Part 3. OFFICE OF THE ATTORNEY GENERAL

Chapter 60. TEXAS CRIME VICTIM SERVICES GRANT PROGRAMS

The Office of the Attorney General (OAG) proposes amendments to Subchapter A (General Provisions and Eligibility §§60.1, 60.2, 60.3, 60.5, 60.6, 60.9, 60.10, 60.11, 60.12, and 60.13), Subchapter B (Application Review and Award Process §§60.101, 60.102, and 60.103), Subchapter C (Grant Budget Requirements §§60.201, 60.202, 60.204, 60.205, and 60.208), Subchapter D (Required Attachments §60.301), and Subchapter E (Administering Grants §§60.405, 60.408, and 60.409), relating to rules governing the Texas Crime Victim Services Grant Programs and proposes to revise Subchapter C by adding new rule §60.209. The proposed amendments and new rule will better serve victims of crime by improving the administration of the Texas Crime Victim Services Grant Programs.

According to Article I, Section 31 of the Texas Constitution, the Texas Compensation to Victims of Crime Fund may be expended as provided by law only for delivering or funding victim-related compensation, services, or assistance. Article 56.541(e) of the Texas Code of Criminal Procedure provides that the OAG may use funds from the Texas Compensation to Victims of Crime Fund for grants or contracts supporting crime victim-related services or assistance. Subsection (f) of the Article requires the OAG to adopt rules necessary to carrying out the Article's provisions.

The proposed amendments and new rule accurately implement, interpret, and prescribe the law and minimum standards of practices, procedures, and policies of the OAG relating to the administration of the Texas Compensation to Victims of Crime Fund as required by the Administrative Procedures Act, Texas Government Code, Ch. 2001.

Subchapter A (General Provisions and Eligibility, §§60.1, 60.2, 60.3, 60.5, 60.6, 60.9, 60.10, 60.11, 60.12, and 60.13). The proposed amendment to §60.1 corrects a punctuation error in (6). Section 60.2 allows for the rules to be suspended at the discretion of the OAG. Section 60.3 changes the "CVC fund" to the "Texas Compensation to Victims of Crime Fund." Section 60.5 enumerates the purposes of the OVAG and VCLG funds. Section 60.6 lists eligible purpose areas of OVAG funds. Section 60.9 enumerates eligible budget categories for both the OVAG and VCLG programs. Section 60.10 provides funding levels and requirements for local and statewide programs under both the OVAG and VCLG programs. Section 60.11 sets out the applicable grant term. Section 60.12 makes clear that continued funding is subject to a renewal by the OAG. Section 60.13 describes the OAG's authority to fund grant projects outside the standard application cycle.

Subchapter B (Application, Review and Award Process, §§60.101, 60.102, and 60.103). The proposed amendment to §60.101 states that the OAG shall determine the process for making funding decisions. The proposed amendment to §60.102 describes how an applicant will be notified of an award and requires an applicant to accept or reject the award within a certain time period. Section 60.103 states that all funding decisions made by the OAG are final.

Subchapter C (Grant Budget Requirements, §§60.201, 60.202, 60.204, 60.205, and 60.208). The proposed amendment to §60.201 lists the requirements for the personnel budget category. Section 60.202 describes the fringe benefits allowed under the grant. Section 60.204 adds that grant funds may not be used for out-of-state travel. Section 60.205 has been modified to reflect the current provisions of the Uniform Grant Management Standards, published by the Governor's Office of Budget and Planning. Section 60.208 defines indirect costs.

Subchapter D (Required Attachments, §60.301). The proposed amendment to §60.301 requires that a resolution be included with the application.

Subchapter E (Administering Grants, §§60.405, 60.408, and 60.409). The proposed amendment to §60.405 places specific requirements on a grantee making a grant adjustment. Section 60.408 outlines the process for maintenance of records. Section 60.409 provides for a written request within 10 days of receipt of a notice of sanction.

The OAG is also proposing new rule §60.209 to outline unallowable costs.

Mr. Herman Millholland, Chief of the Crime Victim Services Division of the OAG, has determined that for the first five year period in which the proposed rule and amendments are in effect, no fiscal implication to units of local government is anticipated.

Mr. Millholland has also determined that for the first five-year period in which the proposed rule and amendments are in effect there will not be an adverse effect on small businesses. There is no anticipated economic costs to persons in connection with these rules.

