|(a) Purpose. The purpose of this rule is to provide policies and procedures to be used by the Commission in monitoring each Regional Planning Commission's (RPC) implementation and provisioning of E9-1-1 service. (b) The Commission reserves the right to perform monitoring of the RPC and/or its performing local governments or PSAPs for compliance with applicable law, rules, policies and procedures. 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, Policies and Procedures, and especially relating to the rules contained in Chapter 251--Regional Plans; (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 equipment; (vi) maintenance of adequate and accurate fiscal records and documentation; (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 Governments. (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 MOU, Section 2.4. (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. (c) 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