PART 2. TEXAS ETHICS COMMISSION
CHAPTER 22. RESTRICTIONS ON CONTRIBUTIONS AND EXPENDITURES
The Texas Ethics Commission (commission) proposes an amendment to §22.7, relating to documentation that a candidate, officeholder, or political committee must obtain from an out-of-state political committee before accepting a political contribution from the out-of-state political committee.
The amendment to §22.7 would track statutory changes made to the §253.032 of the Election Code and would update the rule to be consistent with that statute.
David A. Reisman, Executive Director, has determined that for each year of the first five years that the rule is in effect there will be no fiscal implication for the state and no fiscal implication for local government as a result of enforcing or administering the rule as proposed. Mr. Reisman has also determined that the rule will have no local employment impact.
Mr. Reisman has also determined that for each year of the first five years the rule is in effect, the anticipated public benefit will be clarity in what is required by the law.
Mr. Reisman has also determined there will be no direct adverse effect on small businesses or micro-businesses because the rule does not apply to individuals.
Mr. Reisman has further determined that there are no economic costs to persons required to comply with the rule.
The Texas Ethics Commission invites comments on the proposed rule from any member of the public. A written statement should be mailed or delivered to Natalia Luna Ashley, Texas Ethics Commission, P.O. Box 12070, Austin, Texas 78711-2070, or by facsimile (FAX) to (512) 463-5777. A person who wants to offer spoken comments to the commission concerning the proposed rule may do so at any commission meeting during the agenda item "Communication to the Commission from the Public" and during the public comment period at a commission meeting when the commission considers final adoption of the proposed rule. Information concerning the date, time, and location of commission meetings is available by telephoning (512) 463-5800 or, toll free, (800) 325-8506.
The amendment to §22.7 is proposed under Government Code, Chapter 571, §571.062, which authorizes the commission to adopt rules concerning the laws administered and enforced by the commission.
The amendment to §22.7 affects §253.032 of the Election Code.
§22.7.Contribution from Out-of-State Committee.
(a) For each reporting period during which a candidate, officeholder, or political committee accepts a contribution or contributions from an out-of-state political committee totaling more than $500, the candidate, officeholder, or political committee must comply with subsections (b) and (c) of this section.
(b) The candidate, officeholder, or political committee covered by subsection (a) of this section must first obtain from the out-of-state committee one of the following documents before accepting the contribution that causes the total received from the out-of-state committee to exceed $500 during the reporting period:
(1) a written statement, certified by an officer of
the out-of-state [-] political committee, listing the full
name and address of each person who contributed more than $100 to
the out-of-state political committee during the 12 months immediately
preceding the date of the contribution; or
(2) a copy of the out-of-state political committee's
statement of organization filed as required by law with the Federal
Election Commission and certified by an officer of the out-of-state
committee [the Federal Election Commission].
(c) The document obtained pursuant to subsection (b) of this section shall be included as part of the report that covers the reporting period in which the candidate, officeholder, or political committee accepted the contribution that caused the total accepted from the out-of-state committee to exceed $500.
(d) A candidate, officeholder, or political committee that:
(1) receives contributions covered by subsection (a) of this section from the same out-of-state committee in successive reporting periods; and
(2) complies with subsection (b)(2) of this section before accepting the first contribution triggering subsection (a) of this section, may comply with subsection (c) of this section in successive reporting periods by submitting a copy of the certified document obtained before accepting the first contribution triggering subsection (a) of this section, rather than by obtaining and submitting an original certified document for each reporting period, provided the document has not been amended since the last submission.
(e) A candidate, officeholder, or political committee that accepts a contribution or contributions totaling $500 or less from an out-of-state political committee shall include as part of the report covering the reporting period in which the contribution or contributions are accepted either:
(1) a copy of the out-of-state committee's statement
of organization filed as required by law with the Federal Election
Commission and certified by an officer of the out-of-state committee
[the Federal Election Commission]; or
(2) the following information:
(A) the full name of the committee, and, if the name is an acronym, the words the acronym represents;
(B) the address of the committee;
(C) the telephone number of the committee;
(D) the name of the person appointing the campaign treasurer; and
(E) the following information for the individual appointed campaign treasurer and assistant campaign treasurer:
(i) the individual's full name;
(ii) the individual's residence or business street address; and
(iii) the individual's telephone number.
(f) This section does not apply to a contribution from an out-of-state political committee if the committee filed a campaign treasurer appointment with the commission before making the contribution.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 23, 2009.