Mr. Millholland has determined that for the first five-year period in which the proposed rule and amendments are in effect, the anticipated public benefit is the better administration of the Texas Compensation to Victims of Crime Fund to provide for an improved Texas Crime Victim Services Grant Programs.

Comments on the proposed rule and amendments may be submitted, in writing, no later than 30 days from the date of this publication to Melissa Foley, Office of the Attorney General, P.O. Box 12198, Austin, Texas 78711-2198 or by telephone (512) 463-0826 or by e-mail to melissa.foley@oag.state.tx.us. All requests for a public hearing on the proposed rule and amendments, submitted under the Administrative Procedure Act, must be received by the OAG not more than 15 days after the notice of proposed changes in the sections that have been published in the Texas Register .

Subchapter A. GENERAL PROVISIONS AND ELIGIBILITY

1 TAC §§60.1 - 60.3, 60.5, 60.6, 60.9 - 60.13

The amendments are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The amendments affect Texas Code of Criminal Procedure, Article 56.541.

§60.1.Definitions.

The following terms and abbreviations, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise:

(1) - (4) (No change.)

(5) RFA--Request for Application; [ and Planning; ]

(6) UGMS--Uniform Grant Management Standards, published by the Governor's Office of Budget and Planning;

(7) - (8) (No change.)

§60.2.Construction of Rules.

Unless otherwise noted, these rules apply to both OVAG and VCLG grant programs. If good cause is established to show that compliance with these rules may result in an injustice to any party, the rules may be suspended at the discretion of the OAG [ Attorney General or his designee ].

§60.3.Source of Funds.

Article 56.541(e) of the Texas Code of Criminal Procedure authorizes the OAG to use money appropriated to the Texas Compensation to Victims of Crime Fund [ CVC fund ]for grants or contracts supporting victim-related services or assistance. Pursuant to this authorization, the OAG created two types of grant programs, OVAG and VCLG. The source of grant funds for both programs is a biennial appropriation by the Texas Legislature from specified court costs and fees. The funds are constitutionally dedicated. Allocation of funds in the OVAG program is competitive.

§60.5.Purpose of Funds.

(a) (No change.)

(b) The purpose of the OVAG Program is to provide funds on a competitive basis to programs that address the unmet needs of victims of violent crime by maintaining or increasing their access to high quality services. [ Funds awarded under the OVAG program are typically used to fund victim services for which other funding sources may not exist. ]

(c) The OAG reserves the right to consider all other appropriations or funding an applicant currently receives when making funding decisions. The OAG may give priority to applicants that do not receive other sources of funding, including funding that originates from the Texas Compensation to Victims of Crime Fund.

(d) The OAG reserves the right to give priority to programs providing direct victim services with grant funds, programs that provide information and education about victims' rights in their community, and programs that utilize volunteers in providing services.

(e) The OAG reserves the right to give priority to programs providing services in certain geographic or programmatic areas that address the unmet needs of victims of violent crime by maintaining or increasing their access to quality services.

(f) Within its discretion, the OAG shall determine the manner and procedure for making funding decisions.

§60.6.OVAG Eligible Purpose Areas.

Grants awarded under OVAG [ this chapter ] may be used for the following purposes:

(1) providing direct victim services;

(2) helping identify crime victims and providing or referring them to needed services [ victim services training ];

(3) helping contact crime victims who might not otherwise be reached [ victim assistance public awareness ];

(4) connecting crime victims to services and assisting in their recovery; [ emergency funds to victims; and ]

(5) training professionals and volunteers to improve their ability to afford victims their rights as provided by law, to competently assist victims in their recovery, and to establish a continuum of care accessible to all victims of violent crime; and

(6) [ (5) ] other support for victim services as determined by the OAG.

§60.9.Eligible Budget Categories.

(a) Eligible budget categories are limited to the following:

(1) personnel [ salary ];

(2) - (8) (No change.)

(b) (No change.)

§60.10.Funding Levels and Match [ Limits ].

(a) For local programs, under VCLG and OVAG, the minimum [ maximum ] amount of funding for which an applicant may apply is $20,000 [ $60,000 ] per fiscal year [ ($120,000 for the two-year grant period) ].

(b) For statewide programs, under OVAG only, the minimum [ maximum ] amount of funding for which an applicant may apply is $20,000 [ $250,000 ] per fiscal year [ ($500,000 for the two-year grant period) ].

(c) The maximum amount of funding for which an OVAG and VCLG applicant may apply is stated in the RFA and the Application Kit.

(d) The OAG may require cash and/or in-kind match for OVAG and VCLG grants as stated in the RFA and the Application Kit.

