCHEDULE 91.111. Davs of Publication. 91.112. Indexes. 91.113. Deadlines. SUBSCRIPTIONS, INDIVIDUAL COPIES, AND REPRINTS 91.121. Subscriptions. 91.122. Individual Copies. 91.123. [RESERVED] 91.124. Copies of Documents. MISCELLANEOUS PROVISIONS 91.131. Editing of Documents. 91.132. Form of Citation. 91.133. Text of Documents Not Published. 91.134. Serialization of Documents To Be PubUshed. 91.135. Form for Correction of Error. Authority: The provisions of this Chapter 91 issued under Acts 1975. 64ih Leg., p. 136, ch. 61. effective Januari' 1, 1976. as amended (Texas Civ. St. an. 6252-13a), unless otherwise noted.

Revision Nos. 2, 3 & 4 210 Copyright © 1986 State of Texas and Han information Sy-vems. Inc Ch. 91 TEXAS REGISTER 1 § 91.11.

DEFINITION OF TERMS

§91.1. Definitions. The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise: ^C-4—The Administrative Code Act, Texas Civil Statutes article 6252-13b. APTRA—The Administrative Procedure and Texas Register Act, Texas Civil Statutes article 6252-l3a. Agency—Any state board, commission, department, or officer having statewide jurisdiction, other than an agency wholly financed by federal funds, the legislature, the courts, and institutions of higher education, that makes rules or determines contested cases. Certifying official—A person authorized by an agency to certify documents submitted for fiUng with the Texas Register Division, Office ofthe Secretary of State. Code—The Texas Administrative Code established by the AC.A, also referred to as the TAC. Liaison—A person designated by an agency to act as its representative to the Texas Register Division. Person—Any individual, partnership, corporation, association, governmental subdivision, or public or private organization of any character other than an agency. Register—The Texas Register established by the APTRA. Rule—Any agency statement of general applicability that implements, interprets, or prescribes law or policy, or describes the procedure or practice requirements of an agency. (A) The term includes the amendment or repeal of a prior rule but does not include statements concerning only the internal management, organization, or personnel practices of an agency and not affecting private rights or procedures. (B) The following shall not constitute rulemaking: (i) A statement applied only to specifically named persons or agencies. (ii) The duplication or paraphrasing of Texas statutes. The one exception allowed is that of repeating statutory definitions as rule definitions. (iu) A statement applied exclusively to employees ofthe issuing agency and not affecting the rights or procedures of persons or agencies outside ofthe employment ofthe issuing agency. (C) If the use of a specific form is required by an agency, and if the form imposes requirements not imposed by statute or by rule, tbe portions ofthe form itself which impose such requirements shall be adoptol as a rule. Authority: The provisions of this §91.1 issued under Acts 1975, 64th Leg., p. 136, ch. 61, effective Januar>- 1,1976, as amended (Texas Civ. St. an. 6252-l3a); and Acts 1977, 65th Leg., p. 1703, ch. 678, effective August 29, 1977 (Texas Civ. St. art 6252-l3b). Source: The provisions ofthis §91.1 adopted to be effective January I, 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effective March 19. 1981. 6 TexReg 830; amended to be effecUve May 29, 1981, 6 TexReg 1773.

AGENCY LIAISON

§91.11. Function. (a) A representative. The Uaison shall represent his or her agency or agencies in all matters relating to the Register. (b) Background knowledge. The liaison should be familiar with: (1) the Administrative Procedure and Texas Register Act; (2) the Administrative Code Act; (3) the Texas Open Meetings Law; (4) other legislation relating to the Texas Register, (5) statutes governing the liaison's agency; (6) rules ofthe Texas Register, Office ofthe Secretary of State; and (7) the most recent edition of the Texas Register Form and Style Manual. (c) Responsibilities. All documents filed by an agency shall be coordinated through the agency liaison whose responsibilities include the following: (1) He or she shall, by signing the rule submission form, verify that the filings have been carefuUy reviewed and, to the best of his or her knowledge and belief, the documents have been processed properly and are correct as to format and content For purposes of this section: (A) correct as to format means the rule is organized in the proper structure {i.e., subsections, paragraphs, etc.); (B) correct as to content means the submission contains all the procedural requirements ofthe APTRA and the necessary information for the proper filing of documents.

Revision Nos. 2, 3 & 4 211 I §91.11. OFFICE OF THE SECRETARY OF STATE Pt. IV

(2) He or she must, by signing the rule submission form, verify that the submitted rules have been reviewed by legal counsel whose responsibility, according to the AF*TR.A, it is lo determine whether the rule action is within the agency's legal authority.

Soorce: The provisions ofthis §91.11 adopted lo be effective October 8, 1982, 7 TexReg 3457.

§91.12. Appointment. The director ofTexas Register Division shall be notified in writing as to the appointment of a liaison, and as to any changes that may occur in that appointment.

Source: The provisions of this §91.12 adopted tobeeffective Januarv l, 1976;amended tobeeffective March 19. 1981, 6 TexReg 830.

FILING OF DOCUMENTS

Authority: The provisions of these §§91.21-91.34 issued under Acts 1967. 60th Ug., p. 597, ch. 271, effecUve May 23, 1967, as amended(TexasCiv. St. art. 6252-17); Acts 1975.64th Leg., p. 136, ch. 61, effective January 1, 1976, as amended (Texas Civ. St. art. 6252-13a); Acts 1977, 65th Leg., p. 1185, ch. 454. effective August 29. 1977, as amended (Texas Civ. Sl. art. 6252-1 Ic); and Acts 1977. 65th Leg., p. 1703, ch. 678, effective August 29, 1977 (Texas Civ. St. art. 6252-13b). unless otherwise noted.

§91.21. Complianc«; Nonacceptance of Documents. (a) The following documents shall be filed with the Texas Register, Office ofthe Secretarj' of State, and published by the secretary of slate in the Register: emergency, proposed, and final rulemaking action; notices of open meetings; executive orders ofthe governor ofTexas; summaries of requests for opinions, opinions, and open records decisions of the attorney general ofTexas; summaries of opinions issued by the State Ethics Advisory Commission; lobby law opinions ofthe Texas secretary of state pursuant to Texas Civil Statutes anicle 6252-9c; notices filed by the banking commissioner pursuant to Texas Civil Statutes article 342-40la(B)(6); notices filed by the savings and loan commissioner pursuant to Texas Civil Statutes article 5069-1.07; notices filed by the Office of Consumer Credit commissioner pursuant to Texas Civil Statutes article 5069-1.04; notices filed by agencies, regional councils of government, and the Texas Stale Library pursuant to Texas Civil Statutes article 6252-1 Ic; notices of adoptions filed by the State Board of Insurance pursuant to the Insurance Code, article 5.96 and article 5.97; and misceUaneous notices of general interest to the public of Texas. (b) All documents shall be filed with the Texas Register, Office ofthe Secreury of Slate, in accordance with the format, content, and procedural requirements specified by the APTRA, the .ACA, the Texas Open Meetings Law, the law relating to use of private consultants by state agencies, and by the rules ofthe Texas Register, Office ofthe Secretary of State. The Office ofthe Secretary of State is vested with the authority to ensure the effective administration ofthe governing statutes cited in this subsection as they relate to the Texas Register. Therefore, pursuant to the requirements contained in Texas Civil Statutes articles 6252-llc, 6252-13a, 6252-13b, and 6252-17, as they relate to the Texas Register, and the requirements set forth in the promulgated rules ofthe Texas Register contained in this chapter, the Texas Register, Office ofthe Secretary of State, may refuse to accept for filing and publication any document that does not conform to such requirements. Should any document not be accepted for filing and publication, the Texas Register, Office ofthe Secretary of State, shall issue notice of such fact to the liaison ofthe issuing agency and shall set forth the reason(s) why the document was not accepted for filing and publication by the Texas Register, Office ofthe Secretar>' of State. (c) Supplemental information concerning Texas Register policies, procedures for submission of documents, and style guidelines is contained in the Texas Register Form and Style Manual, as revised 1980, and as periodicaUy updated.

Authorit)': The provisionsof this §91.21 issued under .Acts 1975, 64ih Leg., p. 136, ch. 61, effective Januar>' 1, 1976, as amended (Texas Civ. St. art. 6252-13a. §S(b)).

Source: The provision ofthis §91.21 adopied to be effective January 1. 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effeaive March 19, 1981. 6 TexReg 830; amended to be effective March 1. 1982, 7 TexReg 690; amended to be effective April 20, 1984, 9 TexReg 1945.

Croas Referemxs: This section cited in 1 TAC §91.22 (relating lo Transmittal Methods; Receipt; .Acknowledg;ment).

§91.22. Transmittal Methods; Receipt; Acknowledgment. (a) Two certified copies of each document lo be filed with the Texas Register Division. Oflfice ofthe Secretary of State, together with the appropriate submission forms, shall be mailed to the following address: Texas Register Division, Office ofthe Secretary of State, P.O. Box 13824, Austin, Texas 78711, or delivered to the office ofthe Texas Register Division, Room 503E, Sam Houston Building, 201 East 14th Street, Austin, Texas. Documents may be sent through the means most expedient to the sender, e.g.: U.S. mail, interagency mail, commercial courier, hand delivery, and soon.

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(b) .A document is "received for filing" when the document is date/time stamped in the office of the Texas Register Division. Pursuant to the provisions set forth in §91.21 ofthis title (relating to Comphance; Nonacceptance of Documents), a document is either accepted for public inspection filing in the office ofthe Texas Register Division and publication in the Register or not accepted and returned to the issuing agency. (c) If acknowledgment of receipt by the Texas Register Division is requested by checking the appropriate blank on the submission form, the agency shall submit an additional submission form, completed and verified or certified, at the same time the document is filed with the Texas Register Division (three copies in all). The agency shall only submit a third copy ofthe submission form and not the entire document to be filed. The additional submission form will be date/time stamped and returned to the issuing agency and will serve as the acknowledgment. Any material accompanying the additional submission form will not be returned to the issuing agency. Source: The provisions ofthis §91.22 adopted to be effective January 1, 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effective March 19, 1981, 6 TexReg 830. Cross References: This section cited in 1 TAC §91.32 (relating to Procedure for Filing Notice of Application to Acquire State Bank Securities); 1 TAC §91.33 (relating to Procedure for Filing Notice Related to the Use of Private Consultant Services); 1 TAC §91.34 (relating to Procedure for Filing Notice of Interest Rate); 1 TAC §91.35 (relating to Procedure for Fihng Notice of Rate Ceiling); 1 TAC §91.36 (relating to Procedure for Filing'Notice of Adoption under the Insurance Code, article 5.96 and article 5.97); and 1 TAC §91.37 (r to Procedure for Filing Notice of Public Hearing under the Insurance Code, article 5.96 and article 5.97).

§91.23. General Filing Procedures: Rules or Sections. (a) Rules or sections may be filed individually, by subchapter, or by an undesignated head; where chapters are not divided into subchapters or undesignated heads, rules or sections may be filed by chapter. (b) Agency policies based in whole or part upon opinions or similar determinations ofthe Attorney General ofTexas shall be promulgated and filed with the Texas Register Division, Office ofthe Secretary of State as rules or sections when applicable. (c) Rules or sections which have been rendered obsolete, inconsistent, or invalid by legislation, constitutional amendment, or court decision shall be formally revised or repealed in accordance with rulemaking procedures and filed with the Texas Register Division, Office ofthe Secretary of State. Source: The provisions ofthis §91.23 adopted to be effective Januarv I, 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effeaive March 19, 1981, 6 TexReg 830.

§91.24. Procedure for FiUng Withdrawals. (a) Agency withdrawals. (1) Withdrawal of emergency adoptions. (A) The period of effectiveness of an emergency adoption may be terminated prior to the date originally specified by submitting two completed and verified submission forms. The withdrawal of emergency adoptions must be submitted in accordance with the provisions of §91.93 ofthis title (relating to Form for Rule Action). (B) The withdrawal is effective immediately on filing with the Texas Register Office ofthe Secretary of State, or on a stated date not to exceed 20 days af\er filing. (2) Withdrawal of proposed rules, (A) .A proposal may be withdrawn prior to its adoption or before the effective date of the automatic withdrawal (see subsection (b) of this section) by submitting two completed and verified submission forms. The withdrawal of a proposed rule must be submitted in accordance with the provisions of §91.93 ofthis title (relating to Form for Rule Action.) (B) The withdrawal is effective immediately on filing with the Texas Register Office ofthe Secretary of State, or on a stated date not to exceed 20 days after filing. (b) Automatic withdrawals. (1) If a proposal is not adopted or withdrawn within six months after the date of publication in the Register, it will be automatically withdrawn by this office. Notice ofthe automatic withdrawal will appear in the next regularly scheduled issue of the Register. The effective date of the automatic withdrawal will appear immediately following the published notice. (2) No fiirther action may be taken on a proposal which has been automatically withdrawn. However, this does not preclude a new proposal of an identical or similar rule following normal rulemaking procedures.

Revision Nos. 2, 3 & 4 213 1 §91.24. OFHCE OF THE SECRETARY OF STATE Pt. IV

(3) In calculating the date a proposal will be automatically withdrawn, the six-month period ends on the same numerical day in the concluding month as the day ofthe month fi"om which the computation is begun, unless there are not that many days in the concluding month, in which case the six-month period ends on the last day of that month. In the event the six-month period ends on a Saturday, Sunday, or legal holiday, the period is extended to include the next day which is not a Saturday, Sunday, or legal holiday. Anthority: The provisions of this §91.24 issued under Acls 1975, 64lh Leg., p. 136, ch. 6l, effective January 1, 1976, as amended (Texas Civ. St. art. 6252-I3a, §S(b». Sonrce: The provisions of thi5§91.24 adopied to beeffeciive March 4, 1982, 7 TexReg 690; amended lo be effective .August 14. 1984, 9 TexReg 4174.

§91.25. Procedure for Filing Emergency Adoptions. (a) According to the provisions of section 5(d) of the APTRA, ementency rulemaking action may be promulgated on fewer than 30 days notice. (b) The notice of adoption of emergency action shall contain the following information in the order shown; (1) A preamble containing a brief statement ofthe agency's reasons for the emergency action. (2) A statement ofthe legal authority under which the emergency action is promulgated. (3) Any other statement required by law or policy. (4) The text of the rule or section. (5) Certificafion by an authorized agency official. (c) Emergency rulemaking action does not preclude proposed and final rulemaking action following normal rulemaking procedures. (d) Subsequent to the original filing of an emergency amendment to a permanently adopted rule or section or the emergency adoption of a new rule or section, an emergency amendment may be made to the original action as many times as needed during the 180-day period of effectiveness ofthe original emergency action (120 days original period of effectiveness plus 60 days renewal of effectiveness). All such amendments shall have identical expiration dates. (e) Emergency action shall become effective immediately on filing or on a stated date less than 20 days after filing. The APTRA hmits the effectiveness of emergency action to 120 days, renewable once for no more than 60 days, for a maximum of 180 days. The period of effectiveness shall be calculated by counting the effective date as "day one" and counting forward the stated number of full calendar days. Thus, the expiration date is the day after the final full calendar day counted. (0 The effectiveness of original emergency action taken shall be renewable once for a period not exceeding 60 days by filing two completed and verified submission forms. A renewal notice shall be filed during the last 20 days of the original period of effectiveness. The renewal shall take effect immediately upon the expiration ofthe original period of effectiveness. (g) Notice of emergency adoption under the Insurance Code article 5.96 and article 5.97, shall be filed in accordance with §91.36 ofthis title (relating to Procedure for Filing Notice of Adoption under the Insurance Code, article 5.96 and article 5.97). (1) Actions under these articles are exempt from the requirements of the Administrative Procedure and Texas Register Act and are subject to the requirements ofthe Insurance Code article 5.96 and article 5.97, Chapter 5, Subchapter L, (2) Emergency action under article 5.96 and article 5.97 may become effective immediately on filing or on a stated date less than 15 days after filing. Authority: The provisionsof this §91.25 issued under Acls I97S. 64th Leg., p. 136, ch. 61, effective January 1. 1976, as amended (Texas Civ. Sl. an. 6252-13a, §80)1)- Source: The provisions ofthis §91.25 adopted to be effective Janiiar>' I, 1976; amended lo be effective March 19, 1981, 6 TexReg 830; amended to be effeciive March 4, 1982. 7 TexReg 690; amended to be effective April 20. 1984, 9 TexReg 1945. Croas References: This section cited in 1 TAC §91.42 (relating lo Procedure for Filing a Document by Reference).

§91.26. Procedure for Filing Proposals. (a) Thirty days' notice. Prior to the adoption of a proposal, an agency shall give at least 30 days' notice of its intended action. (b) .Adoption by reference. The Texas Register Division of the Office of the Secretary of State adopts by reference the proposed preamble form as amended 1983 which shall be used when submitting proposals. Copies ofthis form may be obtained from the Office ofthe Secretary of State, Texas Register, P.O. Box 13824, Austin, Texas 78711-3824. (c) Exceptions. If the proposed preamble form does not suit the needs ofthe agency by not allowing for adequate space and/or not addressing specifics that would only apply lo the particular agency, the agency may design its own form. The agency must ensure that all ofthe information listed in paragraphs (IH^) ofthis subsection is included in the following order. (1) Introduction. A statement in layman's terms explaining the agency's purpose for the proposal.

Revision Nos. 2, 3 &4 214 Copyright <& I9S6 State ofTexas and Han Information Systems, Inc. Ch. 91 TEXAS REGISTER 1§ 91.27.

(2) Fiscal note. A fiscal note containing one ofthe following: (A) A listing ofthe fiscal implications for enforcing or administering the rule as proposed. The listing should include: (i) the name and title of the individual responsible for preparing or approving the fiscal note; (ii) the effect on stale government for each year ofthe first five years the rule is in effect: (I) estimated additional costs; (II) estimated reduction in costs; and (III) estimated loss or increase in revenue; (iii) the effect on local government for each year ofthe first fiye years the rule is in effect (I) estimated additional costs; (II) estimated reduction in costs; and (III) estimated loss or increase in revenue. (iv) the effect on small businesses: (I) a statement that the rule is promulgated under the authority of the Texas Tax Code Title 2; or (II) an analysis ofthe cost of compliance with the rule for small businesses; and (III) a comparison ofthe cost of compliance for small businesses with the cost of compUance for the largest businesses affected by the rule, based on at least one of the following standards: (-a-) cost per employee; (-b-) cost per hour of labor; or (-C-) cost per S100 of sales; (B) a statement fi^om the person approving or preparing the proposal, stating the name and title of the individual and that there will be no fiscal implications to sniall businesses or state or local government. (3) Public benefit/cost note. A public benefit/cost note containing the following: (A) the name and title of the individual responsible for preparing or approving it; (B) the public benefits to be anticipated for each year of the first five years the rule will be in effect. If no dollar amount can be determined then this may be set out in narrative form; (C) the possible economic cost to persons who are required to comply with the rule. This should include the specific areas that apply to the agency in which this proposal will have an effect for each year ofthe first five years the rule will be in effect. (4) Request for public comment. The request for public comment should contain the name, address, and/or telephone number ofthe contact person to which an interested individual or party may submit comments. (5) Statutory requirements. A statement containing the statute (article and section) or other authority under which the proposal is submitted. The agency must also explain how it interprets the provisions as authorizing or requiring the rule as proposed. (d) Text. The text ofthe proposal shall be formatted according to the provisions set forth in §91.53 ofthis title (relating to Format for Emergency and Proposed Repeal Action) and §91.56 ofthis title (relating to Typography). (e) Certification, Following the text ofthe rule, the agency must provide a certification as set out in §91.58 ofthis title (relating to Certification). (f) Proposed effective dale. In calculating the proposed date of adoption, "day one" ofthe 30-day period begins on the day after the date of publication in the Register and continues for 30 full calendar days before the day the rule may be submitted for adoption. Therefore, the earliest date the rule may be submitted for adoption is the 31st day after publication ofthe proposal. Authority: The provisions ofthis §91.26 issued under Acts 1975, 64th Lc^, p. 136, ch. 61, effective January 1, 1976, as amended (Texas Civ. St. art. 6252-13a, §8(b)). Sonrce: The provisions ofthis §91.26 adopied to be effeciive March 4, 1982, 7 TexReg 690; amended to be effective April 20, 1984, 9 TexReg 1945. Cross References: This section cited in I TAC §91.42 (relating lo Procedure for Filing a Document by Reference).

§91.27. Procedure for Filing Adoptions. (a) Thirty days' notice. Under normal rulemaking procedures, at least 30 days must elapse between the publication ofthe proposal in the Register and filing of the adoption. (b) Adoption by reference. The Texas Register, Office ofthe Secretary of State, adopts by reference the adoption preamble form which shall be used when submitting adoptions. Copies of this form may be obtained from the Office ofthe Secretary of State, Texas Register, P.O. Box 13824, Austin, Texas 78711-3824.