TRD-200900777
Natalia Luna Ashley
General Counsel
Texas Ethics Commission
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 463-5800
SUBCHAPTER A. GENERAL PROVISIONS
The Texas Ethics Commission (commission) proposes new §§34.22 - 34.27, relating to the valuation of a ticket to an entertainment event, including a sporting event.
Chapter 305 of the Government Code contains a number of restrictions on expenditures by registered lobbyists. (Chapter 305 of the Government Code also contains a number of restrictions on the acceptance of lobby expenditures by state officers, state employees, immediate family and guests of state officers and employees, candidates for state offices, and officers-elect.) One of the restrictions is for entertainment. A registered lobbyist is subject to an aggregate $500 maximum annual expenditure limit for entertainment for an individual state officer or employee, or immediate family or guests invited by a state officer or employee.
A question that often arises is what standard should be used to determine the value of entertainment in the form of a ticket to an entertainment event, including a sporting event. At its February 2009 meeting, the commission voted to propose the following six rules consisting of four options to clarify the question: Option 1 consists of §34.22 and §34.23, Option 2 consists of §34.24 and §34.25, Option 3 consists of §34.26, and Option 4 consists of §34.27.
David A. Reisman, Executive Director, has determined that for each year of the first five years that the new rules are in effect there will be no fiscal implication for the state and no fiscal implication for local government as a result of enforcing or administering the new rules as proposed. Mr. Reisman has also determined that the new rules will have no local employment impact.
Mr. Reisman has also determined that for each year of the first five years the new rules are in effect, the anticipated public benefit will be clarity in what is required by the law.
Mr. Reisman has also determined there will be no direct adverse effect on small businesses or micro-businesses because the new rules do not apply to single businesses.
Mr. Reisman has further determined that there are no economic costs to persons required to comply with the new rules.
The Texas Ethics Commission invites comments on the proposed new rules from any member of the public. A written statement should be mailed or delivered to Natalia Luna Ashley, Texas Ethics Commission, P.O. Box 12070, Austin, Texas 78711-2070, or by facsimile (FAX) to (512) 463-5777. A person who wants to offer spoken comments to the commission concerning the proposed rules may do so at any commission meeting during the agenda item "Communication to the Commission from the Public" and during the public comment period at a commission meeting when the commission considers final adoption of the proposed rules. Information concerning the date, time, and location of commission meetings is available by telephoning (512) 463-5800 or, toll free, (800) 325-8506.
The new §§34.22 - 34.27 are proposed under Government Code, Chapter 571, §571.062, which authorizes the commission to adopt rules concerning the laws administered and enforced by the commission.
The new §§34.22 - 34.27 affect Chapter 305 of the Government Code.
§34.22.Valuation of Ticket (Option 1).
For purposes of Chapter 305 of the Government Code and this chapter, and except as provided by §34.23 of this title (relating to Valuation of Ticket to a Suite (Option 1)):
(1) the value of a ticket to an entertainment event, including a sporting event, is the higher of:
(A) the face value of the ticket; or
(B) the amount paid for the ticket by the donor or a person on the donor's behalf and with the donor's consent or ratification.
(2) If the ticket has no face value, the ticket has the same value as the highest priced ticket to the same event with a face value.
§34.23.Valuation of Ticket to a Suite (Option 1).
For purposes of Chapter 305 of the Government Code and this chapter, the value of a ticket to an entertainment event, including a sporting event, obtained pursuant to a lease or other agreement for the right to use a suite and for the right to obtain tickets to the suite is as follows:
(1) If the ticket has a face value, the value of the ticket is calculated according to the following formula:
Figure: 1 TAC §34.23(1) (.pdf)
(2) If the ticket has no face value, the ticket has the same value as the highest priced ticket to the same suite with a face value.
(3) If none of the tickets to a suite have a face value, the value of a ticket is calculated according to the formula in paragraph (1) of this section with "$0" used as the face value of the ticket.
§34.24.Valuation of Ticket with a Face Value (Option 2).
For purposes of Chapter 305 of the Government Code and this chapter, and except as provided by §34.25 of this title (relating to Valuation of Ticket to a Suite (Option 2)), the value of a ticket to an entertainment event, including a sporting event, is the higher of:
(1) the face value of the ticket; and
(2) the amount paid for the ticket by the donor or a person on the donor's behalf and with the donor's consent or ratification.
§34.25.Valuation of Ticket to a Suite (Option 2).
(a) For purposes of Chapter 305 of the Government Code and this chapter, the value of a ticket to an entertainment event, including a sporting event, obtained pursuant to a lease or other agreement for the right to use a suite and for the right to obtain tickets to the suite is the fair market value at the time the ticket is accepted.
