1. (a) The Compliance Committee is a committee of three to five persons appointed by the Executive Director. The Compliance Committee is established to provide independent review of certain compliance issues as provided by this section. Staff from the Legal and the Compliance Division will not be appointed to the committee but will be available to provide guidance to Department staff.
2. (b) Informal discussion with Compliance Monitoring staff. If the responsible person has questions or disagreements regarding any compliance issues, they should first try to resolve them by discussing them with the Compliance Monitoring staff, including, as needed, the Chief of Compliance.
3. (c) Informal discussion with the Compliance Committee. A responsible person may request an informal meeting with the Compliance Committee if the informal discussion with the Compliance Monitoring staff did not resolve the issue.

4. (d) Compliance Committee Process and Timeline.

   1. (1) At any time, the responsible person may call or request an informal conference with the Compliance Monitoring staff and/or the Chief of Compliance.
   2. (2) If a call or an informal conference with the Compliance Monitoring staff does not result in a resolution of the issue, the responsible person may, within thirty (30) days of the call or informal conference with Compliance Monitoring staff, request a meeting with the Compliance Committee.
   3. (3) If timely requested in accordance with this section, the Compliance Committee will hold an informal conference with the responsible person. A responsible person should not offer evidence, documentation, or information to the Committee that was not presented to Compliance Monitoring staff during the informal staff conference. If additional information is offered, the Committee may disallow the information or refer the matter back to Compliance Monitoring staff to allow review of the additional information prior to any consideration by the Committee.
   4. (4) If a meeting with the Compliance Committee does not result in a resolution, matters related to a compliance requirement, other than those required by federal regulation, may be appealed directly to the Board.

Source Note:The provisions of this §10.605 adopted to be effective November 28, 2013, 38 TexReg 8410.