Revision Nos. 2, 3 & 4 215 1 §91.27. OFHCE OF THE SECRETARY OF STATE Pt. IV

(c) Exceptions. If the adoption preamble form does not suit the needs ofthe agency by not allowing for adequate space and/or not addressing specifics that would only apply to the particular agency, the agency may design its own form. The agency must ensure that all ofthe information listed in paragraphs (l)-(7) ofthis subsection is included in the following order: (1) the board, agency, or commission issuing the adoption, TAC section and/or Texas Register rule code number; whether the adoption is with or without changes to the proposed text; date ofthe issue in which the proposal was published; and the Texas Register citation; (2) reasoned justification of the rule; (3) restatement of factual bases {i.e., how the rule will function); (4) summary of comments received regarding proposal, or a statement that no comments were received (if no comments were received, omit paragraphs (5) and (6) ofthis subsection); (5) list of groups or associations for and against the rule; (6) reasons why the agency disagrees with comments; and (7) a statement containing statute (article and section) or other authority, explaining agency's interpretation ofthe provisions ofthis particular authority, and how it authorizes or requires the rule. (d) Text. The document must contain the text of the rule being submitted for adoption. The text shall be formatted according to the provisions set forth in §91.54 ofthis title (relating to Format for Final Repeal Action) and §91.55 of this title (relating to Format for Adopted Text). (e) Certification. Following the text ofthe rule, the agency must provide a certification as set out in §91.58 ofthis title (relating to Certification). (f) Effective date of adopt ion. The adoption shall take effect 20 full calendar days after filing ofthe notice of final action with the Texas Register unless a later date is specified. In calculating the effective date, "day one" shall be the first calendar day after filing, therefore, the earliest date the rule or section may become effective is the 21st calendar day after filing. (g) Exempt insurance adoptions. Notice of adoption under the Insurance Code article 5.96 and article 5. shall be filed in accordance with §91.36 ofthis title (relating to Procedure for Filing Notice of Adoption under the Insiu-ance Code, article 5.96 and article 5.97 Authority: The provisionsof this §91.27 issued under Acts 1975, 64ih Leg., p. 136, ch. 61, effective January 1,1976, as amended (Texas Civ. St. an. 6252-13a, §8(b)). Sonrce: The provisions ofthis §91.27 adopted to be effeciive March 4, 1982, 7 TexReg 690; amended to be effective April 20, 1984, 9 TexReg i945.

Cross References: This section cited in 1 TAC §91.42 (relating lo Procedure for Filinga Document by Reference).

§91.28. Procedure for FUing Notice of Open Meedog. (a) Notice of an open meeting shall be submitted to the Texas Register Division, Office of the Secretary of State, in accordance with the provisions ofthe Texas Open Meetings Law, Texas Civil Sututes article 6252-17. (b) Notice of an open meeting shall be submitted on two copies of Form TR-3, Submission Form—Notice of Open Meeting, and on one three-inch by five-inch index card, according to the requirements set forth in §91.94 ofthis title (relating to Form for Notice of Open Meeting). (c) If the complete agenda cannot be stated in the blanks provided on the submission form, the agency shall summarize the agenda in the blanks provided for publication purposes only. The agency shall then attach three copies ofthe complete agenda for fihng, one copy attached to each submission form and one copy attached to the index card. When an agenda is summarized, the Register shall publish with the notice a statement that the agenda is summarized for publication purposes. (d) Both the submission forms and the index card shall be certified by an authorized agency official, according to the requirements set forth in §91.94 ofthis title (relating to Form for Notice of Open Meeting). (e) The Texas Register Division shall be responsible for delivering all notices of open meetings to the Office of the Secretary of State in the State Capitol for posting, except in the following instances. A notice of open meeting submitted on the last possible day in order to meet the seven-day requirement imposed by the Texas Open Meetings Law, and received and filed by the Texas Register Division after 4:30 p.m. on the last day, shall be delivered to the Capitol for posting by the issuing agency. Likewise, an emergency' notice received and filed by the Texas Register Division 30 minutes or less before the two-hour requirement imposed by the Texas Open Meetings Law shall be delivered to the Capitol for posting by the issuing agency. In order to meet the 72-hour requirement imposed by the Texas Open Meetings Law, regional agencies and institutions of higher education which utilize the U.S. postal service as a means of submitting notice of open meeting are encouraged to have such notice postmarked at least 10 days prior to the scheduled day ofthe meeting. For a notice postmarked at least 10 days prior to the scheduled day of Ibe meeting but received too late to comply with the 72-hour provision, the issuing agency will be called by telephone and notified ofthe late receipt. The Texas Register Division will not accept for filing a late notice unless the agency wishes to take one ofthe following four alternative courses of action. (1) The agency may cancel the scheduled meeting if it has not already been conducted.

Revision Nos. 2. 3 & 4 216 Copvrighte I986 Htate of Te^as and Han information .Systems. Inc. Ch. 91 TEXAS REGISTER 1 § 91.32.

(2) The agency may authorize the Texas Register Division lo designate the meeting as an emergency meeting if the agency determines such designation may be justified under the emergency provisions of the Open Meetings Law. An ^ency shall not designate a meeting as an emergency merely for piupose of administrative expediency. (3) The agency may take no remedial action at all and conduct the meeting, risking judicial invalidation of any business conducted if it is chaUenged in court. (4) If an agency has already conducted a meeting before being notified by the Texas Register Division that the notice was received too late to comply with the 72-hour provision, the agency may give due notice of a new meeting at which any business conducted at the originally scheduled session will be ratified. (f) An agency is not required by the Open Meetings Law to file and post a cancellation notice of a meeting which has previously been filed find posted. However, if an agency desires, it may notify the Texas Register Division by telephone of a meeting cancellation. The Texas Register E>ivision will then notify the appropriate staff of the secretary of state's office to remove the notice fi'om the bulletin board in the State Capitol. If a meeting is cancelled by telephone, the agency shall submit a follow-up letter to the Texas Register Division. (g) The seven-day posting requirement imposed by the Texas Open Meetings Law is interpreted by the Texas Raster Division, Office of the Secretary of State, to mean seven full 24-hour periods preceding the day of the meeting. In calculating the seven-day period, "day one" begins on the first calendar day after the notice is posted and continues for seven full calendar days preceding the day ofthe meeting. Thus, the day of posting and the day ofthe meeting shall not be included in calculating the seven-day period.

Anthority: The provisions ofthis §91.28 issued under Acts 1967, 60lh Leg., p. 597, ch. 27|, effective May 23, 1967, as amended (Texas Qv. St. art 6252-17).

Source: The provisions of this §91.28 adopted to be effective January I, 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effective March 19, 1981, 6 TexReg 830; amended lo be effective May 29, 1981, 6 TexReg 1773.

§91.29. Procedure for Filing Actions of the Governor. BX2* Appointments, executive orders, and proclamations ofthe governor ofTexas submitted for pubUcation in the governor's section of the Register shall be certified and submitted with the appropriate submission form, according to the requirements set forth in §91.96 of this title (relating to Form for Governor, Attorney General, Secretary of State, and State Ethics Advisory Commission). Such documents shall be published in the next issue of the Register following the date such documents are received by the Texas Register, subject to the deadline requirements contained in §91.113 of this title (relating to Deadfines).

Source: The provisions ofthis §91.29 adopted lo be effective January 1, 1976; amended to be effeciive April 20, 1984, 9 TexReg 1945.

§9130. Procedure for Filing Actions of the Attorney General. Summaries of opinions, requests for opinions, and open records decisions of the attorney general of Texas submitted for publication in the attorney general's section ofthe Register shall be certified and submitted with the appropriate submission form, according to the requirements set forth in §91.96 ofthis title (relating to Form for Governor, Attorney General, Secretary of Stale, and State Ethics Advisory Commission). Such docimients shall be published in the next issue of the Register following the date such documents are received by the Texas Register, subject to the deadline requirements contained in §91.113 ofthis title (relating to DeadUnes).

Source: The provisions of this §91.30 adopted to be effective January I, 1976; amended to be effective November 6, 1977, 2 TexReg 4098; amended to be effective March 19, 1981, 6 TexReg 830; amended lo be effective April 20, 1984, 9 TexReg 1945.

§91.31. Procedure for Filing a Mis(%llaneous Notice. (a) A misceUaneous notice not required lo be pubUshed in the Register will be published at the discretion ofthe Texas Register Division, Office ofthe Secretary of State. (b) A miscellaneous notice shall conform to the format requirements specified for other documents as to paper size and form as set forth in §91.51 of this title (relating to Paper Size and Form) and shall be certified and submitted with the appropriate submission form.

Source: The provisions ofthis §91.31 adopied to be effective January 1, 1976.

§9132. Procedure for Filing Notice of Application to Acquire State Bank Securities. (a) Each notice required to be submitted by the banking commissioner for publication in the Register, pursuant to Texas Civil Statutes article 342-40la(B) (6), shall be filed in accordance with §91.22 ofthis title (relating to Transmittal Methods; Receipt; Acknowledgment). (b) Each copy of each notice shall be accompanied by the appropriate submission form, completed and verified, according to the requirements set forth in §91.95 ofthis title (relating to Form for Miscellaneous Document).

Revision Noi 2. 3 & 4 217 1 §9132. OFFICE OF THE SECRETARY OF STATE Pt. IV

(c) The notice shall be published in the next issue of the Register following the date the notice is received by the Texas Register Division, subject to the deadline requirements contained in §91.113 ofthis title (relating to Deadlines).

Source; The provisions ofthis §91.32 adopied lobe effeciive November 6, 1977, 2 TexReg 4100; amended to be effective March 19, 1981. 6 TexReg 831.

§9133. Procedure for Filing Notice Related to the Use of Private Consultant Services. (a) Notice relating lo the use of private consulting services shall be filed pursuant to the provisions ofTexas Civil Statutes article 6252-1 Ic. (1) In addition to the requirements set forth in Texas Civil Statutes article 6252-1 Ic, §6(a), a slate agency or regional council of government shall include in the notice a statement that the request for consulting services is fUed pursuant to the provisions ofTexas Civil Statutes anicle 6252-1 Ic. (2) In addition lo the requirements set forth in Texas Civil Statutes article 6252-1 Ic, §6(b), a state agency or regional council of government shall include in the notice: (A) a statement that the award of consulting services is filed pursuant lo the provisions of Texas Civil Statutes article 6252-1 Ic; and (B) the Register citation ofthe consultant proposal request. (b) The Texas State Library shall comply with the requirements set forth in Texas Civil Statutes article 6252-1 Ic, §6(c). (c) The quarterly list of reports required to be filed by the Texas State Library and each notice required to be filed by a slate agency or a regional council of government for publication in the Register, pursuant to Texas Civil Statutes article 6252-1 Ic, shall be filed in accordance with §91.22 of Ihis title (relating to Transmittal Methods; Receipt; Acknowledgment). (d) Each copy of each notice or list of reports shall be accompanied by Ihe appropriate submission form, completed and verified, according to the requirements set forth in §91.95 ofthis tide (relating to Form for Miscellaneous Etocument). (e) The notice shall be published in the next issue ofthe Register following the date the notice is received by the Texas Register Division, subject to the deadline requirements contained in §91.113 of this title (relating to E>eadUnes). (0 A notice of amendment or modification to contracts previously published in the Register with a total aniticipated fee in excess of $10,000 must be published in the Register at least 10 days prior to amending the contract if the amendment or modification increases the original anticipated fee by 15% or more. Contracts with a total anticipated fee of less than $10,000 must comply with the notice requriements prescribed in Texas Civil Statutes article 6252-1 Ic, §6, at the time it becomes reasonably foreseeable that the contract will be amended to allow pavment in excess of $10,000.

Sonrce: The provisions ofthis §91.33 adopted lo beeffcctivc November 6, 1977, 2 TexReg 4100; amended to be effective March 19, 1981. 6 TexReg 831; amended to be effective October 3, 1984, 9 TexReg 4973.

§91.34. Procedure for Filing Notice of Interest Rate. (a) Each notice required to be submitted by the savings and loan commissioner for publication in the Register, pursuant to Texas Civil Statutes article 5069-1.07, shall be filed in accordance with §91.22 ofthis tide (relating to Transmittal Methods; Receipt; Acknowledgment). (b) Each copy of each notice shall be accompanied by the appropriate submission form, completed and verified, according to the requirements set forth in §91.95 of this titie (relating to Form for Miscellaneous Document). (c) The notice shall be published in the next issue ofthe Register following the date the notice is received by the Texas Register Division, subject to the deadline requirements contained in§9l.ll3of this title (relating to Deadlines).

Source: The provisions of this §91.34 adopied to beeffeciive March 19, 1981, 6 TexReg 831.

§91.35. Procedure for Filing Notice of Rate Ceiling. (a) Each notice required to be submitted by the Office of Consumer Credit Commissioner for publication in the Register. pursuant to Texas Civil Statutes anicle 5069-1.04, shall be filed in accordance with §91.22 of this title (relating to Transmittal Methods; Receipt; Acknowledgment). (b) Each copy of each notice shall be accompanied by the appropriate submission form, completed and verified, according to the requirements set forth in §91.95 ofthis title (relating to Form for Miscellaneous Document). (c) The notice shall be published in the next issue ofthe Register following the date the notice is received by the Texas Register Division, subject to the deadline requirements contained in §91.113 of this title (relating lo Deadlines).

Authority: Theprovisionsof this §91.35 issued under Acts 197S, &4th Leg., p. 136, ch. 61, effective January 1, 1976, as amended (Texas Qv. Sl. art, 6252-13a, §8(b)).

Source: The provisionsof this §91.35 adopied tobeeffective March I, 1982, 7 TexReg 693.

Revision Nos. 2, 3 & 4 218 Copyright © I9S6 State ofTexas and Han Information Systems. Inc. Ch. 91 TEXAS REGISTER 1 §91.41.

§9136. Procedure for Filing Notice of Adoption under the Insurance Code, article 5.96 and article 5.97. (a) Actions under these articles are exempt from the requirements ofthe Administrative Procedure and Texas Register Act and are subject to the requirements ofthe Insurance Code article 5.96 and article 5.97, Chapter 5, Subchapter L. (b) Each notice required to be submitted by the Stale Board of Insurance for publication in the Register, pursuant lo the Insurance Code article 5.96 and article 5.97, shall be filed in accordance with §91.22 of this title (relating to Transmittal Methods; Receipt; Acknowledgment). (c) The notice shall be publish^ in the next issue of the Register following the date the notice is received by the Texas Register subject to the deadUne requirements contained in §91.113 ofthis title (relating to E>eadhnes). (d) Each copy of each notice shall be accompanied by the appropriate submission form, completed and verified, according to the requirements set forth in §91.98 ofthis title (relating to Form for Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L). (e) The notice need not contain the text ofthe action submitted for adoption. (f) Each notice shall include the following certification: This notification is filed pursuant to the Insurance Code article 5.96 (or article 5.97, whichever is appropriate), which exempts it from the requirements ofthe Admiiuslrative Procedure and Texas Register Act. (g) The adoption shall take effect 15 fiill calendar days after filing ofthe notice of final action with the Texas Register unless a later date is specified. In calculating the effective date, *'day one" shall be the first calendar day after fihng; therefore, the earliest dale the rule or section may become effective is the 16ih calendar day after filing. Source: The provisions of this §91.36 adopied lo beeffeciive April 20, 1984, 9 TexReg 1945. Croas References: This section cited in 1 TAC §91.27 (relating lo Procedures for Filing Adoptions).

§91.37. Procedure for Filing Notice of Public Hearing under the Insurance Code, article 5.96 and article 5.97. (a) Each notice required to be submitted by the Stale Board of Insurance for publication in the Register, pursuant to the Insurance Code article 5.96 article 5.97, shall be filed in accordance with §91.22 ofthis tide (relating lo Tansmittal Methods; Receipt; Acknowledgment). (b) Each copy of each notice shall be accompanied by the appropriate submission form, completed and verified, according to the requirements set forth in §91.95 ofthis title (relating to Form for Miscellaneous Document). (c) The notice shall be published in the next issue of the Register following the date the notice is received by the Texas Register, subject to the deadline requirements contained in §91.113 of this title (relating to Deadlines), provided that the notice is submitted in time to be published in the Register a.1 least 10 days prior lo the public hearing. Source: The provisionsof this §91.37 adopted lo be effective April 20, l984,9TexReg 1945.

§91.38. Procedure for Filing Actions of the Secretary of State. Summaries of election law opinions, requests for lobby law opinions, and lobby law opituons ofthe Texas secretary of state submitted for publication in the secretary of state's section ofthe Register shall be certified and submitted with the appropriate submission form, according lo the requirements set forth in §91.96 ofthis titie (relating lo Form for Governor, Aiiomey General, Secretary of Stale, and Slate Ethics Advisory Commission). Such documents shall be pubhshed in the next issue of the Register following the date such documents arc received by the Texas Register, subject to the deadline requirements contained in §91.113 of this title (relating to Deadlines). Source: The provisionsof this §91.38 adopted to be effective April 20, 1984, 9 TexReg 1945.

§9139. Procedure for Filing Actions of the State Ethics Advisory Commission. Summaries of opiiuons of the Slate Ethics Advisory Commission of Texas submitted for pubUcation in the State Ethics Advisory Commission's section of the Register shall be certified and submitted with the appropriate submission form, according to the requirements set forth in §91.96 ofthis title (relating to Form for Governor, Attorney General, Secretary of Stale, and State Ethics Advisorv' Commission). Such documents shall be published in the next issue ofthe Register following the date such documents are received by the Texas Register, subject to the deadline requirements contained in §91.113 ofthis title (relating to Deadlines). Source: The provisions ofthis §91.39 adopted to beeffeciive April 20. 1984, 9 TexReg 1945.

ADOPTION BY REFERENCE: ADOPTION UNDER FEDERAL MANDATE

§91.41. Docnments Allowed To Be Adopted by Reference. (a) Rules contained in the following documents may be adopted by reference: (1) federal statutes; Revision Nos. 2, 3 & 4 219 1 §91.41. OFFICE OF THE SECRETARY OF STATE Pt. IV

(2) federal regulations; (3) state plans, including those circulated under 0MB Circular .A-95 for review and comment; (4) forms. (b) The prior approval ofthe director ofthe Texas Register Division, Office ofthe Secretary' of State, shall be required for an agency to adopt by reference a document not included under subsection (a) ofthis section. Approval shall be based upon the general availability ofthe document and upon the impracticality of submitting the document in the standard rule format. An agency requesting approval shall submit in writing to the director ofthe Texas Register Division its reasons for the request to adopt by reference. (c) An agency may adopt by reference amended versions of a document. An agency shall nol adopt by reference a document as it may be amended in the future. Source: The provisions ofthis §91.41 adopted to be effective January 1, 1976; amended to be effective November 6, 1977, 2 TexReg 4100; amended to be effeciive March 19, 1981. 6 TexReg 830.

§91.42. Procedure for Filing a Document by Reference. (a) The procedure for filing a document by reference shall be the same as thai required for other rules, except that the actual text of the document need not conform to Texas Register Division format requirements. However, notice of intention lo adopt by reference shall be given in the form of a numbered rule. The notice shall follow usual rulemaking and filing procedures fot emergency, proposed, or final action on rules. (b) Notice of the adoption by reference shall contain information as required by the type of action being taken {e.g.: emergency, proposed, final). In addition: (1) The preamble of the notice shall contain a concise description of the document, including a brief summary of its major provisions. (2) The text ofthe numbered section which adopts the document by reference shall include: (A) any differences or variations existing between the verbatim copy ofthe document and that which is lo be adopted by reference, if any; and (B) information concerning where the document has been published, if appficable, and where and how copies of it may be obtained. (c) An agency shall submit an adoption by reference to the Texas Register Division according to the following procedure. (1) Two completed and verified submission forms shall accompany the notices of adoption by reference and the document. (2) Two copies of the notice of adoption by reference, in the form of a numbered section, shall accompany the submission forms and the document. (3) One copy ofthe document, attached to one ofthe submission forms, shall accompany the notices of adoption by reference. (d) If an agency wishes to adopt amendments to a document previously adopted by reference, it shall amend the rule adopting the document by reference. (e) Notice periods; (1) Full notice. The notice period for adopting a document by reference shall be the same as the usual notice period requirements set forth in §91.25 ofthis title (relating to Procedure for Filing Emergency Adoptions), §91.26 of this titie (relating to Procedure for Filing Proposals), and §91.27 ofthis title (relating to Procedure for Filing Adoptions). (2) Abbreviated notice. (.A) An abbreviated notice period is allowed if a federally specified effective date is less than 30 days after publication in the Register. The agency shall indicate in the blank provided on the submission form the date on which the document must lake effect. (B) If a federally specified effective date does not allow time for 20 days to elapse before the date the document takes effect, the agency shall indicate in the blank provided on the submission form the date on which the document must take effect. Source: The provisions of this §91.42 adopted lo be effective January- 1, 1976; amended to be effeciive November 6, 1977, 2 TexReg 4100; amended lo be effective March 19, 1981, 6 TexReg 830; amended lo be effecUve March 1, 1982, 7 TexReg 693.

§91.43. Procedure for Filing a Federally Mandated Document. (a) If an agency is required by federal statute or regulation to implement a new section or an amendment to an existing rale by a certain date, it is effective on that date. (b) If time allows, the agency shall give notice of its intention to adopt a new section or an amendment to an existing section. Notice shall be in the form of proposed action and shall ftilfill all format and content requirements prescribed for proposed action on sections. The agency shall state in the preamble ofthe proposal the circumstances under which the section action is proposed and that the notice period is abbreviated, if applicable.