(b) Any reasonable method for determining the fair market value must factor in the value of a comparable ticket in an arm's length transaction.
(c) If a ticket to a suite is not available for resale at the time the ticket is accepted, the value of the ticket is calculated according to the following formula:
Figure: 1 TAC §34.25(c) (.pdf)
(1) If the ticket has no face value, the ticket has the same value as the highest priced ticket to the same suite with a face value.
(2) If none of the tickets to a suite have a face value, the value of the ticket is calculated according to the formula in subsection (c) of this section with "$0" used as the face value of the ticket.
§34.26.Valuation of a Ticket to an Entertainment Event, Including a Sporting Event (Option 3).
(a) For purposes of Chapter 305 of the Government Code and this chapter, the value of a ticket to an entertainment event, including a sporting event, is the fair market value at the time the ticket is accepted.
(b) Any reasonable method for determining the fair market value must factor in the value of a comparable ticket in an arm's length transaction.
(c) If a ticket to a suite is not available for resale at the time the ticket is accepted, the value of the ticket is calculated according to the following formula:
Figure: 1 TAC §34.26(c) (.pdf)
(1) If the ticket has no face value, the ticket has the same value as the highest priced ticket to the same suite with a face value.
(2) If none of the tickets to a suite have a face value, the value of a ticket is calculated according to the formula in subsection (c) of this section with "0" used as the face value of the ticket.
§34.27.Valuation of a Ticket to an Entertainment Event, Including a Sporting Event (Option 4).
(a) For purposes of Chapter 305 of the Government Code and this chapter, the value of a ticket to an entertainment event, including a sporting event, is the higher of:
(1) the face value of the ticket; or
(2) the amount paid for the ticket by the donor or a person on the donor's behalf and with the donor's consent or ratification; or
(3) the fair market value at the time the ticket is accepted.
(b) Any reasonable method for determining the fair market value must factor in the value of a comparable ticket in an arm's length transaction.
(c) If a ticket to a suite is not available for resale at the time the ticket is accepted, the value of the ticket is calculated according to the following formula:
Figure: 1 TAC §34.27(c) (.pdf)
(1) If the ticket has no face value, the ticket has the same value as the highest priced ticket to the same suite with a face value.
(2) If none of the tickets to a suite have a face value, the value of a ticket is calculated according to the formula in subsection (c) of this section with "0" used as the face value of the ticket.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900712
Natalia Luna Ashley
General Counsel
Texas Ethics Commission
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 463-5800
CHAPTER 173. INDIGENT DEFENSE GRANTS
The Task Force on Indigent Defense (Task Force) is a permanent Standing Committee of the Texas Judicial Council. The Task Force proposes the repeal of §§173.1 - 173.8, 173.101 - 173.104, 173.201, 173.202, 173.301 - 173.312, 173.401, and 173.402, concerning indigent defense grants. The Task Force simultaneously proposes new §§173.101 - 173.109, 173.201 - 173.205, 173.301 - 173.310, 173.401, and 173.402, concerning indigent defense grants. The new rules are proposed to establish the guidelines for the administration of the Task Force's grant program, which is designed to promote compliance by counties with the requirements of state law relating to indigent defense.
Jim Bethke, Director of the Task Force, has determined that for each year of the first five-year period the repeal is in effect the public benefit will be an improvement in the indigent defense services provided by counties because of the grants awarded under the proposed new rules.
Glenna Rhea Bowman, Chief Financial Officer of the Office of Court Administration, has determined that for each year of the first five years the proposed repeal is in effect, enforcing or administering the repeal will have no fiscal impact on state or local governments.
Ms. Bowman has also determined that there will be no material economic costs to persons who are required to comply with the repeal, nor does the proposed repeal have any anticipated adverse effect on small or micro-businesses.
Comments on the repeal of the sections may be submitted in writing to Wesley Shackelford, Special Counsel, Task Force on Indigent Defense, P.O. Box 12066, Austin, Texas 78711-2066, or by fax to (512) 475-3450 no later than 30 days from the date that this proposed repeal is published in the Texas Register.
SUBCHAPTER A. GENERAL GRANT PROGRAM PROVISIONS
(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Judicial Council or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)
The repeal is proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed repeal.
§173.1.Applicability.
§173.2.Definitions.
§173.3.Grant Submission Process.
§173.4.Selection Process.
§173.5.Grant Funding Decisions.
§173.6.Grant Acceptance.
§173.7.Adoptions by Reference.
§173.8.Use of the Internet.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900703
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Judicial Council or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)
The repeal is proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed repeal.
