|(a) The Commission reserves the right to perform monitoring
of a Regional Planning Commission (RPC) and/or its performing local
governments or PSAPs for compliance with applicable law, rules, and
Commission Program Policy Statements. Monitoring activities shall
provide the Commission with the information and data necessary to
best assist RPCs and local governments in implementing and strengthening
the 9-1-1 system in Texas.
(1) Monitoring Activity--Commission monitoring shall
include the following:
(A) Evaluation of RPC policies and procedures for program
quality and outcomes to ensure compliance with the Contract, as well
as the objectives and standards set forth in all Commission Rules,
and Commission Program Policy Statements, and especially relating
to the rules contained in this chapter;
(B) Determination of whether the RPC has demonstrated
substantial compliance with oversight requirements, including:
(i) compliance with applicable provisions of the state's
Uniform Grant Management Standards (UGMS);
(ii) competitive procurement procedures and documentation;
(iii) contract administration systems to ensure receipt
of contracted deliverables;
(iv) ownership, transfer of ownership, and/or control
of equipment acquired with 9-1-1 funds;
(v) maintenance of a current inventory of all 9-1-1
(vi) maintenance of adequate and accurate fiscal records
(vii) execution of interlocal agreements between RPC
and participating local governments relating to the planning, development,
operation, and provision of 9-1-1 service and the use of 9-1-1 funds,
per the Contract, Article 4, Standard Interlocal Agreements with Local
(C) Examination of RPC 9-1-1 funds expended against
the strategic plan component budgets and any limitations therein according
to applicable law and rules.
(2) Monitoring Report and Response--The Commission
will prepare a written report that describes the findings, and any
possible violations, discovered during a monitoring review. Commission
will complete a written monitoring report within 30 days of the conclusion
of the initial monitoring activities, and will provide the RPC a copy
of the report upon completion. Upon completion and receipt of the
initial report, the following process shall apply:
(A) An RPC may provide a written response to the initial
monitoring report within 30 days of receipt of the report. The response
should be provided or approved by the RPC Executive Director and/or
the Executive Committee.
(B) The Commission Executive Director will report a
summary of the RPC's final compliance assessment upon completion of
all monitoring activities, reports and RPC responses, along with a
recommendation for acceptance or disapproval. The Commission may act
to accept the Executive Director's recommendation. The Commission
will convey its acceptance of responses, resolutions or recommendations
in writing to the RPC within five working days of any such action.
(C) The Commission may delay action pending requests
for additional information or investigation, and any follow up actions
deemed necessary for resolution. Any such requests shall be made in
writing to the RPC within five working days. The RPC shall have 15
working days in which to provide additional information requested
by the Commission. Commission Executive Director will present any
additional information to the Commission at its next regularly scheduled
meeting in conjunction with appropriate staff review and determination.
Final resolution of monitoring findings shall be communicated to the
RPC within five working days.
(D) The Commission may disallow specific expenditures
of 9-1-1 funds, and may direct the RPC to repay the 9-1-1 fund of
any disallowed expenditure. The Commission shall communicate any such
disallowance to the RPC within five working days of Commission action.
(E) The RPC may appeal a decision to disallow expenditures
by writing to the Executive Director of the Commission. A review board
will make recommendations to the Commission Executive Director for
approval, disapproval, or approval with modifications, of monitoring
exceptions. The Commission will send the final written determination
by the Executive Director to the RPC within 30 calendar days of the
decision. Unless other repayment plans are made, the RPC must refund
all funds due after a final determination is made by the Executive
Director. Failure to comply with this provision will subject the RPC
to the provisions of this subsection.
(3) Disallowance and Repayment--The RPC shall reimburse
the 9-1-1 fund for any 9-1-1 surcharge funds and service fees (9-1-1
funds) expended by the RPC in noncompliance with applicable law and
rules. Such reimbursement shall be made in accordance with the procedure
established in subparagraphs (A) - (E) of this paragraph.