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(c) If the federally specified date does not allow time for notice of proposed action, the agency may take final action on a new section or an amendment to an existing section without prior notice. Notice of final action shall ftilfill all format and content requirements prescribed for final action on sections. (d) The statement of legal authority shall include a.statement that the new section or amendment to existing section is proposed or adopted pursuant to federal requirements. Source: The provisions of this §91.43 adopted to beeffeciive March 19, 1981, 6 TexReg 830.

DOCUMENT FORMAT

§91.51. Paper Size and Form. BX2*Documents shall be submitted on white 8'/2 inch by 11 inch paper. The margins shall be approximately l'/2 inches at the top, one inch at the left and right sides, and one inch at the bottom. Submissions shall be typed on only one side ofthe paper. Standard pica type shall be used. Type smaller than standard elite shall nol be used. Unusual type, such as italic or script, or unusually large type, shall not be used. The text of all documents submitted for filing and pubUcation in the Register shall be double-spaced and shall be typed in black.

Sauxe'. The provisions of this §91.51 adopted to be effective January I, 1976; amended lo be effective November 6, 1977, 2 TexReg 4100; amended lobe effective March 19. 1981. 6 TexReg 830.

Cross References: This section cited in 1 TAC §91.31 (relating to Filing a Miscellaneous Notice); and 1 TAC §91.59 (relating to Photoslicks).

§91.52. Headings. Each page of each document submitted shall contain an identifying heading. (1) The complete name ofthe issuing ^ency shall be typed in the upper left-hand comer of each page, above the top margin and flush with the left-hand mai%in. (A) When submitting section action, the titie of the chapter of sections shall be typed on the line below the name of the issuing agency, flush with the left-hand margin. (B) When submitting a miscellaneous notice, the title ofthe document shall be typed on the hne below the name ofthe issuing agency, and centered on the page. (2) Each page of each document submitted shall be numbered in the upper right-hand comer ofthe page as follows: "Page of .*' Source: The provisions of this §91.52 adopted lo be effeciive January 1, 1976; amended lo be effeciive November 6, 1977, 2 TexReg 4100; amended to be effective March 19, 1981,6 TexReg 830.

§91.53. Format for Emergency and Proposed Repeal Action. (a) Notice of emergency or proposed repeal action shall be formatted according to the following requirements. (1) One copy of the notice shall include the complete text of the section including Register code number and TAC code number, if applicable, and respective title. (2) The other copy of the notice shall list only the Register code number and TAC code number, if applicable, and respective title. (b) . The requirements set forth in subsection (a) (1) and (2) ofthis section shall not preclude other requirements for submission and filing of emergency or proposed section action. SoDTCd The provisiotis ofthis §91.53 adopted to be effective March 19. 1981, 6 TexReg 830. Cross References: This section cited in 1 TAC §91.26 (relating to Procedure for Filing Proposals). §91.54. Format for Final Repeal Action. (a) Notice of final repeal action shall not include the text of a repealed section. However, the notice shall include: (1) the Register code number and TAC code number, if applicable, and respective titie; (2) a concise statement ofthe reason why the rule or section is repealed; and (3) the Register citaiion of the proposed notice of repeal. (b) Therequirementsset forth in subsection (a) (l)-(3) ofthis section shall nol preclude other requirements for submission and filing of final section action. Sonrce: The provisions of this§91.54 adopted to be effeciive March 19, 1981, 6 TexReg 830. Cross References: This section cited in 1 TAG §91.27 (relating lo Procedure for Filing Adoptions); and 1 T.AC §91.55 (relating lo Formal for Adopted Text).

Revision Nos. 2, 3 & 4 221 1 §91.55. OFHCE OF THE SECRETARY OF STATE Pt. IV

§91.55. Format for Adopted Text. The text of a rule or section submitted during the final action stage ofthe rulemaking process shall be formatted in the same manner as the proposed text was formatted and published in the Register, with the exception of final repeal action. Final action taken on a proposed repeal shall be subject to the provisions of §91.54 ofthis titie (relating to Format for Final Repeal Action). Source: The provisions of this §91.55 adopted tobe effective March 19, 1981. 6 TexReg 830. Cross References: This section cited in I TAC §91.27 (relating to Procedure for Filing Adoptions).

§91.56. Typography. (a) All documents shall be typed in conventional upper-case and lower-case format, except as provided in subsection (b) of this section. (b) Emergency and proposed section action: indicating new and removed language. (1) Existing text shall be typed in upper-case and lower-case letters. (2) New material in an existing text shall be t\T>ed in upfwr-case letters only. (3) Brackets shall be used to indicate deletion of existing material. Do not bracket out pan of a word; bracket the entire word and type new material in upper-case letters. (4) New material shall be placed before deleted material. (5) Underscoring shall be used lo indicate italicization, or to indicate new numbers or other symbols which cannot be upper-cased. Sonrce: The provisions ofthis §91.56 adopted to be effeciive Januar>- I, 1976; amended lo be effective November 6, 1977, 2 TejiReg 4100; amended to be effective March 19, 1981, 6 TexReg 830. Cross References: This section cited in 1 TAC §91.26 (relating lo Procedure for Filing Proposals).

§91.57. Statement of Legal Authority. A statement of the legal authority under which any section action is proposed or promulgated shall accompany each submission of section action. It shall appear immediately preceding the text of the first rule or section contained in the submission, and it shall be as specific as is necessary to enable a reader to locate the authority. Codified statutes shall reference the appropriate code. Uncodified statutes shall reference Texas Civil Statutes. Source: The provisions of ihis §91.57 adopted to be effective January 1, 1976; amended to be effective November 6, 1977, 2 TexReg 4100; amended lo be effective March 19, 1981, 6 TexReg 830.

§91.58, Certification. Immediately following the text on the last page of all documents, the certification information shall be typed. (1) The certification for proposed sections shall include: (A) a statement containing the wording "This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's authority to adopt."; and (B) the information listed in paragraph (3) ofthis section. (2) The certification for adopted sections shall include: (A) a statement containing the wording "This agency hereby certifies that the section as adopted has been reviewed by legal counsel and found to be a valid exercise ofthe agenc>''s legal authority."; and (B) the information listed in paragraph (3) ofthis section. (3) The certification for all documents except open meetings shall include the city in which the document is signed, the date of signing, the signature ofthe certifying official, the typed name and title ofthe certifying official, and the typed name ofthe agency. A signature stamp or other facsimile may be used for certification in place of an original signature. Authority: The provisions ofthis §91.58 issued under Acts 1975.64th Leg., p. 136, ch. 61, effective January' I, 1976. as amended (Texas Civ. St. art. 6252-13a, §8(b)). Source; The provisionsof this §91.58 adopted lo be effective January 1,1976; amended tobeeffective March 4, 1982, 7 TexReg 693. Cross References: This seaion cited in 1 T.AC§91.26 (relating to Procedure for Filing Proposals);and 1 TAC§91.27 (relating to Procedure for Filing Adoptions).

§91.59. Photoslicks. (a) A map, an illustration, or tabular material submitted for fiUng and publication shall be prepared by the issuing agency on a "photoslick" for inclusion in the Register. .A photoslick shall be prepared according to the following requirements. (1) The area of text on a photoslick shall not exceed 9'/: inches by 6% inches.

Revision Nos. 2, 3 & 4 222 Copyright C 1986 State ofTexas and Han Information Systems, Inc. Ch. 91 TEXAS REGISTER 1 § 91.72.

(2) The text of a photoslick shall conform to the type requirements set forth in §91.51 of tius titie (relating to Paper Size and Form). (3) Two photocopies of the photoslick shall accompany each submission package, In addition to the photoslick itself (b) A photoslick which is of poor or marginal quality will not be pubUshed. A slick of poor or marginal quality will be returned to the issuing agency. (c) A photoslick submitted for pubUcation shall accompany the submission package and shaU be subject to the deadUne requirements contained in §91.113 of this title (relating to DeadUnes). Sonrce: The provisions of this §91.59 adopted to be effective March 19, 1981, 6 TexReg 830; amended lo be effective February 3, 1983, 8 TexReg 279.

CLASSIFICATION SYSTEMS Authority: The provisions of these §§91.71-91.75 issued under Acts 1975, 64ih Leg., p. 136, ch. 61, effective January 1, 1976,83 amended (Texas Civ. St. art. 6252-13a); and Acls 1977, 65th Leg., p. 1703, ch. 678, effective August 29, 1977 (Texas Qv. SL art 6252-13b), unless otherwise noted.

§91.71. Oassification Terms. When classifying agency rules or sections, the following terms shall have the following meanings: (1) "Title" shall identify the specific classification of subject matter under which an agency has been grouped by the Texas Register Division, according to the Code title system. The title subject matter shall be preceded by the appropriate Arabic numeral designation. (2) "Part" shall identify the individual agency under the title subject mailer, according to the Code part system. The part name shall be preceded by the appropriate Roman numeral designation assigned by the Texas Register Division. (3) "Chapter of rules or sections" shall identify: (A) a group of rules or sections which is related to the same general subject; (B) a group of rules or sections which depends on a common set of definitions; or (C) a group of rules or sections which is independent of another chapter in meaning or cfTecL (4) "Subchapter of rules or sections" shall identify- a group of rules or sections related to the same general subject within a chapter. (A) The division of a chapter of rules or sections into subchapters is optional. (B) An agency's rules which have been codified and published in the Code shall use a subchapter classification only if the subchapter is designated with a specific upper-cased letter. (5) "Undesignated head" shall identify' a group of sections related to a specific subject within a chapter or subchapter. An "undesignated head" shall be assigned only when classifying sections under the Texas Administrative Code (TAC) numbering scheme. (6) "Rule" or "section:" (A) "Rule" shaU identify a specific agency statement which has not been codified and published in the Code. The term "rule" shall be retained when used in a quote or in an ambiguous phrase (i.e.: docs not refer to a particular rule, but rather to laws or regulations in general). (B) "Section" shall identify a specific agency siatement which has been codified and published in the Code. Source: The provisions of this §91.71 adopied to be effeciive Januar>- 1, 1976; amended lo be effective February 3, 1983, 8 TexReg 279.

§91.72. Niunbering Schemes. (a) Register Each rule submitted for filing under the Register numbering scheme shall be identified by a unique KMigit code number, divided by decimal points into four units, as follows; (1) A three-digit number, assigned by the Texas Register Division, Office ofthe Secretary of State, identifying the agency submitting the rule. (2) A two-digit number, assigned by the agency, identifying the chapter of rules to which the individual rule belongs. (3) A two-digit number, assigned by the agency, identifying the subchapter of rules, if any, lo which the individual rule belongs. The subchapter unit of the code number shall be designated ".00" if the chapter of rules is nol divided into subchapters. (4) A three-digit number, assigned by the agenc>', identifying the individual rule. (b) TAC. During the conversion period from Register to TAC numbering scheme, both the new TAC number and Register lO-digit number will be pubUshed. During the conversion period, as agency rules are codified and published in the Code, an agency may submit its rules according to the new TAC scheme as follows.

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(1) identification. Each section under the TAC numbering scheme shall be identified by a code number, divided by a decimal point into two units, as follows: (A) A specific number, assigned by the Texas Register Division, Office of the Secretary of Stale, or by the agenc>', identifying the chapter in which the individual section is contained. (B) A specific number, assigned by the Texas Register E>ivision, Office of the Secretary of State, or by the agency, identily'ing the individual section. (2) Gapping. To allow for future expansion under the TAC numbering scheme, gapping is used for all components identified by .Arabic numbers. Chapters shall be gapped by one within parts. Thus, only odd numbers shall be used for chapters on initial publication. The beginning chapter of each part shall end in the number "1." The beginning section within a chapter, subchapter, or undesignated head shall begin with the number " 1 *' following the chapter designation. If the chapter, subchapter, or undesignated head contains more than five sections, a minimum of "10" shall be left before the first section designation ofthe next chapter, subchapter, or undesignated head. If it is anticipated that additional sections will be added to the chapter, subchapter, or undesignated head, additional space shall be left before the first section designation of the next chapter, subchapter, or undesignated head.

Authority: The provisions ofthis §91.72 issued under Acls 1977. 65lh Leg., p. 1703, ch. 678, effeciive .August 29, 1977 (Texas Civ. St. arL 6252-13b). Source: The provisions ofthis §91.72 adopted to be effective January 1, 1976; amended lo be effective November 6, 1977, 2 TexReg 4101; amended to be effective March 19, 1981, 6 TexReg 830; amended to be effeciive May 29. 1981, 6 TexReg 1773.

§91.73. Structure; Terminology. (a) An agency shall subdivide a rule or section according to the following structure, in the order shown, subject to the provisions of subsections (b), (c), and (e) ofthis section. The appropriate terminology shall be used in all preambles to rule action and in the text of all rule action. (1) A "subsection" shall be designated by a lower-cased letter ofthe alphabet (e.g.: (a), (b), etc.). (2) A "paragraph" shall be designated by an Arabic numeral {e.g.: (1), (2), etc.). (3) A "subparagraph" shall be designated by an upper-cased letter ofthe alphabet {e.g.: (A), (B), etc.). (4) A "clause" shall be designated by a lower-cased Roman numeral {e.g.: (i), (ii), etc.). (5) A "subclause" shall be designated by a Roman numeral {e.g.: (I), (II), etc.). (b) An agency shaU not designate a subsection if it is the only subsection in the rule or section. This poUcy shall apply to all subdivisions, as set forth in subsection (a) (l)-(5) ofthis section. (c) "ImpUed (a) ;" The term "implied (a) " shall identify' any undesignated text which immediately foUows a rtile or section title and precedes the first designated subdivision ofthe rule or section. According to the "implied (a)" policy, the first designated subdivision shall be at the "paragraph" level. (d) "(No change.):" (1) The term "(No change.) " means that neither a change, deletion, nor addition of wording is made to a subdivision of an existing rule, nor to the formal of an existing rule structure. When "no change" occurs in the language or structure of a rule subdivision, the subdivision may be designated as "(No change.)." The text of a subdivision designated as "(No change.) " need nol be submitted, subject to the provisions of par^raph (2) of this subsection. (2) When the text of a subdivision is amended, the agency shall include the text of the preceding higher-level subdivision. Although the higher-level subdivision may not have any changes itself, its publication is necessar>' for clarification. For example, if paragraph (2) of subsection (a) is amended, the entire text of subsection (a) must be included in the submission. Paragraph (1) ofthe subsection may be designated as "(No change.) " if there are no changes in the paragraph. (e) Formatting definitions: This subsection shall apply to all agencies whose rules have been codified and pubUshed in the Code. Definitions of specific terms shall be formatted in an alphabetical Usting and shall not be structured according to subsection (a) (l)-(5) ofthis section. The alphabetical listing shall be preceded by the sentence "The following words and terms, when used in this (part, chapter, subchapler, section), shall have the following meanings, unless the context clearly indicates otherwise:". Verbs like "is," "means," etc., shall be omitted. When adding, amending, and/or deleting definitions, only the definition or definitions to be added, amended, and/or deleted shall be submitted. Subsections (c) and (d) ofthis section shall not apply to formatting of definitions.

Authority: The provisions ofthis §91.73 issued under Acts 1977, 65th Leg., p. 1703, ch. 678, effective August 29, 1977 (Texas Civ. St. arL6252-13b). Source: The provisions ofthis §91.73 adopied lo be effeciive March 19, 1981, 6 TexReg 830; amended to be effeciive May 29. 1981, 6 TexReg 1773.

§91.74. Rule or Section Titles. (a) Each chapter, each subchapter, each undesignated head, and each rule or section of each submission of rule action shall be titied.

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(b) The titie shall reflect the subject matter ofthe chapter, subchapter, undesignated head, or individual rule or section. Source: The provisions ofthis §91.74 adopted lo be effective January 1, 1976; amended id be effeciive November 6, 1977, 2 TexReg 4100; amended to he effeciive March 19, 1981, 6 TexReg 830.

§91.75. Identification. (a) The Register code number, and TAC code number, if applicable, of a proposed rule or section shall be used to identify the rule or section as adopted. (b) The Register code number, and TAC code number, if applicable, of a rule or section adopted on an emergency basis shall be used to identify the rule or section if it is proposed or adopted on a nonemergency basis. (c) The amendment or repeal of a rule or section shaU be identified by the Register code number, and TAC code number, if applicable, ofthe affected rule or section. (d) The Register code number, and TAC code number, if applicable, of a proposed rule or section which is not adopted or is withdrawn may be used to identify another rule or section. (e) According to the Register numbering scheme, the code number of a repealed section shall not be used to identify another section. According to the TAC numbering scheme, the code number of a repealed section may be used to identify another section. Source: The provisions of this §91.75 adopted to be effective January 1, 1976; amended to be effective November 6, 1977,2 TexReg 4100; amended to be effeciive March 19, 1981, 6 TexReg 830.

SUBMISSION FORMS Authority: The provisionsof these §§91.91-91.97 issued under Acls 1967, 60th Leg., p. 597, ch. 271, effective May 23, 1967, as amended (Texas Civ.St art. 6252-17); Acts 1975, 64th Leg., p. 136, ch. 61, effective January 1, 1976. as amended (TexasCiv. SL an. 6252-13a); and Acts 1977, 65lh L^., p. 1703, ch. 678, effective August 29, 1977 (Texas Civ. SL art. 6252-13b), unless otherwise noted.

§91.91. Use of Submission Forms, (a) Each copy of each document subm • tanied by the appropriate submission form, as revised December 1983 (Forms TR-2, TR-3, . . s adopied December 1983 (Form TR-6). These forms are adopied by reference and blank sample copies of each may be obtained by each agency, as specified in §91.97 ofthis title (relating to Reproduction of Forms), in the Texas Register Office, Room 503 E, Sam Houston Building, 201 East 14th Street, Austin, Texas 78701. (b) Each submission form shall be completed by the agency before submission, according to the instructions set forth in this section and in §91.93 ofthis title (relating lo Form for Rule Action), §91.94 ofthis tide (relating lo Form for Notice of Open Meeting), §91.95 ofthis titie (relating to Form for MisceUaneous Document), §91.96 of this title (relating to Form for Governor, Attorney General Secretary of State, and State Ethics Advisory Commission), §91.97 ofthis title (relating to Reproduction of Forms), and §91.98 ofthis title (relating to Form for Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L), and according to the instructions set forth on the reverse side of the appropriate submission form. (c) All information, except signatures, shall be typewritten. (d) The submission form shall be stapled to the front of each copy of each document submitted. Authority: The provisions ofthis §91.91 issued under Acts 1967, 60th Leg., p. 597, ch. 271, effeciive May 23, 1967. as amended (Texas Civ. SL art. 6252-17); and Acts 1975, 64ih Leg., p. 136. ch. 61, effeciive January 1, 1976, as amended (Texas Civ. SL art. 6252-13a). Source: The provisions of this §91.91 adopied to be effective Januarv 1, 1976; amended to be effective March 19, 1981, 6 TexReg 830; amended to be effeaive July 6, 1981. 6 TexReg 2221; amended to be effeciive April 20, 1984, 9 TexReg 1946.

§91.92. [RESERVED]

§91.93. Form for Rule Action. (a) Form TR-2, Submission Form—Rule Action, shall be used for submitting emergency, proposed, or final action on rules. (b) Form TR-2 shall be completed according to the following instructions. (1) Enter the transmittal dale. (2) Enter the Arabic numeral and complete title designation under which the agency has been classified according to the Code titie system. (3) Enter the Roman numeral which the ^ency has been assigned according to the Code part system and enter the complete agency name.

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(4) If the agency's rules have been codified and published in the Code, enter Ihe numerical designation for the chapter of rules and enter the complete name ofthe chapter. If the agency's rules have nol been codified and published in the Code, enter the complete name ofthe chapter. (5) If the agency's rules have been codified and published in the Code and a letter designation and subchapter have been designated, enter the letter designation for the subchapter of rules and enter the complete name of the subchapter. If the agency's rules have not been codified and pubhshed in the Code, enter the complete name of the subchapter, if a subchapter has been designated. (6) If the j^ency's rules have been codified and published in the Code and a letter designation has nol been assigned lo the name ofthe subchapter, enter the complete name ofthe undesignated head. (7) If the agency's rules have been codified and published in the Code, enter the TAC section number(s) affected by the action being taken. (8) If the agency's rules have been codified and published in the Code, enter the corresponding Register rule number(s) affected by the action being taken. If the agency's rules have nol been codified and pubUshed in the Code, enter the Register rule number(s) affected by the action being taken. (9) Emergency action: (A) Enter whether the emergency action is an original filing or whether it is a renewal of effectiveness. If the period of effectiveness is renewed, enter the Texas Register Ehvision docket number assigned to the original filing and enter the volume and beginning page number ofthe Register where the original action was pubhshed. (B) Enter whether the emergency action is new, an amendment, a repeal, or an adoption by reference. (C) Enter the number of days the emergency action is in effect and whether the emergency action is effeciive immediately on filing with the Texas Register Division or on another date (specify')- (10) Proposed action: (A) Enter the Texas Register Division docket number or numbers assigned the last time adopted action was taken on the submission. (B) Enter whether the proposed action is new, an amendment, a repeal, or an adoption by reference. (C) Enter whether identical emergency action is filed for simultaneous pubUcation with the proposed action. (D) Enter whether the proposed date of adoption is 30 days after publication in the Register or on another dale (specify). (11) Final action: (A) Enter the Texas Register Division docket number assigned to the proposed action on the submission and enter the date ofthe Register in which the proposed action was pubhshed. (B) Enter whether the final action is new, an amendment, a repeal, or an adoption by reference. (C) Enter whether the final action taken is with or without changes to the proposed action. (D) Enter whether the emergency effectiveness and/or proposed action is withdrawn. (E) Enter whether the effeciive date is 20 days afler fifing the final action with the Texas Register Division or on another date (specify). (12) Enter the verification information. Verification shall include the telephone number ofthe liaison; name, titie, and signature ofthe fiaison; and date of verification. (13) Theagency may requestanacknowledgmentofreceipt by the Texas Register Division, Office ofthe Secretary of State, in the blanks provided on Form TR-2. Aathority: Theprovisionsof this §91.93 issued under Acts 1967. 60th Leg., p. 597. ch. 271, effeciive May 23, 1967, as amended (Texas Civ. SL art. 6252-17); and Acls 1975,64th Leg., p. 136, ch. 61, effective January I, 1976, as amended (Texas Civ. SL art. 6252-13a). Sonrce: The provisions ofthis §91.93 adopied to be effective January I, 1976; amended lo be effective November 6, 1977, 2 TexR^ 4102; amended to be effective March 19, 1981. 6 TexReg 830; amended to be eflfeclive July 6, 1981, 6 TexReg 2221. Cross References: This section cited in 1 TAC §91.24 (relating lo Procedure for Filing Withdrawals); and 1 T.AC §91.9! (relating to Use of Submission Forms).