§173.101.Eligibility.
§173.102.Grant Funding.
§173.103.Expenditure Categories.
§173.104.Program Income.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900704
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Judicial Council or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)
The repeal is proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed repeal.
§173.201.Grant Conditions.
§173.202.Resolutions.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900705
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Judicial Council or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)
The repeal is proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed repeal.
§173.301.Grant Officials.
§173.302.Obligating Funds.
§173.303.Retention of Records.
§173.304.Expenditure Reports.
§173.305.Inventory Reports.
§173.306.Provision of Funds.
§173.307.Discretionary Grant Adjustments.
§173.308.Remedies for Noncompliance.
§173.309.Grant Termination.
§173.310.Violations of Laws.
§173.311.Grant Progress Reports.
§173.312.Grant Management.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900706
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the offices of the Texas Judicial Council or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)
The repeal is proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed repeal.
§173.401.Monitoring.
§173.402.Audits Not Performed by The Task Force on Indigent Defense.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900707
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
The Task Force on Indigent Defense (Task Force) is a permanent Standing Committee of the Texas Judicial Council. The Task Force proposes new §§173.101 - 173.109, 173.201 - 173.205, 173.301 - 173.310, 173.401, and 173.402, concerning indigent defense grants. The Task Force simultaneously proposes the repeal of §§173.1 - 173.8, 173.101 - 173.104, 173.201, 173.202, 173.301 - 173.312, 173.401, and 173.402, concerning indigent defense grants. The new rules are proposed to establish the guidelines for the administration of the Task Force's grant program, which is designed to promote compliance by counties with the requirements of state law relating to indigent defense.
Jim Bethke, Director of the Task Force, has determined that for each year of the first five-year period the rules are in effect the public benefit will be an improvement in the indigent defense services provided by counties because of the grants awarded under the proposed new rules.
Glenna Rhea Bowman, Chief Financial Officer of the Office of Court Administration, has determined that for each year of the first five years the proposed new sections are in effect, enforcing or administering the sections will have no fiscal impact on state or local governments.
Ms. Bowman has also determined that there will be no material economic costs to persons who are required to comply with the new sections, nor do the proposed new sections have any anticipated adverse effect on small or micro-businesses.
Comments on the proposed new rules may be submitted in writing to Wesley Shackelford, Special Counsel, Task Force on Indigent Defense, P.O. Box 12066, Austin, Texas 78711-2066, or by fax to (512) 475-3450 no later than 30 days from the date that these proposed rules are published in the Texas Register.
SUBCHAPTER A. GENERAL FUNDING PROGRAM PROVISIONS
The new rules are proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed new rules.
§173.101.Applicability.
(a) The Texas Legislature authorized the Task Force on Indigent Defense (Task Force) to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties to provide indigent defense services. It further authorized the Task Force to monitor grants and enforce compliance by counties with grant terms. Subchapters A - D of this chapter apply to all indigent defense grants and other funds awarded to counties by the Task Force. Subchapter A of this chapter covers the general provisions for funding. Subchapter B of this chapter addresses funding types, eligibility, and general provisions of grant funding. Subchapter C of this chapter sets out the rules related to administering grants. Subchapter D of this chapter specifies rules regarding fiscal and program monitoring and audits.
(b) Only counties in Texas are eligible to receive grants or other funds from the Task Force.
(c) The Task Force may distribute funds in accordance with its policies and based on official submissions and reports provided by the counties. These funds must be used to improve indigent defense systems in the county and are subject to all applicable conditions contained in this chapter.
§173.102.Definitions.
The following words and terms, when used in this chapter, will have the following meanings, unless otherwise indicated:
(1) "Applicant" is a county that has submitted a grant application, grant renewal documentation, or other request for funding from the Task Force.
(2) "Application" is any formal request for funding submitted by a county to the Task Force.
(3) "Crime" means
(A) a misdemeanor punishable by confinement; or
(B) a felony.
(4) "Defendant" means a person accused of a crime or a juvenile offense.
(5) "Direct Disbursement" means funds available for reimbursement of indigent defense expenses to counties that do not apply for the formula grant.
(6) "Discretionary Grant" means funding approved for a specific program designed to improve the quality of indigent defense services.
(7) "Equalization Disbursement" means funding allocated to counties through a formula based on the percentage of reimbursement counties receive for increased indigent defense expenses or other criteria approved by the Task Force.
(8) "Extraordinary Disbursement" means funding to reimburse a county for actual extraordinary expenses for providing indigent defense services in a case or series of cases.