(A) The RPC shall provide a written proposal to the
Commission for repayment within 30 days of notification of disallowance
of any 9-1-1 fund expenditures. Repayment to the 9-1-1 fund shall
be completed within a reasonable length of time as established by
the Commission, not to exceed 5 years.
(B) The RPC shall provide detail, in writing, of its
efforts to recover 9-1-1 funds from its participating local governments
and/or vendors, in compliance with the Contract for 9-1-1 Service,
(C) The repayment plan shall be reviewed and approved
by the RPC Executive Committee, or Board, prior to being submitted
to the Commission.
(D) Upon receipt of the RPC repayment plan, Commission
staff shall present the plan and staff recommendations to the Commission
at its next regularly scheduled meeting.
(E) The Commission may accept or reject any repayment
plan proposal. In either case, the RPC shall be notified of the Commission's
action with five working days. In the case of rejection, this paragraph
shall be repeated until resolution is accomplished.
(4) Monitoring of Repayment--Commission staff shall
closely monitor repayment of any disallowed fees through review of
Financial Status Reports, submitted quarterly, to the Commission.
Any discrepancies or irregularities shall be reported to the Commission's
internal auditor and reported to the Commission.
(5) Repeated Problems or Findings and Sanctions--If
subsequent annual monitoring review reveals repeated findings that
have not been corrected from a prior year's monitoring report, the
RPC shall be deemed to be in continued violation. In accordance with
State law, the Commission may consider designating another administrative
entity if it is determined that a continued violation by an RPC constitutes
willful disregard of applicable law and rules, gross negligence, or
failure to observe accepted standards of administration.
(b) RPC Monitoring of Interlocal Agreements and Performance.
The RPC shall monitor, at least annually, the performance on each
of its interlocal agreements.
(1) Local Monitoring Plan Development--Each RPC shall
develop its own local-level monitoring plan that shall be incorporated
into its Regional Strategic Plan. Local monitoring plans shall include,
at a minimum, a schedule or timetable for monitoring all interlocal
contracts for 9-1-1 funded activities, equipment, and or services.
(2) Compliance with Contract Stipulations--The RPC
shall monitor each interlocal contract for performance of contract
deliverables, which shall include the stipulations contained in the
Contract, Article 4, Standard Interlocal Agreements with Local Governments.
(3) Documentation--Local monitoring activities, findings,
recommendations and responses shall be documented in writing and retained
for at least 5 years.
(4) Reporting Procedures--The RPC shall establish reporting
procedures to convey the monitoring data to the RPC Executive Director,
Executive Committee and the Commission.
(5) Reports to the Commission--The Commission shall
require, at a minimum, the following documentation and information
listed in subparagraphs (A) - (C) of this paragraph.
(A) Certification or other assurance that interlocal
agreements have been executed between the RPC and each of its performing
Local Governments. Such certification shall be communicated to the
Commission within the RPC's biannual strategic plan submission, or
upon the Commission's request.
(B) Local Monitoring Plans shall be submitted to the
Commission in conjunction with the regularly scheduled biannual 9-1-1
Strategic Plan submission. Revisions to any such document shall be
submitted to the Commission in writing as they occur.
(C) Local monitoring findings shall be submitted to
the Commission as they are completed and approved by the RPC Executive
Director, according to the local schedule, and shall be submitted
in conjunction to regular Commission performance reporting schedules.
The Commission shall exercise its right to conduct monitoring activities
as a result of the local monitoring reports.
|Source Note: The provisions of this §251.11 adopted to be effective November 21, 1999, 24 TexReg 10041; amended to be effective October 12, 2003, 28 TexReg 8583; amended to be effective May 2, 2004, 29 TexReg 3955; amended to be effective December 7, 2008, 33 TexReg 9971; amended to be effective February 22, 2011, 36 TexReg 916; amended to be effective March 5, 2014, 39 TexReg 1357