§91,94. Form for Notice of Open Meeting. (a) Notice of an open meeting shall be submitted on two copies of Form TR-3, Submission Form—Notice of Open Meeting, and on one three-inch by five-inch index card. (b) Form TR-3 shall be completed according to the following instructions. (1) Enter the three-digit agency code number assigned by the Texas Register Division to the agency. (2) Enter whether the notice is for an emergency meeting, a revision of the original agenda on a nonemergency basis, an emergency revision ofthe original agenda, or a meeting rescheduled for a new day/dale, time, and/or location. If rescheduled, enter schedufing of original meeting and Register chation. The reason for an emergenc>' meeting or an emergency revision of the original agenda shall be entered in the space provided on the submission form. No indication is necessary if the meeting is a regular meeting ofthe agency and does not fall under any of the categories named in this paragraph.

Revision Nos. 2, 3 & 4 226 Copynghte 1986 State of Texas and Hart information systems, /nr. Ch. 91 TEXAS REGISTER 1 § 91.95.

(3) Enter the complete name ofthe agency issuing the notice, including any other applicable unit ofthe agency. (4) Enter the day, date, and time ofthe meeting. (5) Enter the location ofthe meeting. (6) Enter whether the agenda to be typed on the submission form is a complete agenda or a summarized agenda and enter the complete or summarized agenda in the space provided on the submission form. (7) Enter the name, address, and telephone number of the person in the agency responsible for providing information concerning the meeting. (8) Enter the certification information. Certification shall include the name, title, and signature of the certifying official, the date of certification, and the signature ofthe agency fiaison, if different from certifying official. (9) The agency may request an acknowledgment of receipt by the Texas Register Division, Office ofthe Secretary of Stale, in the blanks provided on Form TR-3. (c) The index card shall be typed according to the following instructions. (1) Enter whether the notice is for a meeting, an emergency meeting, a revision or an emergency revision ofthe original agenda, or a meeting rescheduled for a new day/date, time, and/or location. If rescheduled, enter scheduling of original meeting. (2) Enter the complete name ofthe agency issuing the notice, including any other appUcable unit ofthe agency. (3) Enter the day, date, and time ofthe meeting. (4) Enter the location ofthe meeting. (5) Enter the agenda of the meeting. If there is inadequate space on the index card, the agency shall attach a complete agenda of standard paper size to the card and indicate on the card that the agenda is attached. No summary shall be required on the card if a complete agenda is attached. (6) If the meeting is designated as an emergency meeting or if the original agenda is revised on an emergency basis, the agency shall state in writing on the card the reason for the emergency. (7) Enter the certification information. Certification shall include the name, tide, and signature of the certifying official and date of certification. (d) Each Form TR-3 and each index card shall be stapled to the front of attachments, if any.

Authority: The provisions of this §91.94 issued under AcU 1967, 60lh Leg., p. 597, ch. 271, effective May 23,1967, as amended (TexasCiv. St. art. 6252-17); and Acls 1975, 64th Leg., p. 136, ch. 61, effeciive January 1, 1976, as amended (Texas Civ. Sl. arL 62 52-13a).

Sonrce: The provisions of this §91.94 adopied lo be effective January 1, 1976; amended to be effective November 6, 1977, 2 TexReg 4102; amended to be effective March 19, 1981, 6 TexReg 830; amended to beeffeciive July 6, 1981, 6 TexReg 2221.

Cross References: This section cited in 1 TAC §91.28 (relating to Procedure for Fihng Notice of Open Meeting): and 1 TAC §91.91 (relating lo Use of Submission Forms).

§91.95. Form for Miscellaneous Document. (a) Form TR-4, Submission Form—Miscellaneous Document, shall be used lo submit all documents other than rule actions; notices of open meetings; appointments; executive orders, and proclamations ofthe governor ofTexas; and summaries of requests for opinions, opinions, and open records decisions ofthe attorney general ofTexas; summaries of election law opinions, requests for lobby law opinions and lobby law opinions ofthe Texas secretary of slate; and summaries of opinions ofthe State Ethics Advisory Commission. (b) Form TR-4 shall be completed according to the following instructions. (1) Enter the complete name ofthe agency submitting the document. (2) Enter the three-digit agency code number assigned by the Texas Register to the agency. (3) Enterthe title ofthe document. . (4) Enter the transmittal date. (5) Enter the verification information. Verification shall include the telephone number of the liaison; the name, titie, and signature ofthe liaison; and date of verification. (6) The agency may request an acknowledgment of receipt by the Texas Register, Office ofthe Secretary of State, in the blanks provided on Form TR-4.

Sonrce: The provisions of this §91.95 adopied to be effective January 1,1976; amended to be effective .April 20, 1984, 9 TexReg 1946. Cross References: This section cited in 1 TAC §91.32 (relating to Procedure for Filing Notice of Application to Acquire State Bank Securities); 1 TAC §91.33 (relating to Procedure for FiUng Notice Related to ihe Use of Private Consultant Services); 1 TAC §91.34 (relating to Procedure for Filing Notice of Interest Rate); 1 TAC §91.37 (relating lo Procedure for Filing Notice of Public Hearing under the Insurance Code, Article 5.96 and Article 5.97); and 1 TAC §91.91 (relating to Use of Submission Forms).

Revision Nos. 2, 3 & 4 227 1 §91.96. OFHCE OF THE SECRETARY OF STATE Pt. IV

§91.96. Form for Governor, Attorney General, Secretary of State, and State Ethics Advisory Commission. (a) Form TR-5, Submission Form—Governor, Attorney General, Secretary of Stale, and State Ethics Advisory Commission shall be used to submit appointments, executive orders, and proclamations ofthe governor ofTexas; summaries of requests for opinions, opinions, and open records decisions ofthe attorney general ofTexas; summaries of election law opinions, requests for lobby law opinions, and lobby law opinions ofthe Texas secretary of state; and summaries of opinions ofthe State Ethics Advisory Commission. (b) Form TR-5 shall be completed according to the following instructions. (1) Enter the complete name of the agency submitting the document. (2) Enter the three-digit agency code number assigned by the Texas Register to the agency. (3) Enter the titie ofthe document submitted. (4) Enter the transmittal date. (5) Enter the verification information. Verification shall include the telephone number ofthe liaison; name, title, and signature ofthe liaison; and date of verification. (6) The agency may request an acknowledgment of receipt by the Texas Register, Office ofthe Secretary of Slate, in the blanks provided on Form TR-5. Sonrce: The provisions of this §91.96 adopied lo be effective January 1, 1976; amended lo be effective April 20,1984, 9 TexReg 1946. Cross References: This section cited in 1 TAC§91.29 (relating to Procedure for Filing Actionsof the Governor); 1 TAC §91.30 (relating to Procedure for Filing Actions ofthe Attorney General); I TAC §91.38 (relating to Procedure for Filing Actions ofthe Secretary of State); 1 TAC §91.39 (relating to Procedure for Filing Actions of the State Ethics Advisory Commission); and 1 TAC §91.91 (relating to Use of Submis

§91.97. ReprodnctioQ of Forms. (a) Each agency shall produce each submission form fi-om blank sample copies provided by the Texas Register, Office of the Secretary of State. (b) The format for Texas Register submission forms (TR-2, TR-3, TR-4, TR-5, and TR-6) shall not be altered by sute agencies without the permission ofthe director ofthe Texas Register. Soorce: The provisions ofthis §91.97 adopted to be eflfeclive January 1, 1976; amended lo be effective March 19, 1981, 6 TexReg 830; amended to be effective April 20, 1984, 9 TexReg 1946. Cross References: This section cited in 1 TAC §91.91 (relating to Use of Submission Forms).

§91.98. Form for Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L. (a) Actions taken by the Stale Board of Insurance pursuant to the Insurance Code, Chapter 5, Subchapler L, shall be submitted on two copies of Form TR-6, Submission Form—Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L. The Texas Register, Office of the Secretary of State, adopts by reference the proposed Form TR-6, Submission Form—Notification Pursuant to the Insurance Code, Chapter 5, Subchapter L, which shall be used when submitting action. Copies ofthis form may be obtained from the Office ofthe Secretary of State, Texas Register, P.O. Box 13824, Austin, Texas 78711. (b) Form TR-6 shall be completed according to the following instruction. (1) Enter the complete name of the agency submitting the document. (2) Enter the three-digit agency code number assigned by the Texas Register to the agency. (3) Enter the titie of the document. (4) Enter the iransmitul date. (5) Emergency action. (A) Enter whether the emergency action is an original filing or whether it is a renewal of effectiveness. If the period of effectiveness is renewed, enter the Texas Register docket number assigned to the original fifing and enter the volume and beginning page number ofthe Register where the original action was published. (B) Enter the number of days the emergency action is to be in effect and on what date it is to become effective. (6) Final action. Enter whether the effective date is 15 days afler publication in the Texas Register or on another (specify) dale. (7) Enter the verification information. Verification shall include the telephone number of the liaison; the name, titie, and signature ofthe liaison; and date of verification. (8) The agency may request an acknowledgment of receipt by the Texas Register, Oftice ofthe Secretary of Stale, in the blanks provided on Form TR-6. Source: The provisions of this §91.98 adopted to be effective April 20, 1984, 9 TexReg 1945. Cross References: This section cited in 1 TAC §91.91 (relating to Use of Submission Forms).

Revision Nos. 2, 3 & 4 228 copyright ei 1986 State of Texas and Han information systems, Inc Ch. 91 TEXAS REGISTER

PUBLICATION SCHEDULE

g91.111. Days of Publication. The Texas Register shall be published twice weekly 48 weeks during each calendar year, and once weekly four weeks during each calendar year, including indexes. Days of publication shall be Tuesday and Friday.

Sou- The provisions of this 491.1 11 adopted to be effective January 1, 1976: amended to be effdveNovember 6. 1977, 2 TexReg 4103.

891.1 12. Indexes.

(a) Quarterly indexes shall be published for the Register. (b) , A cumulative index shall be published annually, which shall include the fourth quarterly index. So-: The provisions of this 991.1 12 adopted to be dfective January I. 1976; amended to be &rive November 6, 1977, 2 TexRcg 4103.

591.1 13. Deadlines.

(a) For a Tuesday edition, all copy except notices of open meetings shall be received by 10 a.m. the previous Wednesday. All notices of open meetings shall be received by 10 a.m. Ihe previous Thmday. (b) For a Friday edition, aU copy except notices of open meetings shall be received by 10 am. the previous Monday. All notices of open meetings shall be received by 10 a.m. the previous Tuesday. (c) Agencies shall be notified in advance of any changes that may occur in the publication schedule and deadlines for submission of documents by notice published in the Register.

SO= The provisions of this 991.1 13 adopted to k effective January 1. 1976; mended to be &rive Awst 26. 1980. 5 TexReg 3 124. Cross Rcfrrra~o~:This seen ci* in I TPIC 591.29 (relating to Prdurc for Filing Actions of the Gomnor); I TAC 991.30 (relating to Procedure: for Ftl~ngActlons of he Artorney General); I TAC 991.32 (relating to Roarlure for Filing Noh= of Application to Acquire Slate Bank Sccuri!ia): I TAC 991.33 (relating to Rocedure for Fding Notia Related to the Use of Rivate Consulmnt Services); 1 TAC §91.34 (rrlallng to Proadure for Filing Notice of Intern! Raw); I TAC 591.35 (relaling to Pracedurc for Filing Notice of Rstc Ceil~ng);I TAC 491.36 (rclatmg lo Rdurcfor Filing Notice of Adoption under the Iasunmcc Code, anic 5.96 and article 5.97); 1 TAC 591.37 (relating lo Procedure for Filing Notice of Public Hearing under the Insur Code. a,rticle 5.96 and article 5.97): 1 TAC 591.38 (relating to Rocedure for Filing Actions of the Secretrry of StaPE 1 TAC 691.39 (relatlng to Prdurc for Filing Actions of the Slate Ethics Advisory Comrnisssion); and 1 TAC 891.59 (relating to Photoslicks).

SUBSCRIPTIONS, INDIVIDUAL COPIES, AND REPRlNTS

991.121. Subscriptions.

(a) Annual subscriptiods to the Register (IOU issues) may be obtained at the price of $80. (b) Six-month subscriptions to the Register (50 issues) may be obtained at the &ce of $60. Sonre The provisions of this 591.121 adopted lo be effective January 1. 197L; amended to be effective September 7, 1979. 4 TexReg 3014; amended to be effecnive October 6. 1981,6 TcxReg 3537: amended to be eftective September 1. 1984.9 TcxRq 4412.

991.122. Individnnl Copies. Individual copies of the Register, if available, shall be sold for $3.00 each.

Source: The provisians of this §91.122 adopted to be effertive January I. 1976; amended to be effktive September 7, 1979,4 TexReg 3014; amended to be effective October 6. 1981.6 Tel;Rg 3537; amended to be eff'vcSeptember I, 1984. 9 TexReg 4412.

991.123. [RESERVED]

591.124. Copies of Dmments. a It shall be the responsibility of the issuing agency to provide on request copies of documents filed with lhe Texas Register. Some The provisions of this 991.124 adopted to be effective Jaauary 1. 1976; amended ro be effective September 7. 1979, 4 TexReg 3014; amended to be effattve October 6. 1981,6 TexRcg 3537.

Revision Nor 2, 3 & 4 229 1 §91.124. OFPICE OF THE SECRETARY OF STATE Pt. IV

MISCELLANEOUS PROMSIONS

§91.131. Editing of Documents. (a) All documents submitted for filing and publication in the Register will be edited for grammatical correctness and consistency of language to conform vrith the journalistic style ofthe Register (b) "Editor's notes" will be written and published by the Texas Register Division preceding the text of rule action and other documents nol published, and preceding other documents, as needed, for clarification. Source: The provisions of this §91.131 adopted to be effeciive March 19. 1981, 6 TexReg 830.

§91.132. Form of Citation. (a) The standard citation to material pubfished in the Register shall be composed as follows: volume number followed by "TexReg," followed by number of page on which material begins. For example: 2 TexReg 1346. (b) The standard citation to material published in the Code shall be composed as follows: numerical subject title ofthe Code followed by "TAC," followed by numerical chapter designation and individual section number. The chapter designation and section number are preceded by the symbol "§." For example: 1 TAC §91.132. Source: The provisions ofthis §91.132 adopted to be effective November 6, 1977, 2 TexReg 4103; amended to be effective March 19, 1981, 6 TexReg 830.

§91.133. Text of Documents Not Published. The Texas Register Division will not include for publication in the Register the text of Ihe following documents submitted for fifing: (1) emergency, propwsed, or final repeal action; (2) renewal of effectiveness of emergency rule action; (3) proposed rule action when identical emergency action is published simultaneously; (4) emergenc>' or proposed rule action which has been withdrawn from further effectiveness or consideration, respectively; (5) final rule action adopted with no changes fi'om the text as proposed and pubUshed; and (6) other documents as provided under Texas Civil Statutes article 6252-13a, §6(c). Soture: The provisions of this §91.133 adopted to be effective March 19, 1981, 6 TexReg 830.

§91.134. Serialization of Documents To Be Published. If necessary, the Texas Register Division will serialize documents submitted for filing and publication in order to process lengthy submissions, and in order to meet production and printing deadlines for the Register. Seriafizations will be published in consecutive regular issues ofthe Register. Source: The provisions of this §91.134 adopted to be effective March 19, 1981, 6 TexReg 830.

§91.135. Form for Correction of Error. (a) When an agency finds an error in the published text of a document, the issiung agency shall notify the director ofthe Texas Register Division in writing within seven days ofthe dale ofthe issue in which the error occurred requesting a correction of error. (b) The written notification shall include the following information: (1) the name ofthe agency involved; (2) the specific section ofthe Register where the error occurred (i.e.: Proposed Rules, Open Meetings, etc.); (3) the date ofthe issue in which the error occurred and the Register citation; and (4) the nature of the error. (c) A correction of erTX)r will be published in the In Addition section ofthe Register. Soorce: The provisionsof this §91.135 adopied lo beeffeciive March 19, 1981, 6 TexReg 830.

Revision Nos. 2, 3 & 4 230 Copyright C I986 Stair (^ Texas and Hart lr\formaiion Systems. Inc. CHAPTER 93. TRADEMARK SECTION: PRACTICE AND PROCEDURE

Section No. Section Name

GENERAL INFORMATION AND CORRESPONDENCE 93.1. All Comrouiucations To Be Addressed to the Secretary of State ofTexas. 93.2. Business To Be Transacted in Writing. 93.3. Business To Be Conducted with E>ecorum and Courtesy. 93.4. Nature of Correspondence, 93.5. Identification of Application for Registration. 93.6. Receipt of Letters and Papers. 93.7. Times for Taking Action; Expiration on Saturday, Sunday, or Holiday. REPRESENTATION 93.41. Applicants May Be Represented by an Attorney. 93.42. Recognition for Representation. 93.43. Correspondence Held with Attorney or Agent. 93.44. Revocation of Power of Attorney or Authorization of Agent

APPLICATION FOR REGISTRATION 93.51. Requirements for Receiving a Filing Date. 93.32. Dale of Receipt. 93.53. Papers Not Returnable. 93.54. Pending AppUcation; Access to Applications.

THE WRITTEN APPLICATION 93.61. Application Musi Be in English. 93.62. Application to Be Signed and Sworn lo by AppUcant. 93.63. Requirements for Application. 93.64. Description of Mark. 93.65. Identification of Prior Registrations. 93.66. Use by Predecessor by Related Companies. 93.67. Proof of Distinctiveness. 93.68. Service Mark.

DRAWING 93.81. Drawing Required. 93.82. Requirements for Drawings. SPECIMENS 93.91. Inclusion in Application. 93.92. Facsimiles. 93.93. Specimens or Facsimiles in the Case of a Service Mark.

CLASSIFICATION 93.101. Classification of Goods and Services. 93.102. Single Application Coverage. 93.103. Combined Applications. EXAMINATION OF AN APPUCATION AND ACTION BY APPUCANTS 93.111. Action by Examiner. 93.112. Period for Response. 93.113. Reexamination. 93.114. Final Action. 93.115. Abandonment. 93.116. Express Abandonment.

AMENDMENTS 93.131. Amendments to AppUcation. 93.132. Amendments to Description or Drawing. 93.133. Form of Amendment. 93.134. Disclaimer by Amendment. Revision Nos. 2, 3 & 4 231 OPnCE OF THE SECRETARY OF STATE Pt. IV

ALLOWANCE 93.141. Registration. 93.142. .Allowance of Application. CERTIFICATE 93.151. Issuance.

TERM AND RENEWAL 93.161. Term of Original Registrations and Renewals. 93.162. Renewal Period. 93.163. Requirements of Application for Renewal. 93.164. Refusal of Renewal.

ASSIGNMENT OF MARKS 93.171. Requirements for Assignments. CANCELLATION OF REGISTRATION 93.181. Voluntary Cancellation. 93.182. Administrative Cancellation. 93.183. Judicial Cancellation. Antfaorrty: The provisions ofthis Chapter 93 issued under the provisions of Texas Civ. St. art. 4331; Acts 1967, 60th Leg., ch. 785, effective September 1, 1967 (Texas Bus. &. C. Code Ch. 16); and Acts 1975, 64th Leg., p. 136, ch. 61, effective Jaauary 1, 1976, as amended (Texas Civ. St. art. 6252-13a), unless otherwise noted.

Revision Nos. 2, 3 & 4 232 Copyright & I9S6 state of Texas and Han information Systems, inc. Ch. 93 TRADEMARK SECTION: PRACTICE AND PROCEDURE 1 § 93.7.

GENERAL INFORMATION AND CORRESPONDENCE

§93.1. All Communlcatioiis To Be Addressed to the Secretary of State ofTexas. All letters and other communications intended for the Trademark Section must be addressed to Secretary of State of Texas, Trademark Section, Austin, Texas 78711. When appropriate, a letter may be marked for the attention of a particular examiner or clerk. Sonrce: The provisions of this §93.1 adopied to be effective January 1, 1976.