(9) "Fair Defense Account" is an account in the general revenue fund that may be appropriated only to the Task Force on Indigent Defense for the purpose of implementing the Texas Fair Defense Act.
(10) "Formula Grant" means funding allocated to counties through a formula based upon population figures or other criteria approved by the Task Force.
(11) "Grant" is a funding award made by the Task Force to a Texas county in the form of a formula grant or discretionary grant.
(12) "Grantee" means a county that is the recipient of a grant or other funds from the Task Force.
(13) "Juvenile offense" means conduct committed by a person while younger than 17 years of age that constitutes:
(A) a misdemeanor punishable by confinement; or
(B) a felony.
(14) "Other funds" means funding awarded by the Task Force to a county other than a grant and includes but is not limited to:
(A) Direct Disbursements;
(B) Extraordinary Disbursements;
(C) Equalization Disbursements;
(D) Targeted Specific funding; and
(E) Technical Support.
(15) "Special condition" means a requirement placed on a county by the Task Force that must be satisfied as condition of funding.
(16) "Targeted Specific Funds" means funding awarded to counties by the Task Force for a specific program designed to promote and assist counties' compliance with the requirements of state law relating to indigent defense.
(17) "Technical Support" means funding awarded to counties to improve the quality of indigent defense services, raise the knowledge base about indigent defense, and establish processes that can be generalized to similar situations in other counties.
(18) "Task Force on Indigent Defense" (Task Force) is the governmental entity established and governed by §71.051 of the Texas Government Code.
(19) "UGMS" means the Uniform Grant Management Standards promulgated by the Governor's Office of Budget and Planning at §§5.141 - 5.151 and §5.167 of this title.
§173.103.Process for Submitting Applications for Grants and Other Funds.
(a) The Task Force shall provide notice of availability of grants and other funds on the Internet, and will publish on its website the related methods and policies.
(b) Grant applications. The Task Force will provide written notice to each county judge of any Requests for Applications (RFA) for indigent defense grants. Applicants applying pursuant to an RFA must submit their applications according to the requirements provided in the RFA. The RFA will provide the following:
(1) information regarding deadlines for the submission of applications;
(2) the maximum and minimum amounts of funding available for a grant, if applicable;
(3) the starting and ending dates for grants;
(4) information regarding how applicants may access applications;
(5) information regarding where applicants must submit applications;
(6) submission and program requirements; and
(7) the priorities for funding as established by the Task Force.
(c) Applications for other funds. The Task Force also may consider applications for other funds that have not been submitted pursuant to an RFA. Applicants must submit such applications in accordance with the Task Force-provided guidelines for other funds, and will be selected in accordance with §173.104 of this chapter (relating to Grant Resolutions).
§173.104.Grant Resolutions.
(a) Each grant application must include a resolution from the county commissioners' court that contains the following:
(1) authorization for the submission of the application to the Task Force;
(2) provision giving the authorized official the power to apply for, accept, decline, modify, or cancel the grant; and
(3) written assurance that, in the event of loss or misuse of Fair Defense Account funds, the governing body will return all funds as required by the Task Force.
(b) The Task Force may require a resolution from counties receiving other funds.
§173.105.Selection Process.
(a) The Task Force or its designees will review all applications and shall award from the Fair Defense Account formula grants, discretionary grants, or other funds.
(b) Upon reviewing an application, staff may require an applicant to submit, within a specified time, additional information to complete the review or to clarify or justify the application. Neither a request for additional information nor the issuance of a preliminary review report means that the Task Force will fund an application.
(c) The Task Force will inform applicants in writing or by electronic means of decisions to grant or deny applications for funding.
(d) If the Task Force determines that an applicant has failed to submit the necessary information or has failed to comply with any Task Force rule or other relevant statute, rule, or requirement, the Task Force may hold a grantee's funds until the grantee has satisfied the requirements of a special condition imposed by the Task Force. The Task Force may reject the application and deny the grant for failure to satisfy the requirements.
(e) Except as provided by law, all funding decisions made by the Task Force or its designees are final and are not subject to appeal.
§173.106.Grant Funding Decisions.
(a) The Task Force or its designees will make decisions on applications for funding through the use of objective tools and comparative analysis. The Task Force or its designees will first determine whether the grantee is eligible for funds in accordance with §173.101 of this chapter (relating to Applicability) and §173.201 of this chapter (relating to Eligibility).
(b) All funding decisions rest completely within the discretionary authority of the Task Force or its designees. The receipt of an application for funding does not obligate the Task Force to award funding, and the Task Force may partially fund budget items in grant applications.
