40 Tex. Admin. Code § 802.123 - Sanctions

(a) Level-One Sanction. The Agency may impose a level-one sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable acts. Sanctionable acts that occur during the program, grant, fiscal, contract, or calendar year include, but are not limited to, the following:

(1) failure to submit timely and accurate required financial or performance reports;

(2) failure to take corrective actions to resolve findings identified during monitoring, investigative, or program reviews, including failure to comply with a technical assistance plan developed by the Agency;

(3) failure to rectify or resolve all independent audit findings or questioned costs within required time frames;

(4) failure to submit required annual audits;

(5) breach of administrative and service contract requirements;

(6) failure to retain required service delivery and financial records; or

(7) failure to meet the target on any contracted performance measure by more than 10 percent of target.

(b) Level-Two Sanction. The Agency may impose a level-two sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable acts. Sanctionable acts that occur during the program, grant, fiscal, contract, or calendar year include, but are not limited to, the following:

(1) failure to rectify a level-one sanction within six months of notice;

(2) committing a second sanctionable act;

(3) failure to rectify reported threats to health and safety of program participants within 30 days of notice. Rectifying health and safety may include investigating a complaint, taking appropriate corrective actions, or making referrals to appropriate authorities; or

(4) failure to meet the target on any contracted performance measure by more than 25 percent of target.

(c) Level-Three Sanction. The Agency may impose a level-three sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable acts. Sanctionable acts that occur during the program, grant, fiscal, contract, or calendar year include, but are not limited to, the following:

(1) failure to rectify a level-one sanction within one year of notice;

(2) failure to rectify a level-two sanction within six months of notice;

(3) committing multiple sanctionable acts;

(4) failure to rectify reported threats to health and safety of program participants within 60 days of notice. Rectifying health and safety may include investigating a complaint, taking appropriate corrective action, or making referrals to appropriate authorities; or

(5) failure to meet the target on any contracted measure by more than 25 percent of target for two consecutive years.

Notes

40 Tex. Admin. Code § 802.123

The provisions of this §802.123 adopted to be effective February 7, 2011, 36 TexReg 604; amended to be effective February 24, 2014, 39 TexReg 1201