§93.2. Business To Be Transacted in Writing. All business with the secretary of state should be transacted in writing. The personal attendance of appUcants or their attorneys or agents at the offices ofthe secretary of stale is unnecessary. The action ofthe secretary of state wiU be based exclusively on the written record in the office. No attention will be paid to any alleged oral pronuse, stipulation, or understanding in relation to which there is disagreement or doubt.

Source: The provisions of this §93.2 adopted to be effective January 1, 1976.

§93.3. Business To Be Conducted with Decorum and Courtesy. Appficants and their attorneys or agents are required to conduct their business with the secretary of slate with decorum and courtesy. Papers presented in violation ofthis requirement will be submitted to the general counsel and will be relumed by his direct order. Complaints against examiners and other employees must be made in commuiucations separate fi^jra other papers.

Source; The provisions ofthis §93.3 adopted to be effective January 1, 1976.

§93.4. Nature of Correspondence. (a) Correspondence with the secretary of state comprises: (1) correspondence relating lo services and facifities of the office, such as general inquiries, requests for publications supplied by the office, orders for printed copies of trademark registrations, orders for copies of records, transmission of assignments for recording, and the like; and (2) correspondence in and relating to a particular apphcation or other proceeding in the office. (b) Since each application file should be complete in itself, a separate copy of every paper to be filed in an appUcation should be furnished for each application to which the paper pertains, even though the contents ofthe papers filed in two or more applications may be identical.

Soorce: The provisions of this §93.4 adoptnJ to be effective Januar>' 1, 1976.

§93.5. Identification of Application for Registration. A letter relating lo a trademark application should identify it as such and by the name of the applicant and the mark. A letter relating to a registered trademark should identify it by the name ofthe registrant and by the registration number and date of the cenificate. Source: The provisions of this §93.5 adopted to be effective January 1, 1976.

§93.6. Receipt of Letters and Papers. Letters and other papers received in the secretary of state's office are stamped with the date of receipt. No papers are received in the Office of the Secretary of State offices on Saturdays, Sundays, or legal holidays.

Source: The provisions of this §93.6 adopied to be effective January 1, 1976.

§93.7. Times for Taking Action; Expiration on Satiu'day, Sunday, or Holiday. Whenever periods or time are specified in these sections in days, calendar days are intended. When the day, or the last day, fixed by statute or by or under these sections for taking any action or paying any fee in the Office ofthe Secretary of State falls on Saturday, Sunday, or on a legal holiday, the action may be taken, or the fee paid, on the next succeeding day which is not a Saturday, Sunday, or a legal holiday.

Source: The provisions ofthis §93.7 adopted to be effeciive January 1, 1976. Revision Nos. 2, 3 & 4 233 OFFICE OF THE SECRETARY OF STATE

REPRESENTATION

893.41. Applicants May Be Represented by m Attorney. The owner of a trademark may file his own application for registration of such trademark, or he may be represented by an attorney. The Ofice of the Secretary of State cannot aid in the selection of an attorney. Source: The provisions of this 593.41 adopud to be effccrivt January 1. 1976.

893.42. Recognition for Representation. When an attorney at law acting in a representative capacity appears in person or signs a paper in practice before the secretary of state in a trademark matter, his personal appearance or signature shall constitute a representation to the secretary of state that under heprovisions of these sections and the law he is authorized and qualified to represent the particular party in whose behalf he acts. Funher proof of authority to act in a representative capacity may be required. Some: The provisions of this 493.42 adopted to be effective January 1. 1976. g93.43. Correspondence Held with Attorney or Agent. Correspondence will be held with the attorney at law, or other recognized person, representing the applicant or pmty to a proceeding. Double correspondence will not be undertaken, and if more than one attorney at law appears or more than one agent is authorized, correspondence will be held wib the one last appearing or appointed, as the case may be, unless otherwise requested. Source: The provisions of this 593.43 adopted to be effective January 1, 1976. fi93.44. Revocation of Power of Attorney or Authorization of Agent. Authority to represent an applicant or a party to a proceeding may be revoked at any stage in the registration proceedings upon notilication to the secretary of state; and when it is so revoked, the secretary of state will communicate directly with the applicant or pany to the proceeding or with such other qualified person as may be authorized. The Trademark Section will notify the person affited of the revocation of his authorization. e &om: The provisions of this 993.44 adopted to be effective January 1, 1976.

APPLICATION FOR REClSTRATlON

$93.51. Requirements for Receiving a Filing Date. (a) Materials submitted as an application for registration of a mark will not be accorded a filing date until all of the following elements are received: (I) Written application for registration in duplicate, an original, and one copy. (2) A drawing or other identification of the mark sought to be registwed, in duplicate. (3) At least two specimen or facsimile of the mark as actually used. (4) The required filing fee for at least one class of goods or services. (b) Compliance with one or more of the rules relating to the elements specified in subsection (a) of this section may be required before the application is further processed. (c) If the papers are so defective that they cannot be accepted, the applicant will be notified and the papers will be held 60 days. If the requirements for receiving a filing date have not been satisfied within such time, the papers will be disposed of. Aotbority: The provisions of this 993.51 issued under Texas Civ. St. arr 4331; and Am 1967.60th L*g. p. 2343, ch. 785,§l, efeciive September 1. 1967. as amendcd (Texas Bus. & C. Code §§16.0&16.18). Solvee: The provisions of this 993.5 1 adopted to be effective January 1. 1976; amended to be Cffecrivc June 10. 198 I. 6 TexRg 1921,

893.52. Date of Receipt. BXZ*Applications will be given a date of receipt as received, and held pending final determination of the mark's registrability by heexaminer. Cms References: This seaion cited in I TAC 593.54 (relating to Dare of Receipt).

Sowee: f he provisions orthis 593.52 adopted to bt effective January 1, 1976.

Revision Nos. 2, 3 & 4 234 Cop,wighr e 1986 ~raeof~rxus and Hurt fn~~~onSyftrms, Ire. Ch, 93 TRADEMARK SECTION: PRAtmCE AND PROCEDURE 1 § 93.63.

§93.53. Papers Not Returnable. Afier an apphcation is filed the papers will not be returned for any purpose whatever; but the office will furnish copies to the appUcant upon request and payment of the fee. Scarce: The provisions ofthis §93.53 adopted to be effective January 1, 1976.

§93.54. Pending Application; Access to Applications. (a) Once an application is given a date of receipt pursuant to §93.52 ofthis title (relating lo E>ate of Receipt), no other application sub^equentiy received will be filed which is likely to cause confusion or mistake, or to deceive because, when applied to the apphcant's goods or services, it resembles a prior received unabandoned application. The subsequentiy received application will be given a date of receipt, and held F>ending final determination of the registration ofthe prior received application. (b) Copies of pending applications including the name and address ofthe applicant, a reproduction or description ofthe mark, the good$ or services with which the mark is used, the class number, the dales of use, and filing date ofthe application wiU be available for public inspection and copies of the papers may be furnished upon paying the fee therefor. Source: The provisions ofthis §93.54 adopted to be effective January 1, 1976.

THE WRITTEN APPLICATION

§93.61. Application Must Be in English. The application must be in the English language and plainly written on but one side of the paper. It is preferable that the prescribed form by the secretary of state be used. However, the application may be on legal or letter-sized paper typewritten double space, with at least a 1'/; inch margin on the lefi-hand side and top ofthe page. Source: The provisions ofthis §93.61 adopied to be effective January 1, 1976.

§93.62. Application to Be Signed and Sworn to by Applicant. The application must he made to the secretary of state and must be signed and verified (sworn to) by the applicant or his agent or an officer of the corporation or association applying. Source: The provisions ofthis §93.62 adopied to be effective January 1, 1976.

§93.63. Requirements for Application. (a) The applicant shaU include in the application the following: (1) the name and business address of the applicant; (2) the state of incorporation ofthe applicant if the applicant is a corporation; (3) an appointment ofthe secretary of state as the appUcant's agent for service of process only in suits relating to the registration which may be issued if the applicant: (A) is or becomes a; (i) nonresident individual, partnership, or association; or (ii) foreign corporation without a certificate of authority to do business in this state; or (B) cannot be found in this slate. (4) the names or a description ofthe goods or services in connection with which the mark is being used; (5) the manner in which the mark is being used in connection with the goods or services; (6) the class in which the applicant befieves the goods or services belong; (7) the date on which the applicant first used the mark anywhere in connection with goods or services; (8) the date on which the applicant first used the mark in this slate in connection with the goods or services; (9) a statement that the applicant beUeves he is the owner of the mark and that, to the best of his knowledge, no other person is entitled to use the mark in this state: (A) in the identical form used by the applicant; or (B) in a form that is likely, when used in connection with the goods or services, to cause confusion or mistake, or to deceive, because of its resemblance to the mark used by the appUcant.

Soarce: The provisions of this §93.63 adopied to be effeciive January 1, 1976.

Revision Nos. 2, 3 & 4 235 . 1 §93.64. OFnCE OF THE SECRETARY OF STATE Pt. IV

§93.64. Description of Mark. A description ofthe mark, which musi be acceptable to the examiner of trademarks, must be included in the application. If the mark is displayed in color or a color combination, the colors should be described in the appUcation. Source: The provisions ofthis §93.64 adopied to be effective January' K 1976.

§93.65. Identification of Prior Registrations. Prior registrations ofthe same or similar marks owned by the applicant should be identified in the application. Sonrce: The provisions ofthis §93.65 adopted to be effective January 1, 1976.

§93.66. Use by Predecessor by Related Companies. (a) If the date of first use was by a predecessor in title, or by a related company, and such use inures to the benefit ofthe applicant, the date of such fu^l use may be asserted with a statement that such first use was by the predecessor in liUe or by the related company as the case may be. (b) If the mark is nol in fact being used by the applicant but is being used by one or more related companies whose use inures to the benefit ofthe applicant, such facts must be indicated in the application. (c) The office may require such details concerning the nature ofthe relationship and such proofs as may be necessary and appropriate for the purpose of showing that the use by related companies inures to the benefit ofthe applicant and does not affect the validity ofthe mark. Source: The provisions ofthis §93.66 adopted to be effeaive January' 1. 1976.

§93.67. Proof of Distinctiveness. (a) When registration is sought of a mark which would be unregistrable by reason ofTexas Codes .Annotated, Business and Commerce Code, section 16.08(a) (5) (A) (B) and (C) but which is said by appUcant to have become distinctive as applied to the applicant's goods or ser\ices set forth in the appUcation, appUcant may, in support of registrability, submit with the application, or in response to a request for evidence or to a refusal to register, sworn affidavits, depositions, or other appropriate evidence showing duration, extent, and nature of use and advertising expenditures in connection therewith (identifying types of media and attaching typical advertisements), and sworn affidavits, or letters or statements from the trade or public, or both, or other appropriate evidence lending to show that the mark distinguishes such goods or ser\'ices. (b) If pursuant to subsection (a) of this section, the mark is said to have become distinctive of applicant's goods or services by reason of substantially exclusive and continuous use thereof by applicant for the five years next preceding the date on which the applicant filed his appUcation for registration, a showing by way of statements which are verified in the application may, in appropriate cases, be accepted as prima facie evidence of distinctiveness. In each of these situations, however, further evidence may be required. Source: The provisions of this §93.67 adopied lo be effeaive January 1, 1976.

§93.68. Service Mark. In an application to register a service mark, the appUcation shaU specify and contain all the elements required by the preceding sections for trademarks, but shall be modified to relate lo services instead of to goods wherever necessary. Source: The provisions of ihis §93.68 adopied lo be effeaive January 1, 1976.

DRAWING

§93.81. Drawing Required. (a) The drawing ofthe trademark shall be a substantially exact representation thereof as actually used on or in connection with the goods. (b) The drawing of a service mark shall be a substantially exact representation of the mark as used in the sale or advertising ofthe services. The drawing of a service mark may be dispensed with in the case of a mark not capable of representation by a drawing, but in any such case the appUcation must contain an adequate description. (c) If the application is for the registration only of a word, letter or numeral, or any combination thereof, not depicted in special form, the drawing may be the mark typed in capital letters on paper, otherwise complying with the requirements of subsections (a) and (b) ofthis section. Source: The provisions of this §93.81 adopied to be effective January 1. 1976. Cross References: This section cucd in 1 T.AC §93.82 (relating to Requirements for Drawings).

Revision Nos. 2, 3 & 4 236 Copyright C I986.State of Texas and Han information Systems. Inc Ch. 93 TRADEMARK SECTION: PRACTICE AND PROCEDURE 1§ 93.92.

§93.82. Requirements for Drawings. (a) Character of drawing. AU drawings, except as otherwise provided, must be made with the pen or by a process which will give them satisfactory reproduction characteristics. A photolithographic reproduction or printer's proof copy may be used if otherwise suitable. Every Une and letter must be black. This direction applies to all fines, however fine, and to shading. All Unes should be clean, sharp, and solid, and they should not be loo fine or crowded. Surface shading, when used, should be open. The requirements ofthis paragraph are not necessary in the case of drawings permitted and filed in accordance with §93.81(c) ofthis titie (relating lo E>rawing Required). (b) Paper and ink. The drawing should be made upon white paper. The use of while pigment to cover lines is not acceptable. (c) Size ofpape r and margins. The size of the sheet on which a drawing is made should nol be larger than SV: inches wide and 14 inches long. One of the shorter sides of the sheet shoiUdbe regarded as its top. When the figure is longer than the width ofthe sheet, the sheet should be turned on its side with the top at the right. (d) Heading, Across the top ofthe drawing, beginning one inch from the top edge and nol exceeding "A ofthe sheet, there should be placed a heading, listing in separate lines, applicant's name, applicant's post office address, the dates of first use, and the goods or services recited in the application (or typical items ofthe goods or services if a number is recited in the application). This heading may be typewritten. (e) Linings for color. Where color is a feature of a mark, the color or colors employed may be designated by means of conventional finings as shown in the following color chart:

RED or GRAY or BROWN BLUE PINK SILVER

VIOLET or YELLOW or GREEN ORANGE PURPLE GOLD N

Source: The provisions ofthis §93.82 adopted lo be effective Jaauary 1, 1976.

SPECIMENS

§93.91. Inclusion in Application. The appUcation must include two specimens ofthe trademark as acluaUy used on or in connection with the goods in Texas. The specimens shall be the actually used labels, tag, or containers, or the displays associated therewith or portions thereof, when made of suitable flat material and of a size not to exce&j 8'/2 inches wide and 14 inches long. Source: The provisions ofthis §93.91 adopied lo be effeciive January I, 1976. Cross References: This section cited in 1 TAC §93.93 (relating to Specimens or Facsimiles in the Case of a Service Mark).

§93.92. Facsimiles. When, due to the mode of applying or affixing the trademark to the goods, or to the manner of using the mark on the goods, or to the nature of the mark, specimens as above stated cannot be furnished, two copies of a suitable photograph or other acceptable reproduction, not larger than the size sp^ified for the drawing and clearly and legibly showing the mark and all matter used in connection therewith, shall be furnished. Source: The provisions ofthis §93.2 adopted to be effective January I, 1976. Croas References: This section cited in 1 TAC §93.93 (relating to Specimens or Facsimiles in the Case of a Service Mark).

Revision Nos. 2, 3 & 4 237 1 §93.92. OFFICE OF THE SECRETARY OF STATE Pt. IV

1976.

§93.93. Specimens or Facsimiles in the Case of a Service Mark. (a) In the case of ser\'ice marks, specimens or facsimiles as si>ecified in §93.91 of this title (relating to Inclusion in .Application) and §93.92 of ihis title (relating to Facsimiles) of the mark as used in the sale or advertising of the ser\'ices shall be furnished unless impossible because ofthe nature ofthe mark or the manner in which it is used, in which event some other representation acceptable to the examiner must be submitted. (b) In the case of service marks not used in printed or written form, one single face, unbreakable, disc recording will be accepted. The speed at which the recordings are to be played must be specified thereon. If facilities are not available to the applicant to furnish recordings ofthe required t>T)e, the secretary of stale may arrange to have made, upon request, and at applicant's expense, the necessary disc recordings from any type of recording the applicant submits. Souccei The provisionsof this §92.93 adopted tobeeffective Januarv- I, 1976.

CLASSIFICATION

§93.101. Classification of Goods and Services. (a) There is established, for convenience of administration, the classification of goods and services set forth in subsection (b) ofthis section. Such classification shall not limit or extend the applicant's rights. (b) The classes of goods and services are as follows: (1) Chemical products used in industry, science, photography, agriculture, horticulture, forestry; artificial and synthetic resins; plastics in the form of powders, liquids, or pastes, for industrial use; manures (natural and artificial); fire extinguishing compositions; tempering substances and chemical preparations for soldering; chemical substances for preserving foodstuffs; tanning substances; adhesives substances used in industry. (2) Paints, varnishes, lacquers; preservatives against rust and against deterioration of wood; colouring matters, dyestufFs; mordants; natural resins; metal in foil and powder form for painters and decorators. (3) Bleaching preparations and other substances for laundry use; cleaning, pofishing, scouring, and abrasive preparations; soaps; perfumerv', essential oils, cosmetics, hair lotions, and dentifrices. (4) Industrial oils and greases (other than oils and fats and essential oils); lubricants; dust laying and absorbing compositions; fuels (including motor spirit) and illuminants; candles, tapers, night lights, and wicks. (5) pharmaceutical, veterinar>', and sanitary substances; infants' and invalids' foods; plasters material for bandaging; material for slopping teeth, dental wax, disinfectants; preparations for killing weeds and destroying vermin. (6) Unwrought and partly wrought common metals and their alloys; anchors, anvils, bells, rolled and cast building materials; rails and other metallic materials for railway tracks; chains (except driving chains for vehicles); cables and wires (nonelectric); locksmiths' work; metallic pipes and tubes; safes and cash boxes; steel balls; horseshoes; nails and screws; other goods in nonprecious metal not included in other classes; ores. (7) Machines and machine tools; motors (except for land vehicles); machine couplings and belting (except for land vehicles); large size agricultural implements; incubators. (8) Hand tools and instruments; cullerv', forks, and spoons; side arms. (9) Scientific, nautical, surveying, and electrical apparatus and instruments (including wireless), photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; coin or counterfreed apparatus; talking machines; cash registers; calculating machines; fire extinguishers apparatus. (10) Sitrgical, medical, dental, and veterinary instruments and apparatus (including artificial limbs, eyes, and teeth). (11) Installations for lighting, heating, steam generating, cooking, refrigerating, drying, ventilating, water supply, and sanitary purposes. (12) Vehicles; apparatus for locomotion by land, air, or water. (13) Firearms, ammunition, and projectiles; explosive substances; fireworks. (14) precious metals and their alloys and goods in precious metals or coated herewith (except cutier>', forks, and spoons); jewelr>\ precious stones, horological and other chronometric instruments. (15) Musical inslruments (other than talking machines and wireless apparatus). (16) Paper and paper articles, cardboard and cardboard articles; printed matter, newspaper and periodicals, books; bookbinding material; photographs; stationery, adhesive materials (stationery); artists' materials; paint brushes; typewriters and office requisites (other than furniture); instructional teaching material (other than apparatus); playing cards; printers' type and cliches (stereotype). (17) Gulta percha, india rubber, balata and substitutes, articles made from these substances and nol included in other classes; plastics in the form of sheets, blocks, and rods, being for use in manufacture; materials for packing, stopping, or insulating; asbestos, mica, and their products; hose pipes (nonmetallic).

Revision Nos. 2, 3 & 4 238 Copyright C 1986 State of Texas and Han information Systems. Inc. Ch. 93 TRADEMARK SECTION: PRACTICE AND PROCEDURE 1§ 93.101.