(c) Granting an application does not require the Task Force to give a subsequent application priority consideration.
(d) Task Force decisions regarding funding are subject to the availability of funds.
§173.107.Grant Acceptance.
Each applicant must accept or reject a grant award within 30 days of the date upon which the Task Force issues a Statement of Grant Award. The Director of the Task Force may alter this deadline upon request from the applicant. The authorized official designated under §173.301 of this chapter (relating to Grant Officials) must formally accept the grant in writing before the grantee may receive any grant funds.
§173.108.Adoptions by Reference.
(a) Grantees must comply with all applicable state statutes, rules, regulations, and guidelines.
(b) The Task Force adopts by reference the rules, documents, and forms listed below that relate to the administration of grants.
(1) Uniform Grant Management Standards (UGMS) adopted pursuant to the Uniform Grant and Contract Management Act of 1981, Chapter 783, Texas Government Code. See §§5.141 - 5.151 and §5.167 of this title.
(2) The Task Force forms, including the statement of grant award, grant adjustment notice, grantee's progress report, financial expenditure report, and property inventory report.
§173.109.Use of the Internet.
The Task Force may require submission of applications for grants or other funds, progress reports, financial reports, and other information via the Internet. Completion and submission of a progress report or financial report via the Internet meets the relevant requirements contained within this chapter for submitting reports in writing. If an application for a grant or other funds is submitted via the Internet, the Task Force will not consider it complete until the grantee provides an Internet Submission Form that is signed by the applicant's authorized official and that meets all relevant deadlines for applications. This form certifies that the information submitted via the Internet is true and correct and that, if funding is awarded, the grantee will abide by all relevant rules, policies, and procedures. The Director of the Task Force may grant a county a waiver of Internet submission requirements for good cause shown.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900708
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
The new rules are proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed new rules.
§173.201.Eligibility.
(a) The Task Force may provide funds, including grants from the Fair Defense Account, to counties that have complied with standards developed by the Task Force and that have demonstrated commitment to compliance with the requirements of state law relating to indigent defense.
(b) A county may not reduce the amount of funds expended for indigent defense services in the county because of funds provided by the Task Force. Because discretionary grants and targeted specific funds are awarded to enable a county to establish a new system or program for providing indigent defense services, such grants may or may not enter into a calculation of whether the county has or will reduce its funding because of Task Force funding. Other types of funding, including formula grants, direct disbursements, equalization disbursements, extraordinary disbursements, or technical support, shall be considered in determining compliance with this requirement.
§173.202.Use of Funds.
Grants provided under this chapter may be used by counties for:
(1) Attorney fees for indigent defendants accused of crimes or juvenile offenses;
(2) Expenses for licensed investigators, experts, forensic specialists, or mental health experts related to the criminal defense of indigent defendants;
(3) Other direct litigation costs related to the criminal defense of indigent defendants; and
(4) Other approved expenses allowed by the RFA or necessary for the operation of a funded program.
§173.203.Expenditure Categories.
(a) Allowable expenditure categories and any necessary definitions will be provided to the applicant as part of the application process.
(b) Expenditures may be allocated to the grant in accordance with the Uniform Grant Management Standards.
§173.204.Program Income.
(a) Rules governing the use of program income are included in the provisions of the Uniform Grant Management Standards adopted by reference in §173.108 of this chapter (relating to Adoptions by Reference).
(b) Grantees must use program income to supplement program costs or reduce program costs. Program income may only be used for allowable program costs.
§173.205.Equipment.
(a) Decisions by the Task Force or its designees regarding requests to purchase equipment using Task Force funds will be made based on the availability of funds, whether the grantee has demonstrated that the requested equipment is necessary and essential to the successful operation of the funded program, and whether the equipment is reasonable in cost.
(b) For counties that receive a multi-year grant, the Task Force will only fund equipment and other one-time costs during the first year unless permission is granted in writing. Otherwise, equipment and other one-time costs will not factor in to the overall project costs after the first year of the grant.
(c) The Task Force requires each grantee to maintain an inventory report of all equipment purchased with Task Force funds. This report must comport with the final financial expenditure report. At least once each year during the award period, each grantee must complete a physical inventory of all property purchased with Task Force funds and the grantee must reconcile the results with the purchased property records. For single-year awards, the inventory and reconciliation must be made at the end of the award period and submitted with the final report.
(d) Equipment purchased with Task Force funds must be labeled and handled in accordance with the grantee's property management policies and procedures.
(e) Unless otherwise provided, equipment purchased is the property of the grantee after the end of the award period or termination of the operation of the funded program, whichever occurs last.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900709
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
The new rules are proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed new rules.
§173.301.Grant Officials.
(a) Each grant must have the following designated to serve as grant officials:
(1) Program director. This person must be the officer or employee responsible for program operation and who will serve as the point-of-contact regarding the program's day-to-day operations.
(2) Financial officer. This person must be the county auditor or county treasurer if the county does not have a county auditor.
(3) Authorized official. This person must be authorized to apply for, accept, decline, modify, or cancel the grant for the applicant county. A county judge or a designee authorized by the governing body in its resolution may serve as the authorized official.
(b) The Task Force may require a county to designate a program director for other funded programs.
(c) The program director and the authorized official may be the same person. The financial officer may not serve as the program director or the authorized official.
§173.302.Obligating Funds.
The grantee may not obligate grant funds before the beginning or after the end of the grant period.
§173.303.Retention of Records.
(a) Grantees must maintain all financial records, supporting documents, statistical records, and all other records pertinent to the award for at least three years following the closure of the most recent audit report or submission of the final expenditure report. Records retention is required for the purposes of state examination and audit. Grantees may retain records in an electronic format. All records are subject to audit or monitoring during the entire retention period.
(b) Grantees must retain records for equipment, non-expendable personal property, and real property for a period of three years from the date of the item's disposition, replacement, or transfer.
(c) If any litigation, claim, or audit is started before the expiration of the three-year records retention period, the grantee must retain the records under review until the resolution of all litigation, claims, or audit findings.
§173.304.Expenditure Reports.
(a) Recipients of grants and other funds may be required to submit expenditure reports to the Task Force in addition to the annual expenditure report required for all counties under Texas Government Code §71.0351(e).
(b) The Task Force will provide the appropriate forms and instructions for the reports along with deadlines for their submission. The financial officer shall be responsible for submitting the expenditure reports. The Task Force may place a financial hold on a grantee's future funds if the grantee fails to submit timely expenditure reports or submits incomplete financial reports.
(c) Grantees must ensure that actual expenditures are adequately documented. Documentation may include, but is not limited to, ledgers, purchase orders, travel records, time sheets or other payroll documentation, invoices, contracts, mileage records, telephone bills and other documentation that verifies the expenditure amount and appropriateness to the funded program.
§173.305.Provision of Funds.
(a) After a grant has been accepted and if there are no outstanding special conditions or other deficiencies, the Task Force may forward funds to the grantee. Funds will be disbursed to the grantee no more often than quarterly unless specific permission is granted in writing from the Director.
(b) Disbursement of funds is always subject to the availability of funds.
(c) Discretionary grant funds will be paid only after the expenditure report has been submitted. Funds must be expended, not obligated, before being included in the funding expenditure report.
§173.306.Discretionary Grant Adjustments.
(a) The authorized official must sign all requests for grant adjustments.
(b) Budget Adjustments. Grant adjustments consisting of reallocations of funds among or within budget categories in excess of $10,000 or ten percent of the original grant award, whichever is less, are considered budget adjustments, and are allowable only with prior approval of the Director of the Task Force.
(c) Non-Budget Grant Adjustments. The following rules apply to non-budget grant adjustments:
(1) Requests to revise the scope, target, or focus of the project, or alter project activities require advance written approval from the Task Force or its designees, as determined by the Director of the Task Force.
(2) The grantee will notify the Task Force or its designees in writing of any change in the designated program director, financial officer, or authorized official within ten days following the change.
§173.307.Remedies for Noncompliance.
If a grantee fails to comply with any term or condition of a grant or other funds, the Task Force may take one or more of the following actions:
(1) disallow all or part of the cost of the activity or action that is not in compliance and seek a return of the cost;
(2) impose administrative sanctions, other than fines, on the grantee;
(3) temporarily withhold all payments pending correction of the deficiency by the grantee;
(4) withhold future grants or other funds from the program or grantee; or
(5) terminate the grant or other funds in whole or in part.
§173.308.Term of Grant or Other Funds.
(a) The term of a grant or other funds shall be specified in the award statement or other funding document.
(b) If a grantee wishes to terminate a grant or other funds in whole or in part before the end of the award period, the grantee must notify the Task Force in writing. The Task Force or its designee will make arrangements with the grantee for the early termination of the award.
(c) The Task Force may terminate any grant or other funds, in whole or in part, when:
(1) a grantee fails to comply with any term or condition of the grant or other funds or the grantee has failed to comply with any applicable rule;
(2) the grantee and the Director of the Task Force agree to do so;
(3) indigent defense funds are no longer available; or
(4) conditions exist that make it unlikely that grant or program objectives will be accomplished.