(18) Leather and imitations of leather, and articles made fit>m these materials and not included in other classes; skins, hides, trunks, and travelling bags; umbrellas, parasols, and walking sticks; whips, harness, and saddlery. (19) Building materials, natural and artificial stone, cement, lime, mortar, plaster and gravel; pipes of earthenware or cement; road-making materials; asphalt, pitch, and bitumen; portable buildings; stone monuments; chimney pots. (20) Furniture, mirrors, picture frames; articles (not included in other classes) of wood, cork, reeds, cane, wicker, horn, bone, ivor>', whalebone, shell, amber, mother-of-pearl, celluloid, substitutes for all these materials, or of plastics. (21) Small domestic utensils and containers (not of precious metals, or coated therewith); combs and sponges; brushes (other thcin paint brushes); brushmaking materials; instruments and material for cleaning purposes; steel wool; unworked or semi-worked glass (excluding glass useii in building); glassware, porcelain, and earthenware, not included in other classes. (22) Ropes, siring, nets, tents, awnings, tarpaulins, sails, sacks; padding and stuffing materials (hair, kapok, feathers, seaweed, etc.); raw fibrous textile materials. (23) Yams, threads. (24) Tissues (piece goods); bed and table covers; textile articles not included in other classes. (25) Clothing, including boots, shoes, and sfippcrs. (26) Lace and embroidery, ribands and braid; buttons, press buttons, hooks and eyes, pins and needles; artificial flowers. (27) Carpets, rugs, mats, and matting; linoleums and other materials for covering existing floors; wall hangings (nontextile). (28) Games and playthings; gymnastic and sporting articles (except clothing); ornaments and decorations for Christmas trees. (29) Meats, fish, poultry, and game; meal extracts; preserved, dried and cooked fruits and vegetables, jelUes. jams; eggs, milk, and other dairy products; edible oils and fats; preserves, pickles. (30) Coffee, tea, cocoa, sugar, rice, tapioca, sago, coffee substitutes; flour, and preparations made fix>mcereals ; bread, biscuits, cakes, pastry and confectionary, ices; honey, treacle; yeast, baking powder, sah, mustard, pepper, vinegar, sauces, spices, ice. (31) Agricultural, horticultural, and forestry products and grains not included in other classes; fiving animals; fresh, fruits and vegetables; seeds; live plants and flowers; foodstuffs for animals, malt. (32) Beer, ale, and porter; mineral and aerated waters and other non-alcoholic drinks; syrups and other preparations for making beverages. (33) Wines, spirits, and liqueurs. (34) Tobacco, raw or manufactured; smokers articles; matches. (35) .Advertising and business; Advertising agencies; real estate brokerage; accounting; employment agencies; mail, commercial, and newspaper advertising; printing; telephone answering; promotional activities. (36) Insurance and financial: Bond and stock brokerages; real estate management, appraisal and leasing; banking, • credit; pawn brokers, bonding agents, insurance underwriters. (37) Construction and repair Of highways, buildings, or machinery; custom tailoring, dry cleaning and laundry; electrical service; project inspection; interior decoration; tool and equipment maintenance; painting; pest control; jewelry repair; janitorial service; rental of construction equipment. (38) Communication; Closed circuit TV; public address system; radio and television broadcasting; radio paging; telegraph or telephone service; teleprinter communication. (39) Transportation and storage: Messenger service; packing or storing of goods and transport thereof; rental of vehicles; taxicab and transport service; travel agencies. (40) Material treatment: Dyeing; eyeglass grinding; machining and casting, metal plating, soldering; photofinishing; textile fabric finishing; weed control by chemical treatment. (41) Education and entertainment; Collecting historical study material, conducting study courses; piano lessons; dancing lessons; horse shows; ice skating exhibitions; museum displays, lectures, demonstrations; production or performance, or both, of plays, concerts, etc., radio and television programs; rental of books. (42) Miscellaneous; Includes all services not otherwise classified. Retail store services; computer services, programming, time sharing, engineering of hardware; detective agencies; drafting; funeral eslabfishments; hotels, motels, restaurants, catering; laboratory or psychological testing; professional research, planning, development, or consultation; beauticians; photography; charitable otB^nizations; trade associations; utility suppliers. Ser\Mces of renting or inspecting specific goods arc classified according to where the goods are most likely to be in use, e.g.: rental of vehicles (paragraph 39 ofthis subsection). Authority: The provisions of this §93.101 issued under Texas Civ. Sl. art. 4331; and Acls 1967,60th Leg., p. 2343, ch. 7S5, §1. effective September 1, 1967, as amended (Texas Bus. & C. Code §§16.08-16.18). Sourer: The provisions ofthis §93.101 adopted to be effective Jaiiuar>' 1, 1976; amended lo be efTective June 10, 1981, 6 TcxRcg 1921.

Revision Nos. 2, 3 & 4 239 1 §93.102. OFFICE OF THE SECRETARY OF STATE Pt. IV

§93.102. Single Application Coverage. A single application may recite a plurality of goods, or a plurality of services, comprised in a single class, provided the particular identification of each ofthe goods or services be stated and the mark has actually been used on or in connection with all of the goods or in connection with all ofthe services specified.

Source: The provisions of this §93.102 adopted to be effective Jariuar>' I, 1976.

§93.103. Combined Applications. An application also may be filed to register the same mark for any or all ofthe goods and services upon or in connection with which the mark is actually used and which faU within a plurality' of classes. However, dates of use for each class, two specimens for each class, and a fee equaling the sum ofthe fees for filing an application in each class are required. A single certificate of registration for the mark may be issued.

Source: The provisions ofthis §93.103 adopted lo be effective Januar>' 1, 1976.

EXAMINATION OF AN APPUCATION AND ACTION BV APPLICANTS

§93.111. Action by Examiner. (a) Applications for registration will be examined or caused to be examined by the examiner of trademarks, and, if the applicant is found not entitied to registration for any reason, he vrill be so notified and advised ofthe reasons therefor and of any formal requirements or objections. (b) The examiner may require the applicant to furnish such information and exhibits as may be reasonably necessary to the proper examination ofthe appUcation.

Sonrcc: The provisions of this §93.111 adopted to be effective January 1, 1976.

§93.112. Period for Response. The applicant has 60 days from the date of mailing of any action by the examiner to respond thereto. Such response may be made with or without amendment and must include such proper action by the applicant as the nature ofthe action and the condition of the case may require.

Somce: The provisionsofthis§93.112 adopied to beeffeciive January- 1, 1976.

§93.113. Reexamination. After response by the appficant, the application will be reexamined or reconsidered, and if the registration is again refused or formal requirements insisted upon, but not stated to be final, the applicant may respond again. Sdiircc; The provisions of this §93.113 adopted lo be effective January 1, 1976.

§93.114. Final Action. On the first or any subsequent reexamination or reconsideration the refusal of the registration or the insistence upon a requirement may be stated to be final, whereupon apphcant's response is limited to an appeal pursuant lo Texas Business and Commerce Code §16.24, or to a compliance with any requirement.

Sonrce: The provisions of this §93.114 adopted lo be effective January- I, 1976.

§93.115. Abandonment. If an applicant fails to respond, or to respond completely, within 60 days after the date an action is mailed, the application shall be deemed to have been abandoned.

Source: The provisions of this §93.115 adopied to be effective January' 1, 1976.

§93.116. Express Abandonment. An application may be expressly abandoned by filing in the Office ofthe Secretary of State a written assertion of abandonment signed by the applicant.

Sonrce; The provisionsof this §93.116 adopied to be effective January 1, 1976.

Revision Nos. 2, 3 & 4 240 Copyrighte 1986 State ofTexas and llan information Systems. Inc. Ch. 93 TRADEMARK SECTION: PRACTICE AND PROCEDURE 1 § 93.141.

AMENDMENTS

§93.131. Amendments to Application. (a) The application may be amended to correct informalities, or to avoid objections made by the secretary of state's office, or for other reasons arising in the course of examination. No amendments to the dates of use will be permitted unless such changes are supported by sworn affidavit by the appficant and by such showing as may be required by the examiner. (b) .Additions to the specification of goods or services wilt not be permitted unless the mark was in actual use on all ofthe goods or services proposed to be added by the amendment at the time the appUcation was filed and unless the amendment is accompanied by additional specimens (or facsimiles) and by a supplemental sworn afRdavit by the applicant in support thereof (c) Amendment of the verification or declaration will not be permitted. If that filed with the application be faulty or defective, a substitute or supplemental verification must be filed.

Source: The provisions of this §93.131 adopied to be efTective January 1, 1976.

§93.132. Amendments to Description or Drawing. Amendments to the description or drawing ofthe mark may be permitted only if warranted by the specimens (or facsimiles) as originally filed, or supported by additional specimens (or facsimiles) and a supplemental sworn affidavit alleging that the mark shown in the amended drawing was in actual use prior to the filing date of the application. Amendments may not be made if the nature of the mark is changed thereby.

Source: The provisions of this §93.132 adopied lo be efTecuve January 1, 1976.

§93.133. Form of Amendment. (a) In ever)' amendment the exaa word or words to be stricken out or inserted in the apphcation must be made at the precise point indicated where the deletion or insertion is to be made. Additions or insertions on the application must be made by the appficant or his attorney or agent. (b) When an amendment is made, it must be wholly rewritten so that no interlineation or erasure wiU appear, as finally amended, when ihe application is passed to registration. If the number or nature ofthe amendments shall render it otherwise difficult to consider the registration, or when otherwise desired to clarify the record, the examiner may require the entire application to be rewritten.

Source: The provisions ofthis §93.133 adopted to be effective January 1, 1976.

§93.134. Disclaimer by Amendment. (a) Examiner may require a disclaimer of any or all descriptive words, abbreviations, names, symbols, terms, slogans, or elements of a mark otherwise registrable. An appficant may voluntarily disclaim a component of a mark sought to be registered. (b) Applicants' failure to comply with an examiner's request for disclaimer is sufficient basis for the final'rejection of a submitted application.

Authority: The provisions of this §93.134 issued under Texas Civ. St. art. 4331; and Acts 1967, 60th Left., p. 2343, ch. 785. §1, effective September 1. 1967, as amended (Texas Bus. & C. Code §§16.08-16.18).

Source: The provisions ofthis §93.134 adopied lo be effective June 10, 1981, 6 TexReg 1921.

ALLOWANCE

§93.141. Registration. If, on examination or reexamination of an application for registration, it appears that the applicant is entitied to have his mark registered, the word "filed" will be endorsed on both the original and copy ofthe application together with the date on which the application was filed.

Aufliority: The provisions of ihis §93.141 issued under Texas Civ. Sl. art. 4331; and Acts 1967, 60th Leg., p. 2343, ch. 785. §1, effective Sepiember I, 1967, as amended {Texas Bus. & C. Code §§16.08-16.18).

Source: The provisionsof this §93.141 adopied to be effective Januarv I, 1976; amended tobeeffective June 10,1981, 6 TexReg 1921.

Revision Nos. 2, 3 & 4 241 1 §93.142. OFHCE OF THE SECRETARY OF STATE Pt. IV

§93.142. Allowance of Application. The application will be prepared for issuance ofthe certificate of registration as provided in §93.151 ofthis title (relating to Issuance). The date of registration will be the date of receipt ofthe application for examination, or the date of receipt for reexamination.

Source: The provisions of this §93.142 adopied lo be effective January 1, 1976.

CERTIFICATE

§93.151. Issuance. When the requirements of the law and of the rules have been complied with, and the examiner has adjudged a mark registrable, a certificate will be issued to the effect that the appficant has complied with the law and that he is entitled to registration of his mark. The certificate wiU state the date on which the apphcation for registration was filed in the Office of the Secretary of State, the act under which the mark is registered, the dale of issue, and the registration number. Attached to the certificate and forming a part thereof will be the duplicate ofthe application.

Authority: The provisions ofthis §93.151 issued under Texas Civ. St. art. 4331; and .Acts 1967, 60th Leg., p. 2343, ch. 785. §1, effective September 1, 1967, as amended (Texas Bus. & C. Code ^ 16.08-16.18).

Source: The provisionsof Ibis §93.151 adopied to be effective January 1,1976; amended to beeffeciive June 10, i98i,6TexRcg 1921.

Cross References: This section cited in 1 T.AC §93.142 (relating to Allowance of Application).

TERM AND RENEWAL

§93.161. Term of Original Registrations and Renewals. (a) Registrations issued under this act (Chapter 16, Texas Business and Commerce Code), remain in force for 10 years, and may be renewed for periods of 10 years from the expiring period unless previously cancelled. (b) During the period beginiung 12 months and ending 6 months before the day a registration expires, the secretary of stale shall, by writing lo the last known address of the registrant under this chapter or under a prior act, notify the registrant ofthe necessity for renewing under Texas Business and Commerce Code §16.14. (c) Neither the secretary of slate's failure to notify- a registrant nor the registrant's nonreceipt of a notice under subsection (b) of this section: (1) extends the term of a registration; or (2) excuses the registrant's failure to renew.

Source: The provisions of this §93.161 adopied lo be effective January 1, 1976.

§93.162. Renewal Period. An application for renewal may be filed by the registrant at any time within six months before the expiration ofthe period for which the certificate of registration was issued or renewed.

Source: The provisions of this §93.! 62 adopied to be effeciive January 1, 1976.

§93.163. Requirements of Application for Renewal. (a) The application for renewal must include a sworn affidavit by the registrant setting forth the goods or services recited in the registration on or in connection with which the mark is still in use in Texas. The application must be executed not more than six months before the expiration ofthe registration and be accompanied by: (1) a specimen or facsimile showing current use ofthe mark; and (2) the required fee. (b) The application, in duplicate, the specimen or facsimile, in dupficate, and the fee must be filed within the period prescribed for applying for renewal. (c) If the mark is not in use in Texas at the time of filing ofthe application for renewal, sufficient facts must be recited to show that nonuse is due to special circumstances which excuse such nonuse and is not due to any intention to abandon the mark. Source; The provisionsof this §93.163 adopted to be effeciive January' 1, 1976.

Revision Nos. 2, 3 & 4 242 Copyright © 1986 State ofTexas and Han Information Systetns. Inc. Ch. 93 TRADEMARK SECTION: PRACTICE AND PROCEDURE 1 § 93.182.

§93.164. Refusal of Renewal. (a) If the apphcation for renewal is incomplete or defective, the renewal will be refiised by the examiner of trademarks. The application may be completed or amended in response to a refusal. (b) If the registrant is dissatisfied with the action of the examiner considering the application for renewal incomplete or defective, he may request the general counsel to review the action. If response to an adverse action ofthe examiner is not made within 60 days, the application for renewal will be considered abandoned. Source: The provisions ofthis §93.164 adopied lo be effeciive January 1, 1976.

ASSIGNMENT OF MARKS

§93.171. Requirements for Assignments. (a) Assignments of registered marks imder Texas Business and Commerce Code §16.17, may be recorded with of state, No assignment will be recorded, unless it has been made by a written instrument duly executed by the registrant (assignor) and unless: (1) the certificate of registration is identified in the assignment by the registration number (the dale of registration should also be given); (2) it is in the English language or, if not in the English language, accompanied by a signed translation; (3) the fee for recording is received; (4) the original assignment, and a dupUcate original on legible photocopy on durable paper of the assignment; (5) the name and address ofthe assignee is recited in the assignment, otherwise it must be given in a separate paper, and (6) the date of record of the assignment is the dale of the receipt of the assignment in the Office of the Secretary of Slate in proper form and accompanied by the full fee for recording. (b) If the assignment has been properly filed for record under subsection (a) of this section, the original and duplicate original or photocopy will be endorsed with the words "Filed for record in the Office ofthe Secretary of State, State of Texas;" and the date on which the assignment was filed for record. (c) File the duplicate original or photocopy of the assignment, and return the endorsed original assignment to the assignee or his representive together with a new certificate of registration issued in the assignee's name for the remainder ofthe terra ofthe mark's registration, or last renewal. Source: The provisionsofthis §93.171 adopied lo be effective January 1, 1976.

CANCELLATION OF REGISTRATION

§93.181. Voluntary Cancellation. (a) A registration may be cancelled by the secretary- of state upon receipt of a request for canceUation in writing duly executed by the registrant. Such writing must include the following: (1) the mark to be canceUed, registration number, and date registered; (2) the name and address ofthe registranl; (3) a statement to the effect that the registrant voluntarily requests cancellation ofthe mark by the Secretary of Stale ofTexas. (b) The certificate of registration issued by the secretary of state at the lime of registration should be submitted for cancellation, or an affidavit verified by the registrant that such certificate has been lost. Source: The provisions of this §93.181 adopied lobe effeciive January 1. 1976.

§93.182. Administrative Cancellation. A registration may be cancelled by the secretary of state upon a finding that: (1) the registration was in force before May 2, 1962, that it was more than 10 years old, and that it had not been reregistered under Texas Business and Commerce Code §16.14(c); and (2) the registration was granted under Chapter 16 and failed to renew under Texas Business and Commerce Code §16.14(a). Source: The provisions ofthis §93.182 adopted to be effeciive January 1, 1976.

Revision Nos. 2, 3 & 4 243 1 §93.183. OFFICE OF THE SECRETARY OF STATE Pt. IV

§93.183. Judicial Cancellation. A registration may be cancelled by a district or appellate court which has rendered a final judgment, which has become unappealable, or a finding that any ofthe following has occun^ed: (1) The registered mark has been abandoned. (2) The registrant under this chapter or under a prior act is not the owner ofthe mark. (3) The registration was granted contrar>' to the provisions ofthis chapter. (4) The registration was obtained fraudulentiy. (5) The registered mark has become incapable of serving as a mark. Source; The provisions ofthis §93.183 adopted lo be effective January 1, 1976.

Revision Nos. 2. 3 & 4 244 Copyright C 1986 State of Texas and Han information Sysiems. Inc. CHAPTER 95. UNIFORM COMMERCIAL CODE

Section No. Section ^lamc

GENERAL INFORMATION AND CORRESPONDENCE 95.1. All Communications To Be Addressed lo the Secretary of State ofTexas. 95.2. Nature of Correspondence. 95.3. Identification of Rejected Items and Filed Financing Statements. 95.4. Receipt of Transmittals and Papers. 95.5. Filing Date and Time. ACCEPTANCE 95.31. Financing Statement. 95.32. Financing Statement Change. 95.33. Utifily Security Instruments. 95.34. Utility Security Instruments, Supplementary or Amendatory, and Statements of Name Change, Merger, or Consolidation. 95.35. Farm-Related Continuation and Financing Statements. INFORMATION REQUESTS 95.41. Certificate and Copies. 95.42. Completion. 95.43. Form. STANDARD FORMS 95.51. Prescribed Form. REJECTION 95.61. Documents To Be Returned. 95.62. Information Requests To Be Returned. Authorit)': The provisions ofthis Chapter 9S issued under Acts 1909, 31st Leg., 1st C.S., p. 340, effective July 12, 1909, as amended (Texas Civ. Si. art. 4331); Acts 1967, 60th Leg., ch. 785, effective September 1, 1967 (Texas Bus. &. C. Code Ch. 9, Subch. Dand Ch. 35, Subch. A); and Acts 1975, 64th Leg., p. 136, ch. 61, effective January 1, 1976, as amended (Texas Civ. SL art 6252-13a), unless otherwise noted.

Revision Nos. 2. 3 & 4 245 OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 246 Copyright & 1986 Siate of Texas and Han Information Systems, Inc. Ch. 95 UNIFORM COMMERCIAL CODE 1 § 95.31.

GENERAL INFORMATION AND CORRESPONDENCE

§95.1. All Commnnicfltions To Be Addressed to the Secretary of State ofTexas. All financing statements and other documents intended for the nnifnrm Commercial Code Division must be addressed to Secretary of State ofTexas, UCC Division, Austin, Texas, 7871 - len appropriate, a transmittal may be markied for the attention ofthe director or a particular clerk.

Source: The provisionsof this §95.1 adopied to be effeciive January 1, 1976.

§95.2. Nature of Correspondence. Correspondence with tbe secretary of state comprises: (1) correspondence relating to services and facilities of the office, such as general inquiries, requests for publications supplied by the office, orders for copies of fifings, orders for search certificates, transmission of financing statements, financing statement changes, and the like; and (2) correspondence in and relating to a particular filing or other proceeding in the office.

Source: The provisions of this §95.2 adopied lo be effective January 1, 1976.

§95.3. Identification of Rejected Items and Filed Financing Statements. An inquiry relating lo a document which has been submitted for filing, but has not been accepted for filing pursuant to §§95.31-95.34 ofthis titie (relating to Acceptance), should identify the document, the name ofthe remilter and the debtor. An inquir>' relating to a filed financing statement should identify it by the name of the debtor and by the financing statement number.

Source: The provisions ofthis §95.3 adopted to be effective January 1, 1976.

§95.4. Receipt of Transmittals and Papers. Transmittals and other papers received in the secretary of state's office are stamped with the dale of receipt. No papers are received in the Office ofthe Secretary of Stale on Saturdays, Sundays, or legal holidays. Source: The provisions ofthis §95.4 adopted to be effective January 1, 1976.

Cross KefereDces: This section cited in 1 TAC §95.5 (relating to Filing [>ate and Time).

§95.5. Filing Date and Time. All documents received by mail will, if accepted, be filed as of 8 a.m. ofthe date of receipt as covered in §95.4 ofthis titie (relating to Receipt of Transmittals and Papers). All documents received other than by mail will be filed as ofthe date and time presented for filing with tender ofthe fee and acceptance by the secretary of state.

Source: Tbe provisions ofthis §95.5 adopted lo be effective January ], 1976.

ACCEPTANCE

§95J1. Financing Statement. (a) The secretary of state will accept for filing a financing statement upon presentation if: (1) there is sufficient identification ofthe parties lo insure proper indexing (the name and mailing address ofthe debtor must be clearly and legibly given); (2) there is tender of the entire required fee; and (3) the financing statement is sufficiently signed by the debtor. (b) Upon acceptance, the secretary of stale will stamp each financing statement with a consecutive file number prefixed by the year, the date, and hour of filing. (c) The acknowledgment will be sent to the secured party of record. .A self-addiressed stamped envelope must be provided if the acknowledgment is to be mailed to a party other than the secured party of record.

Source: The provisions of ihis §95.31 adopied to be cffertive January 1, 1976.

Cross References: This section cited in 1 T.AC §95.3 (relating lo Identification of Rejected Items and Filed Financing Statements); and 1 TAC §95.61 (relating to Documents To Be Relumed).

Revision Nos. 2, 3 & 4 247 1 §95.32. OraCE OF THE SECRETARY OF STATE Pt. IV

§95.32. Financing Statement Change. (a) Continuation, assignment, termination, partial release, and amendment. The secretary of state will accept for filing a financing statement change upon presentation if: (1) there is sufficient identification of the parties lo insure proper indexing. The financing statement number and date filed must be clearly and legibly given. A separate siatement or Form UCC-3 and the required fee must be submitted for each financing statement number. The names and addresses ofthe debtor and secured party should be identical to those given in the filed financing statement. .All names and addresses must be clearly and legibly given; (2) there is tender of (he entire required fee; and (3) the financing statement change is sufficiently signed by the secured party of record. .An amendment must also be sufficiently signed by the debtor of record. (b) Acceptance. Upon acceptance, the secretar>' of state will stamp each financing siatement change with the date and time filed. (c) Acknowledgment. The acknowledgment will be sent to the secured party of record. A self-addressed stamped envelope must be provided if the acknowledgment is to be mailed to a party other than the secured party of record. Source: The provisions ofthis §95.32 adopied to be effective Januarv 1, 1976. Cross References: This section cited in 1 TAC §95.3 (relating to Identification of Rejected Items and Filed Financing Sutements); and 1 T.AC §95.61 (relating to Documents To Be Relumed).

§95.33. Utility Security' Instruments. (a) Deposit for filing in the Office ofthe Secretary of State of a security instrument executed by a utility will be accepted if: (1) its title page conspicuously stales: "This Instrument Grants A Security Interest By A Utility;" (2) there is payment of the complete statutorj' fifing fee; and (3) there is sufficient identification ofthe parties to insure proper indexing (the name and address ofthe utility must be clearly and legibly given). (b) Upon acceptance, the secretary of state will stamp each utility security instrument with a consecutive security instrument file number prefixed by the year, the date, and hour of filing. (c) A duplicate original or copy should also be submitted if a filed copy is desired as an acknowledgment which will be returned lo the party filing. Source: The provisions ofthis §95.33 adopied to be effective January' 1, 1976. Cross References: This section cited in 1 TAC §95.3 (relating to Identification of Rejected Items and Filed Financing Statements); and I TAC §95.61 (relating to Documents To Be Returned).

§95.34. Utility Seciu-ity Instruments, Supplementary or Amendatory, and Statements of Name Change, Merger, or Consolidation. (a) Deposit for fifing in ihe Office of the Secretary of State of a security instrument supplementary' or amendatory, and statements of name change, merger, or consolidation will be accepted if: (!) executed by the utility (statements of name change, merger, or consolidation must also be signed by the secured party); (2) there is sufficient identification ofthe parties to insure proper indexing. All names and addresses must be clearly and legibly given. The consecutive security instrument file number together with the name ofthe utility after the name change, merger, or consolidation must also be given on all statements of name change; and (3) there is payment ofthe complete statutory filing fee. (b) Upon acceptance, the secretar>' of stale will stamp each instrument or statement with the dale and hour of filing. (c) A duplicate original or copy should also be submitted if a filed copy is desired as an acknowledgment which will be relumed lo the party filing. Source: The provisions ofthis §95.34 adopted lo be effeaive January 1. 1976. Cross References: This section ciied in TAC §95.3 (refating lo Ideniification of Rejected Items and Filed Financing Sutements); and 1 TAC §95.61 (relating to Documents To Be Reiumed).

§95.35. Farm-Related Continuation and Financing Statements. (a) A continuation statement filed with the Office ofthe Secretary of State to continue a farm-related financing statement, originally filed with a county clerk ofTexas. must be accompanied by a copy ofthe original financing statement and all subsequent amendments, assignments, releases and continuation statements which indicate the file date and the time subscribed by the fifing officer. The filing fee for filing such a continuation statement with attachments shall be the fee charged for filing a standard form continuation statement without attachments.

Revision Nos. 2, 3 & 4 248 Copynghte 1986 state of Texas and Han information systems. Inc. UNIFORM COMMERCIAL CODE

(b) A continuation statement filed with the Office of the Secretary of State to continue a farm-related financing statement filed with a county clerk of Texas will be accepted by the Office of the Secretary of State during the period beginning September 1, 1985, and ending February 28, 1991. The original financing statement lo be continued must have been filed on or before August 31. 1985, with a county clerk of Texas. Where an original farm-related financing statement is filed in an improper place on or after September 1, 1985, the Office of the Secretary of State will only accept a new original financing statement.

Sowre: The provisions or this 495.35 adopted to bc eWveMarch 17. 1986, 1 1 TexRcg 1083.

INFORMATION REQUESTS

895.41. Certificate and Copies. Upon request, the secretary of state will issue a certificate showing the date and time of filing of any presently effective financing statements, statements of assignment. statements of change, federal tax liens, and utility security instruments. Certified or unccrtified copies of any presently effective filings may also be requested. The fee for furnishing certified or uncenified copies of documents shall be in accordance with The Texas Uniform Commercial Code, 59.407@), except where the uncertified copies are made by the person requesting the documents. The fee for unurlified copies of documents made by the person requesting the documents shall be in accordance with fecs established by the state purchasing and general semi- commission under Texas Civil Statutes, Amcle 6252-1 7A.

Some: The provisions of his 595.41 adopted to bt erective January 1, 1976: amended to be effective March 30, 1986, 11 TcxReg 1 142.

Crmr Referem: This section cited in I TAC 995.62 (relating to Infonnation Rcqucns To Be Returned).

Notes of Doeislws: Secretary of State should as a general mamr charge the k xt by statute for furnishinl mpia of d~nrmmts in his office rather than using faschedule prepared by leState Purchasing and General Scrvicu Cornmidon. Article 3913. V.T.C.S. establishes the fee for certified copier of documents. Section 9.407(b) of the Businas and Commerce Code establishes the fee for an uncertificd copy of a financing statement filed punuant lo that code. Op. Any. Gcn. No. MW-163 (1980).

(a) Each request must give the name, and, if possible, the complete address for the debtor, utility, or taxpayer. Only one name may appear on each request. (b) If information is desired on more than one name, a separate request and fee must be submitted. A business, trade, or assumed name will be treated as a separate request.

CIWORefere-: This section cited in I TAC 495.62 (relating lo Information Requests To Be Returned).

Samce: The provisions of this 995.42 adopted to be effective January 1, 1976.

895.43. Form. The request for information may be made on the Fonn UCC-I 1, approved by the Secretary of State of Texas. AU requests received in a form other than the approved form will not require a fee for a nonstandard request.

Aothority: The provisions of this 395.43 isued under Acts 1909. 31st Leg., 1st C.S., p. 340. diiaive July 12, 1909, as amended (Texas Civ. St an4331); and Acts 1967.60th Ltk, ch. 785, effective Scplernbcr 1, 1967, a?l amended flexas Bus. & C. Cock Ch.9, Subch. D).

So=: The provisions of this 395.43 adopted to k effective January I, 1976: amended to be effective December 12. 1980. 5 TexRq 4786.

Cross References This ~ctiontiled in 1 TAC Q95.62 (mlatiq to Information Rsquats To Be Returned).

STANDARD FORMS

695.51. Prescribed Form. The secretary of slate will prescribe the forms to be used in making any filing or in requesting any information of the secretary of state or county clerk. a (1) The secretary of state has prescribed and approved standard forms for the financing statement, Fonn UCC-1; the financing statement change, Form UCC-3; the request for information or copies, Form UCC-I 1, for use with the county cIerks only and not the secretary of state; and the filing officer copy, Form UCC-21.

Revision Nos. 2, 3 & 4 249 1 895.51. OFFICE OF THE SECRETARY OF STATE R. rv

(2) Specifications pertaining to the prescrikd approved'forms, or an approved list of the printing companies whose forms have been approved by the secretaq of state, may be obtained by writing the Uniform Commercial Code Division, Office of the Secretary of State of Texas, .Austin, Texas. 7871 1. Authority: The provis~onsof this 495.51 issued under Acts 1909, 31st Leg., 1st C.S., p. 340. effectiveJuly 12, 1909, as amended (Texas av.St. an. 4331): and Acis.I967,60Lh Leg, ch. 785, effective September 1.1967. as amended (Texas Bus. & C. Code Ch. 9, Subch. D). Source: The provisions of this 595.51 adopted to be effec~iveJanuary 1. 1976; amended to be effeclivc bber12, 1980, 5 TexRq 4786. Noln or Dccisloas: Uu orslandard forms promul@ttd by secretary of state will not serve as security agreeme unless financing statement also gram cteditor an interest in the collateral. Mostly v. Enterrainmeal Co S.W. 2d 237 (1913).

REJECTION

595.61. Documents To Be Returned. All documents not accepted pursuant to $595.3 1-95.34 of this title (relating to Acceptance) will be returned to the remitter with a notice stating the reasons for rejection as covered in the Texas Business and Commerce Code and the Uniform Commercial Code Rules. Source: Thc pra~-isiossof this 495.61 adopted to be eiktive January 1. 1976.

595.62. Information Reqoescs To Be Returned. All informalion requests not received pursuant to 8595.41-95.43 of this title (relating to Information Requests) w returned to the requesting party with a notice stating the reasons for rejection. Soum: The provisions of this $95.62 adopted 10 be effective January I. 1976.

Revision Nos. 2, 3 & 4 Copyiighr O 1966 StateoJTcxizs and Hun Iformarion @stmu. 1% CHAPTER 97. BUSINESS OPPORTUNITY

Section No. Section Name

BUSINESS OPPORTUNITY REGISTRATION 97.1. Registration of Business Opportututies.

FEES AND GENERAL INFORMATION 97.21. Fees and General Information. 97.22. Exemption Statement Form. 97.23. Voluntary Termination.

Revision Nos. 2, 3 & 4 251 OFHCE OF THE SECRETAJIY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 252 Copyrighte 1986 state of Texas and Han Informaikm Systems, Inc. Ch. 97 BUSINESS OPPORTUNITY 1 § 97.23.

BUSINESS OPPORTUNITY REGISTRATION

§97.1. Registration of Business Opportunities. (a) The acceptance of documents shall only be upon submission of a complete initial file and payment of apphcable fee. (b) Documents for submission must follow the format prescribed by the Office ofthe Secretary of State. (c) Specifications pertaining to the prescribed formal may be obtained by writing the Business Opportunity Section, Office ofthe Secretary of State, P.O. Box 13563, Austin, Texas 78711-3563. Authority: The provisionsof this §97.1 issued under Acts 1981. 67th Leg., p. 2S5S, ch. 682, §i; effective August 31, 19S1 (Texas Civ. Sl. arts. 5069-16.01—5069-16.15). Source: The provisions of this §97.1 adopted lo be effeciive October 30, 1981,6 TexReg 3870.

FEES AND GENERAL INFORMATION

§97.21. Fees and General Information. (a) The filing fee for an initial original file is $ 195 and is nonrefundable. (b) The fee for supplemental or amendment filing is $25 and is nonrefundable. (c) File material may be obtained in either a total or partial file format upon advance payment of the fees set out as follows. (1) total file of a business opportunity registrant is $.55 for the first page and $. 15 thereafter. (2) partial file—$.55 forthe first page and $.15 thereafter. (3) certified copies—$ 1.00 per page plus $ 1.00 for the cenificate. (4) certificate of record or no record—$5.00. (d) The exemption filing under the Act, §16.06(I)(F), is $25 and is nonrefundable. (e) The voluntao' termination filing under the Act, §16.16, is $25 and is nonrefundable. Antbority: The provisions ofthis §97.21 issued under Acts 184S, p. 184 (Texas Civ. SL art. 3913); Acls 1919. 36th Leg., p. 79, effective June 18, 1919, as amended (TexasCiv. St. art. 3914); and Acls 1981, 67th Leg., p. 2555, ch. 682, §1, effective August 31, 1981 (Texas Ov. St. art. 5069.16.08(b)). Source: The provisions ofthis §97.21 adopied to be effeciive October 30, 1981, 6 TexR^ 3870; amended lo be effective January 13, 1986, II TexReg 44.

§97.22. Exemption Statement Form. (a) The Oflice of the Secretary of State hereby adopts by reference the form. Exemption Statement Form. All persons required lo register shall use this form or a document which shall contain the following information: a statement that the product/package franchisor claims an exemption under Texas Civil Statutes, Article 5069, §16.06(1)(F), the name ofthe franchisor, the name under which the franchisor intends lo do business, the franchisor's principal address, the date the document is signed, and the signature and title of the signer. Copies of the form may be obtained by contacting the Office ofthe Secretary of State, Business Opportunities Section, P.O. Box 13563, Austin, Texas 78711- 3563. (b) The exemption statement will be effective as ofthe date of receipt in the secretary of state's office and the receipt ofthe proper filing fee. (c) Refer to §97.21 ofthis title (relating to Fees and General Information) for the filing fee. Source: The provisions ofthis §97.22 adopted tobeeffective January 13, 1986, 11 TexReg 44.

§97.23. Voluntary Termination. (a) The Office ofthe Secretary of State hereby adopts by reference the form. Voluntary Termination Statement Form. All persons voluntarily terminating their registration shall use this form. Copies may be obtained by contacting the Office ofthe Secretary of State, Business Opportunities Section, P.O. Box 13563, Austin, Texas 78711-3563. (b) The voluntary termination statement will be in effect as ofthe date of receipt in the Secretary of Stale's Office and the receipt of the proper filing fee. (c) Refer to §97.21 ofthis title (relating lo Fees and General Information) for the filing fee.

Revision Nos. 2, 3 & 4 253 1 §97.23. OFFICE OF THE SECRETARY OF STATE Pt. IV

EXEMPTION STATEMENT

The folloving pioduct/packag«.franchisor claims an exemption under Vernon's Texas Civil Statutes, Article 5069- t6 . 06 ( I) (F) :

Hame of Franchisor

Name Under Which Franchisor intends To Do Business

Franchisor ' s Principal Business Address

Franchisor

Signed by:

Title

Date Signed

Revision Nos. 2, 3 & 4 254 Copyrighte 1986 State of Texas and Han Information Systems, Inc. Ch. 97 BUSINESS OPPORTUNITY 1 § 97.23.

VOLUNTARY TERMINATION STATEMENT

By: Reg No.

Pursuant to the provisions in Vernon' s Texas Civil Statutes, Article 5069-16. 16, the above-referenced business opportunity registrant voluntarily terminates their registration because one or more of the following conditions exist:

1) The registered business opportunity will no longer be offered in Texas . 2) Tbe registered business opportunity has been changed to a point where the definition of a business opportunity set forth in Article 16 . 05 of this chapter no longer defines the business opportunity being offered. 3) The registered business opportunity now falls within one of the exemptions listed in Article 16 . 06 of this chapter. 1} The principal seller offering the registered business opportunity has ceased to exist as a legal entity.

Business Opportunity Registrant

Signed by:

Title

Date Signed

Source: The provisions ofthis §97.23 adopted to be effective January 13, 1986, 11 TexReg 44.

Revision Nos. 2. 3 & 4 255 1 §97.23. OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 256 Copyright e 1986 State of Texas and Han Information Systems. Inc CHAPTER 99. STANDARDS OF CONDUCT OF STATE OFFICERS AND EMPLOYEES

Section No. Section Name

FINANCIAL STATEMENT 99.1. Notice of Late Filing. 99.2. Financial Statement Fonn.

Revision Nos. 2, 3 & 4 257 OFHCE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2, 3 & 4 258 Copyright © 1986 State ofTexas and Han Information Systems, Inc Ch. 99 STANDARDS OF CONDUCT OF STATE OFFICERS AND EMPLOYEES 1 § 99.2.

FINANCIAL STATEMENT

§99.1. Notice of Late Filing. If any person subject to a civil penalty for late filing under Texas Civil Statutes, article 6252-9b, tenders payment of the penalty before the Office ofthe Secretary of State has mailed a late notice to the person, the Office ofthe Secretary of State will not mail a late notice to that person. The Office ofthe Secretary of State shall notify the attorney general to inform him that the person who filedlat e has already paid the penalty and, therefore, the civil suit may not be initialed. Source: The provisions ofthis §99.1 adopted to be effective March 19, 1984, 9 TexReg 1353.

§99.2. Financial Statement Form. The Office ofthe Secretary of State hereby adopts by reference the form titled "Financial Statement," as amended September 1984. All persons required to file under Texas Civil Statutes article 6252-9b, §3, shall use this form. Copies may be obtained by contacting the Office ofthe Secretaiy of State, Disclosure Filings Section, P.O. Box 12887, Austin, Texas 78711. Source: The provisions ofthis §99.2 adopted to be efTective September 27, 1984, 9 TexReg 4S68.

Revision Nos. 2, 3 & 4 259 1 §99.2. OFHCE OF THE SECRETARY OF STATE R IV

Revision Nos. 2, 3 & 4 260 copynghte I986 state of Texas and Han information systems. Inc. CHAPTER 101. PRACTICE AND PROCEDURE BEFORE THE OFFICE OF THE SECRETARY OF STATE,

Section No. Section Name

Revision Nos. 2, 3 & 4 261 OFFICE OF THE SECRETARY OF STATE Pt. IV

Revision Nos. 2. 3 & 4 262 Copyright e 1986 State of Texas and Han Iitformation Systems, Inc. Ch. 101 PRACTICE AND PROCEDURE 1 § 101.4.

Anthority: the provisions of this chapter issued under Texas Civil Statutes, Article 62S2-I3a, §4

GENERAL RULES

§101.1. Deflnltions. The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise. (1) Agency—The Oflfice of the Texas Secretary of State. (2) Complaint—The short and plain written statement by which an individual alleges that a person has violated or is violating a statute within the jurisdiction ofthe agency to regulate. (3) Contested case or hearing—A proceeding,'including but not limited to ratemaking and licensing, in which the legal rights, duties, or privileges of a party are to be determined by the agency after an opportunity for an adjudicative hearing. (4) Hearings examiner—The individtial assigned by the agency to conduct a proceeding on matters within the agenc>''s jurisdiction. (5) Motion—A written or oral request lo the agency for a ruling made before, during, or after a contested case. (6) Office—The department, section, or division of the agency which supervises the regulation of the applicable statute. (7) Party—Each person with sufficient legal, economic, or other interest to be named or admitted as such by the agency to a contested case proceeding before the agency. (8) Person—Any individual, partnership, corporation, association, governmental subdivision, or public or private organization. (9) Pleading—A formal statement by a party or the agency containing their respective claims or defenses. Source: The provisions of this §101.1 adopted lo be effective April 7, 1986, 11 TexReg 1508.

§101.2. Object of Rules. The objective of these sections is lo provide for a straight-forward, comprehensive, and efficient system of procedure before the agency to the end that justice may be served, the public's interest and wel&re may be protected, and the disposition of cases may not be unduly delayed. Source: The provisions of this §101.2 adopted to be effective April?. 1986, 11 TexReg 1508.

§101.3. Scope, Applicability, and Construction of Rules. This chapter shall govern the conduct of all contested cases before the agency. The sections contained in this chapter shall be construed liberally, with a view toward the objective for which they were adopted. They shall not be construed so as to enlarge, diminish, modify, or otherwise alter the jurisdiction, powers, or authority of the agency or the substantive rights of any person. Unless otherwise expressly provided, the past, present, or ftiture tense includes the other, the masculine, feminine, or neuter gender each includes the other; and the singular and plural number each includes the other. In addition to this chapter, parties participating in a contested case before this agency should make reference to the .Administrative Procedure and Texas Raster Act, Texas Civil Statutes, Article 6252-13a; to the Automobile Club Services Aa, Texas Civil Statutes, Article lS28d; to the Great Seal ofTexas Act, Texas Business and Commerce Code, §17.08; to the Texas Notaries Public Act, Texas Civil Statutes, Article 5949; to the Texas Election Code, Chapter 122; and to the substantive rules, administrative regulations, and orders of the agency.

Source: The provisions ofthis §101.3 adopted to be effective April 7, 1986, 11 TexReg 1 SOS.

§101.4. Computation of Time. In computing any period of time prescribed or allowed by these sections, by order ofthe agency, or by any applicable statute, the day ofthe act, event, or default after which the designated period of time begins to run shall not be included, but the last day ofthe period so computed shall be included, unless it be a Saturday, Sunday, or legal holiday, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor a legal holiday. Complaints, pleadings, or other documents required to be filed or served are filed or served when actually received, or are deemed filed or served when deposited with the United States Postal Service, postage paid. The postmark date indicated on a complaint, a pleading, or other document shall be presumed to be the date of mailing.

Source: The provisions of this §101,4 adopted to beeffeciive April 7, 1986, 11 TexReg 1508.

Revision Nos. 2, 3 & 4 263 OFFICE OF THE SECRETARY OF STATE Pt. IV

8101.5. Agreements to be in Writing. No stipulation or agreement between the parties. their attornevs. or their reuresentatives. with regard to any matter involved in anicontested case before the agency, shall be enforced. uniess it has kinreduced to writing and signed by the paflies or their authorized representatives, or unless it has been dictated into the record during the course of a hearing, or incorporated in any order bearing their written approval. This section does no1 limit a party's ability to waive or modify by stipulation or agreement any right or privilege afforded by these sections or by law, unless otherwise precluded by law.

Source: The proviaioas of this 4101.5 adoptal to be effective April 7. 1986, 1 1 Teag 1508. g101.6. Ex Parte Communications. Unless otherwise probided by law, there shall be no verbal communications with the hearings examiner regarding any issue of fact or law in a contested case without notice and opportunity for all parties to participate, and there may be no written communications that are not transmitted at the same time to all pafljes, except that an individual involved in rendering the decision in a contested case may communicate ex parte with employees of the agency who did not participate in the hearing for the purpose of utilizing their special skills or knowledge in evaluating the evidence.