(d) A grantee may submit a written request for an extension of the funding period in extraordinary circumstances. The Task Force must receive requests for funding extensions at least 30 days prior to the end of the funding period.
§173.309.Violations of Laws.
If the grantee has a reasonable belief that a criminal violation may have occurred in connection with Fair Defense Account funds, including the misappropriation of funds, fraud, theft, embezzlement, forgery, or any other serious irregularities indicating noncompliance with the requirements of a grant or other funds, the grantee must immediately notify the Task Force in writing of the suspected violation or irregularity. The grantee may also notify the local prosecutor's office of any possible criminal violations. Grantees whose programs or personnel become involved in any litigation arising from the grant or award of other funds, whether civil or criminal, must immediately notify the Task Force and forward a copy of any demand notices, lawsuits, or indictments to the Task Force.
§173.310.Progress Reports for Discretionary Grants and Other Funds.
Each grantee must submit reports regarding performance and progress towards goals and objectives in accordance with the instructions provided by the Task Force or its designee. To remain eligible for funding, the grantee must be able to show the scope of services provided and the impact and quality of those services.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900710
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994
The new rules are proposed under the Texas Government Code §71.062. The Task Force is authorized to direct the Comptroller to distribute Fair Defense Account funds, including grants, to counties for indigent defense services under the Texas Government Code §71.062. This section further authorizes the Task Force to monitor grants and enforce compliance with grant terms and to develop policies to ensure funds are allocated and distributed to counties in a fair manner. The Task Force interprets §71.062(c) to require the Task Force to adopt rules governing the process for distributing grant funds.
No other statutes, articles, or codes are affected by the proposed new rules.
§173.401.Fiscal Monitoring.
(a) The Task Force or its designees will monitor the activities of grantees as necessary to ensure that Task Force grant funds are used for authorized purposes in compliance with laws, regulations, and the provisions of grant agreements.
(b) The monitoring program may consist of formal audits, monitoring reviews, and technical assistance. The Task Force or its designees may implement monitoring through on-site review at the grantee location or through a desk review based on grantee reports. In addition, the Task Force or its designees may require grantees to submit relevant information to the Task Force to support any monitoring review. The Task Force may contract with an outside provider to conduct the monitoring.
(c) Grantees must make available to the Task Force or its designees all requested records relevant to a monitoring review. The Task Force or its designees may make unannounced monitoring visits at any time. Failure to provide adequate documentation upon request may result in disallowed costs or other remedies for noncompliance as detailed under §173.307 of this chapter (relating to Remedies for Noncompliance).
(d) After a monitoring review, the grantee will be notified in writing of any noncompliance identified by the Task Force or its designees in the form of a draft report.
(e) The grantee will respond to the draft report and the deficiencies, if any, and submit a plan of corrective action, if necessary, within a time frame specified by the Task Force or its designees.
(f) The corrective action plan will include the:
(1) titles of the persons responsible for implementing the corrective action plan;
(2) corrective action to be taken; and
(3) anticipated completion date.
(g) If the grantee believes corrective action is not required for a noted deficiency, the response will include an explanation, specific reasons, and supporting documentation.
(h) The Task Force or its designees will approve the corrective action plan and may require modifications prior to approval. The grantee's replies and the approved corrective action plan, if any, will become part of the final report.
(i) The grantee will correct deficiencies identified in the final report within the time frame specified in the corrective action plan.
§173.402.Audits Not Performed by the Task Force on Indigent Defense.
(a) Grantees must submit to the Task Force copies of the results of any single audit conducted in accordance with the State Single Audit Circular issued under the Uniform Grant Management Standards. Grantees must ensure that single audit results, including the grantee's response and corrective action plan, if applicable, are submitted to the Task Force within 30 days after grantee receipt of the audit results or nine months after the end of the audit period, whichever is earlier.
(b) All other audits performed by auditors independent of the Task Force must be maintained at the grantee's administrative offices pursuant to §173.303 of this chapter (relating to Retention of Records) and be made available upon request by the Task Force or its representatives. Grantees must notify the Task Force of any audit results that may adversely impact the Task Force grant funds.
(c) Nothing in this section should be construed so as to require a special or program-specific audit of a grantee's Indigent Defense grant program.
This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.
Filed with the Office of the Secretary of State on February 18, 2009.
TRD-200900711
James Bethke
Director, Task Force on Indigent Defense
Texas Judicial Council
Earliest possible date of adoption: April 5, 2009
For further information, please call: (512) 936-6994