Stxime The provirions ofthis 4101.6 adopted to bc effective April 7, 1986. 11 TcxRcg 1508.

9101.7. Personal Service by the Agency. Whe~personal senice of notice, complaint, pleading, or other document by the agency is required, the agency shall mail the same by certified mail, return receipt requested, to the last known address of the person entitled to receive such notice. complaint, pleading, or documents.

Source: The pmvitions of this 9101.7 adopted to be effective April 7. 1986, 11 TcxReg 1508.

Cross Refemoan: This section citrd in 51 01.22 (relating to lnlriation of Roceedings and Examination of Pleadings): and cited ia 410 1.50 Irclatlng 10 Proposal for Dccmon).

.8. Personal Service by Parties. Pleadings and all other documents, except complaints, filed by any party with the agency or a hearings examiner shall be served by such pany upon all parties to the proceeding in which it is filed. Proof of service shall accompany all pleadings and documents when they are tendered for tiling with the agency. (b) Unless otherwise required by statute. service may be made by regular mad, by certified mail. or by personal delivery. (c) If any pany has appemd in a proceeding by attorney or other authorized representative, service shall be on such attorney or representative. (d) The witlful failure of any party to make service in accordance with these sections shall be sufficient grounds for the entry of an order striking the pleading or document from the record. (el A certificate of service executed by the person filing the pleading or document, stating that it has been served on all parties to the proceeding, shall be prima .facie evidence of proof of service. Unless otherwise required by law, the certificate of service shall be in the form prescribed by the agency. Sonrc*: The pro%irionsof this $101.8 adopted to be eEective April 7. 1986, 11 TexReg 1508.

Cross Refere-: This section cited in §101.20 (relating to Ftling. Form, and Content of Complaints. Pleadings, and Other Documents).

Q101.9.Parties. (a) Participation us a Party. Any person with sufficient legal, economic, or other interest as determined by the agency or the hearings examiner, shall be admitted as a party to a contested case before the agency. Any person who has the statutory right to be made a party to a contested olse before the agency shall also be made a party. Any person whose appearance is determined by the hearings examiner to be ~onduciveto the ends ofjustice and will not unduly delay the conduct of such proceeding may be permitted to participate as a party. Parties may appear and present evidence and argument relevant to the issues and shall have the right to crossexamine witnesses. Unless otherwise required by law, proceedings are not open to the public. Any penon desiring to okrve or participate at any stage of the proceedings who is not a party, not employed by a party, or not called as a witness, must obtain the permission of the hearings examiner and the agreement of all parties. Ib) Appearances personally or by representatirDe.Any party may be represented by an attorney authorized to practice law before the highest court of any state. A natural person who is a party may also appear on his own behalf. A corporation, partnership, or association may also appear and be represented by any bonn fide officer, partner, or employee. Source: The provi~onsof this 5101.9 adopted to be dfec~iveApril 7. 1986, 11 TexReg 1508.

Revision NOS.2, 3 & 4 264 Cowriighr O 1986 Sruf offc.tas adHun Infinnariun Sjmwu. Inc Ch. 101 PRACTICE AND PROCEDURE 1 § 101.22.

§101.10. Conduct and Decorum. Every party, witness, attorney, or representative shall comport himself in all proceedings with the proper dignity, courtesy, and respect for the agency, the hearings examiner, and all other parties. Disorderly conduct will not be tolerated. Attorneys and other representatives of parties shall observe the standards of ethical behavior prescribed for attorneys at law by the Texas State Bar. Violation ofthis section shall be sufficient cause for the agency or the hearings examiner to enter an order denying the offender further standing as a party. Scarce: The provisionsof this §101.10 adopted to be effective April 7, 1986, 11 TexReg 1508.

§101.11. through 101.19. [RESERVED]

INITIATION OF PROCEEDINGS* COMPLAINTS, AND PLEADINGS

§101.20. Filing, Form, and Content of Complaints, Pleadings, and Other Documents. (a) Where applicable, all complaints and documents relating to the initiation of a contested case shall be filed with the appropriate office. Unless otherwise required by statute, all pleadings and other documents filed during the pendency of a contested case shall be filed with and acted upon by the hearings examiner. (b) Complaints shall be filed on the form prescribed by the appropriate office. Pleadings and other documents shall be typewritten or legibly printed upon standard size paper, 8 % inches wide and 11 inches long. To the extent possible, exhibits attached thereto shall conform to the same size requirements. Every motion relating to a contested case, unless made during a hearing, shall be written and shall set forth the relief sought and the specific reasons therefore. (1) The original of every pleading shall be signed in ink by the person filing same, or by the officer, partner, attorney, or other representative who appears for such party. (2) .All pleadings shall contain a certificate of service, where service is required, in the form prescribed by §101.8 (e) ofthis title (relating to Personal Service by Parties) and the address ofthe party filing the pleading, or if by an attorney or other representative, the name, business address, and telephone number of such attorney or other representative. (3) Unless otherwise provided by these sections or by statute, any pleading may be amended at any time, provided that such amendment does not abridge the rights of any other party to the proceedings. (c) Except as prescribed by these sections or by statute, no official form or format is required for pleadings or other documents. Source: The provisions ofthis §101.20 adopted to be effective April 7, 1986, 11 TexReg 1508. Cross References: This section cited in §101.51 (relating to Exceptions and Replies).

§101.21. Time for Filing. (a) Unless otherwise provided by law, a complaint may be filed at any time. (b) The time for filing any pleading or other document shall be as prescribed by statute, by these sections, by the appropriate office, or by the hearings examiner. (c) Unless otherwise provided by statute or by these sections, the time for filing any pleading or other document may be extended by order ofthe hearings examiner. (d) Unless otherwise required by law, a motion for extension of time to file shall be filed with the hearings examiner at least seven days prior to the expiration of the applicable period of time for filing. (1) Such a motion must show that there is good cause for such an extension of time and that the need therefore is not caused by the neglect, indifference, or lack of diligence ofthe person making such motion. (2) A copy of any such motion shall be served contemporaneously with the filing thereof upon all parties to the contested case. Source: The provisions of this §101.21 adopted to be effective April 7, 1986, 11 TexReg 1508.

§101.22. Initiation of Proceedings and Examination of Pleadings. (a) Where applicable, upon the filing of a complaint with the appropriate office, the office shall determine whether the complaint complies with its prescribed form, if any, and whether a hearing is required. (1) If the office determines that the complaint does not substantially comply with its form, the office may return the complaint to the person who filed it. together with a statement of the office's reasons for returning the complaint. (A) The pcreon who filed the complaint shall thereafter have the right to correct and refile the complaint. (B) The refiling ofthe complaint shall be within the time limit prescribed by the office.

Revision Nos. 2, 3 & 4 265 1 §101.22. OFFICE OF THE SECRETARY OF STATE Pt. IV

(2) If a hearing is required, the office shall assign a hearings examiner to hear the contested case, unless otherwise required by law. (A) Immediately following the setting ofthe hearing and the assignment ofthe hearings examiner, the office shall cause notice of the pending contested case to be served on all parties, in accordance with §101.7 of this title (relating to Personal Service by the Agency), not less than 10 days prior to the date ofthe hearing, (B) Unless otherwise provided by law, said notice must include the following: (i) the name and address of the person initialing the proceeding or the name and address of the party's attorney or representative, if any; (ii) a statement ofthe time, the place and the nature ofthe hearing; (iii) a statement of the legal authority and jurisdiction under which the hearing is to be held; (iv) a reference to the particular sections ofthe statutes and the sections involved; and (v) a short and plain statement ofthe matters asserted. (3) Where the office with which a complaint has been filed determines that no further action by the office is required, the office shall send the person filing the complaint a brief statement of that determination. (b) Unless otherwise provided by law, where an office initiates a contested case on its own volition, it shall assign a hearings examiner to hear the case and follow the notice procedures as outlined by §101.22(a)(2)(A) and (B) ofthis title (relating to Initiation of Proceedings and Examination of Pleadings). (c) Upon the filing of any pleading, the hearings examiner shall forthwith examine same and determine its sufficiency under these sections. (1) If the hearings examiner finds that the pleading does not substantially comply with these sections, he may return it to the person who filed it, together with a siatement ofthe reasons for reluming the pleading. (2) The person who filed such pleading shall thereafter have the right to correct and refile the pleading, provided that the refiling of such shall not be permitted lo delay any contested case, unless the hearings examiner determines that the interest of justice so requires. Source: The provisions ofthis §101.22 adopted to be effective April 7, 1986, 11 TexR<^ 1508.

§101.23. through 101.29. [RESERVED]

PREHEARING PROCEDURES

§101.30. Informal Disposition of a Contested Case. Unless otherwise precluded by law, the agency may informally dispose of a contested case by stipulation, agreed settlement, consent order, or default.

Source: The provisions of this §101.30 adopted to be effeaive April 7, 1986. II TexReg 1508.

§101.31. Postponement, Continuance, or Withdrawal. (a) Unless otherwise prescribed by law, motions for postponement, continuance, or withdrawal of matters which have been set for hearing, shall be filed with the hearings examiner and served on all parties, not less than seven days prior to the hearing dale. Failure to comply with the requirements set forth in this section, except for a showing of good cause, shall be sufficient cause for the hearings examiner to refuse to consider the motion. (b) Afler the commencement of a contested case, the hearings examiner shall not grant a postponement or continuance without the consent of all parties, unless he finds that failure to grant the requested postponement or continuance would bd unjust, inequitable, and not in the public^s interest. Source: The provisions of this §101.31 adopted to be eflfcctive April 7, 1986, II TexReg 1508.

§101.32. Prehearing Conference. (a) The hearings examiner may, at his discretion, direct the parties or their authorized representatives or attorneys to appear before the hearings examiner at a specified lime and place for a conference prior to the hearing, for the purpose of formulating and simplifying the issues and scope ofthe contested case. (b) Matters which may be considered at the prehearing conference include: (1) the possibility of making admissions of certain allegations of fact; (2) the possibility of making stipulations concerning the use of matters of public record to the end of avoiding the necessity of introducing proof; (3) procedure at the hearing;

Revision Nos. 2, 3 & 4 266 Copyrighte I9S6 State qfTexas and Han l,\formation Systems, inc. Ch, 101 PRACTICE AND PROCEDURE 1 § 101.40.

(4) limitation on the number of witnesses; (5) admissibility of evidence; and (6) such other matters as may aid in the simplification of the hearing and in the disposition of the matters in controversy. (c) Action taken at the prehearing conference shall be recorded in an appropriate order by the hearings examiner, unless Ihe parties enter into a written stipulation as to such matters. Source: The provisionsof this §101.32 adopted to beeffeciive April 7, 1986, 11 TexReg 1508.

§101.33. Discovery. (a) a hearings examiner, acting on his own motion, may, or on the written request of any party, shall: (1) subpoena any person to appear and testify and to produce certain documents or other tangible items at a hearing; (2) commission the taking of a deposition in the witness' county of residence or the county where the witness does business, and require the production of certain documents or other tangible items at the time ofthe deposition; and (3) order any party to allow entry upon property under the party's control for the purpose of doing any act or making any inspection not protected by privilege and reasonably calculated to lead to the discovery of evidence material to the contested case. (b) Unless otherwise prescribed by law, all discovery proceedings shall be governed by the Administrative Procedure and Texas Register Act. Source: The provisions of ihis §101.33 adopied to be effective April 7, 1986, 11 TexReg 1508.

§101.34. Witness Fees. (a) Any witness who is not a party and who is subpoenaed or otherwise compelled to attend any hearing or proceeding is entitled to receive $.10 a mile for travel to and fi'om any place more than 25 miles ft^omth e witness' place of residence and a fee of SIO a day, or any part of a day. (b) At the time the request for a witness* attendance is filed with the hearings examiner, the requesting party is required to dep>osit the estimated amount to which the witness will be entitled with the designated representative of the appropriate office. (c) Deposit of the witness fees is not required when the agency is the requesting party. Source: The provisions of this§101.34 adopted to beeffeciive April 7, 1986, 11 TexReg ISOS.

§101.35. through 10139. [RESERVED]

HEARING PROCEDURES

§101.40. The Hearings Examiner. (a) Unless otherwise prescribed by law, a hearings examiner shall have the following powers: (1) to give notice and issue orders relating to a contested case; (2) to hold and regulate the course and conduct of a contested case; (3) to administer oaths and affirmations; (4) to call and to examine witnesses; (5) to issue subpoenas and to cause depositions to be taken pursuant to the applicable provisions of the Administrative Procedure and Texas Register Act; (6) to rule on the admissibility of evidence and amendments to pleadings; (7) to hold conferences, before or during the contested case for the settlement or simplification of issues; (8) to direct any party to prepare and submit material relevant to the contested case; (9) to rule on motions and to dispose of procedural requests or similar matters; (10) to issue a proposal for decision for review and the final consideration by the Secretary of State; and (11) to take any other action authorized by these rules or the Administrative Procedure and Texas Register Act. (b) The hearings examiner's authority in each contested case shall terminate upon the approval of the proposal for decision by the secretary of state.

Revision Nos. 2, 3 & 4 267 1 §101.40. OFHCE OF THE SECRETARY OF STATE Pt. IV

(c) If the hearings examiner dies, becomes disabled, withdraws, or is otherwise removed fi-om assignment to a contested case at any time prior to the approval of the proposal for decision by the secretary of state, the office may appoint another hearings examiner, who may perform any function remaining to be performed without the necessity of repeating any proceedings. Source: The provisions of this §101.40 adopted to be effective April 7, 1986, 11 TexReg 1508.

§101.41. Place of Hearings. Unless otherwise authorized or required by statute, all contested cases shall be held in Austin. Source: The provisions of this §101.41 adopted to be effective April 7, 1986, 11 TexReg 1508.

§101.42. Orvler of Procedure. (a) Unless otherwise prescribed by law, the following shall be the order of procedure in a contested case. (1) The hearing will be convened by the hearings examiner, who shall direct all parties to enter their appearances on the record. (2) The hearings examiner shall next consider any preliminary motions or matters. (3) Each party shall then have an opportunity to present its case by calling and examining witnesses and introducing documentary evidence. The testimony of witnesses shall be made under oath or affirmation. (A) The agency shall have the right to open and close the presentation of evidence. (i) A representative fi'om the appropriate office shall present the agency's case, regardless of whether the contested case was initiated by complaint or by the agency's own volition. (ii) The party contesting the agency's position shall be the next to present evidence. (iii) Where there are several parties contesting the agency's position, the hearings examiner shall decide the order of such parties. (B) The hearings examiner shall determine the order of any remaining parties. (b) Each party to a contested case shall have the opportunity to cross-examine opposing witnesses on any matter relevant to the issues even though the matter was not covered in direct examination. (c) Any objection to testimony or evidence should be made, and the basis for the objection stated. (d) The hearings examiner is responsible for closing the record and may hold it open for stated purposes. (e) The hearings examiner, in his sole discretion, may request that the parties submit proposed findmgs of fact and conclusions of law. Source: The provisions of this §101.42 adopted to be effective April 7. 1986, 11 TexReg 1508. Cross References: This section cited in §101.50 (relating to Proposal for Decision).

§101.43. Evidence. (a) In accordance with the Administrative Procedure and Texas Register .Act, §14(a), the rules of evidence promulgated by the Supreme Court ofTexas shall apply to all contested cases, unless otherwise provided by statute. (b) The hearings examiner may take official notice, on request of a party or acting independently, of matters which trial judges can judicially notice and of facts within the specialized knowledge ofthe agency. (1) The taking of official notice must be stated on the record. (2) Parties must have an opportunity to contest the material or facts officially noticed. (3) A party requesting oflTicial notice must give sufficient information to enable the hearings examiner to comply. Source: The provisionsof this §101.43 adopted to beeffcctivc April 7, 1986, 11 TcuReg 1508.

§101.44. Transcripts. All contested cases heard by a hearings examiner will be recorded. .A copy of the recording and/or a transcription of the recording will be furnished to any party to the proceeding upon written request to the hearings examiner and payment of a reasonable fee estabhshed by the agency. Any party desiring the hearing to be transcribed by a court reporter must make the necessary arrangements with the court reporter and bear the cost. Source: The provisions ofthis §101.44 adopted to be effective April 7, 1986, 11 TexReg 1508.

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§101.50. Proposal for Decision. (a) In contested cases which have proceeded to the conclusion of a hearing, the hearings examiner shall, within 20 days after the record is closed, prepare and file with the appropriate ofice a proposal for decision which shaU be forwarded to the secretary of state. (1) A copy of the proposal shall be served forthwith by the office on each party in accordance with 1101.7 of this title (relating to Personal Service by the Agency). (2) The proposal for decision shall contain the following: (A) a brief statement of the issues; (El) a discussion of the evidence; (C) findings of fact and conclusions of law; and (D) a recommended order for adoption by the Semtary of State. (b) If, in accordance with §101.42(e) of this title (relating to the Order of Procedure), a party submitted proposed findings of fact, the proposal for decision shall include a ruling by the hearings examiner on each proposed finding. Source The provisions of this §101.50 adopted ro be effective April 7. 1986, 11 Tdeg 1508.

§10151. Exceptions and Replies. (a) Any party of record, within 15 days after the date of service of a proposal for decision, may file exceptions to the hearings examiner's proposal for decision with the appropriate office, sening copies of such on all other padies. (b) Tf a party files exceptions, the other parties shall have 15 days after the date of filing to reply. (c) Exceptions and replies shall conform to $101.20 of this title (relating to Filing, Form, and Content of Complain& Pleading, and other Documents). (d) Exceptions and replies filed with an office shall be immediately forwarded to the secretary of state. a Source: The provisions of this $101.51 adopted to be dfective April 7. 1986. 11 TexRcg 1508.

$101.52. Secretary of State's Decision. [a) The proposed decision of the hearings examiner must be approved by the secretary of state before it is given any effect. (b) Unless otherwise provided by law or these sections. the secretary of state shall render a decision'on the hearings exarniner's proposed decision on the following date which occurs first: (1) 20 days after the date of service of the hearings examiner's proposed decision on the parties, where no exceptions have been timely filed; or (2) 20 days after the timely filing of exceptions to the hearings examiner's proposed decision with the appropriate office. [c) After approval by the secretary of state, the proposed decision of the hearings examiner shall bE!c~me the agency's decision. The agency's decision will be served on all parties and is final 15 days from the date rendered, un1ess.a motion for rehearing is filed with the appropriate office on or before the 15th day.

(d) ' If the motion for rehearing is granted, the decision is vacated pending a subsequent decision upon rehearing If the motion for rehearing is overruled, whether by order or by the operation of law, the decision is ha1 on the date it is overruled. Sourn: The provisions of this 5101.52 is adopted to be effectre April 7, 1986, 11 TexReg 1508.

8101.53. Remand to the Hearings Examiner. If the secretary of state concludes that substantial errors of procedure or the insufficiency or exclusion of evidence bas so affected the record, such as to render it impractical to determine the contested case justly and fairly upon the record, the Secretary of State may remand the case to the hearings examiner for funber hearing. Source: The provisions of this ?101.53 adopted to be effmtive April 7, 1986. 1 I TexReg 1508.

Revision Nos. 2. 3 & 4 1 §101.54. OFFICE OF THE SECRETARY OF STATE Pt. IV

§101.54. through 101.59. [RESERVED|

APPEAL

§101.60. Motion for Rehearing. (a) Unless otherwise permitted by law, a motion for rehearing is a prerequisite to an appeal. A motion for rehearing must be filed, with the appropriate office, within 15 days after the rendition ofthe agenc>-'s decision. The motion must state each specific ground upon which the party believes the agency's decision is erroneous. The motion for rehearing will be acted on within 45 days after the dale the agency's decision was rendered. (b) Any reply to a motion for rehearing must be filed, with the appropriate office, within 25 days after the date the agency's decision is rendered. (c) If the agency has not acted on the motion for rehearing within the 45-day period, the motion for rehearing is overruled by the operation of law, 45 days after the rendition ofthe agency's decision. (d) By written order, the agency may extend the period of time for filing the motions and replies and for taking agency action, except that an extension may not extend the period for agency action beyond 90 days after the date that the agency's decision was rendered. (e) In the event of an extension, the motion for rehearing is overruled by operation of law on the date fixed by the agency's decision or, in the absence of a fixed date, 90 days after the date ofthe agency's decision. Source: The provisions ofthis §101.60 adopted to be effective April 7. 1986, 11 TexReg 1508.

§101.61. Original or Certified Copies of Record. A party who appeals a final decision in a contested case shall pay all ofthe cost ofpreparationofany original or certified copy ofthe record ofthe agency proceedings that is required to be transmitted to the reviewing court. Source: The provisions of this §101.61 adopied to beeffeciive April 7, 1986, II TexReg 1508.

§101.62. through 101.99. [RESERVED]

Revision Nos. 2, 3 & 4 270 Copynght e 1986 State of Texas and Han information Systems. Inc. Ch. 101 PRACTICE AND PROCEDURE 1 § 101.62.

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Revision Nos. 2, 3 & 4 272 Copyright e 1986 State of Texas and Han information Systems, inc.