(e) [ (c) ] Certain statewide entities may be eligible to apply for pass-through funding on behalf of their local members [ subsidiaries ]. Such pass-through funding is subject to different funding limitations from those described in subsections (a) and (b) of this section. Entities wishing to determine whether they are eligible for this type of funding should consult the RFA and Application Kit [ application materials ].

(f) [ (d) ] The amount of an award and the match required are [ is ] determined solely by the OAG. The OAG may award grants at amounts above or below the established funding levels and is not obligated to fund a grant at the amount requested. The OAG reserves the right to alter the required match for any funded program.

(g) The OAG may require volunteers to be used as an in-kind match and may give priority to applicants who utilize volunteers in their organization.

§60.11.Grant Period.

(a) Grants are awarded for a one year term [ two-year period ] beginning September 1st and ending August 31st [ after each legislative session, with separate budgets for each state fiscal year ].

(b) The OAG reserves the right to alter the starting date and length of the grant term [ period ].

§60.12.Continuation of Funding.

There is no commitment by the OAG that a grant, once funded, will receive subsequent funding. The OAG will have the option to renew the grant for one additional year subject to and contingent on funding, review and approval.

§60.13.Nonstandard Funding.

If the OAG determines that it is in the best interest of the state, the OAG may fund projects outside the standard application cycle or process and may change a grant to a different funding source if necessary .

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 May 26, 2005.

TRD-200502145

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §§60.101 - 60.103

The amendments are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The amendments affect Texas Code of Criminal Procedure, Article 56.541.

§60.101.Scoring and Review Process.

(a) The OAG will review each eligible application. The OAG may designate a team to evaluate or score eligible applications. The OAG has full authority in making all funding decisions. However, allocation of the funds for the OVAG program shall be competitive based on a process established by the OAG .

(b) - (c) (No change.)

§60.102.Grant Decision Process.

(a) The OAG will inform the applicant in writing of its decision regarding a grant award [ through either a Statement of Grant Award or a denial letter signed by the Attorney General or his designee ].

(b) (No change.)

(c) The OAG must receive a written acceptance or rejection of a grant award within 45 calendar days of the date of notification [ the Statement of Grant Award ]. An applicant's failure to provide written [ the grantee ] acceptance [ notice ] to the OAG within this time period will be construed as a rejection of the grant award, and the OAG may deobligate funds.

(d) The OAG may add special conditions to the grant award requiring documents to be submitted prior to the reimbursement of any expenses. Special conditions include submission of attachments or justification for certain items. Until satisfied, these special conditions will affect the grantee's ability to receive [ access ] funds. If special conditions are not resolved, the OAG may deobligate the entire amount of the grant award.

§60.103.Review of Denial.

All funding decisions made by the OAG [ Attorney General or his designee ] are final and are not subject to appeal.

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 May 26, 2005.

TRD-200502146

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §§60.201, 60.202, 60.204, 60.205, 60.208

The amendments are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The amendments affect Texas Code of Criminal Procedure, Article 56.541.

§60.201. Personnel [ Salary ].

(a) The personnel [ salary ] budget category may include salaries of employees only, and not compensation paid to independent contractors. "Employee" is defined as a person under the direction and supervision of the grantee [ entity ], who is on the payroll of the grantee [ entity ] and for whom the grantee [ entity ] is required to pay applicable income withholding taxes; or a person who will be on the grantee's [ entity's ] payroll and for whom the grantee [ entity ] will pay applicable income withholding taxes once the grant is awarded.

(b) Salaries for grant-funded positions must be reasonable and comply with the grantee's [ entity's ] salary classification schedule. If a grantee [ an entity ] does not have a classification schedule, the grantee [ entity ] must maintain documentation supporting that the salary is commensurate with that paid in the geographic area for positions with similar duties and qualifications. In any event, the OAG will determine whether [ or not ] a salary is reasonable and may limit the OAG-funded portion of any salary.

(c) (No change.)

(d) A grantee [ An entity ] may not use grant funds to pay overtime.

§60.202.Fringe Benefits.

(a) (No change.)

(b) Grant funds may be used to pay fringe benefits only if grant funds are also being used for salaries [ salary ].

(c) A grantee [ An entity ] must provide grant-funded personnel the same fringe benefits provided to all other non-grant-funded personnel of the grantee [ entity ].

§60.204.Travel.

(a) - (b) (No change.)

(c) Grant funds may not be used to pay for out-of-state travel.

§60.205.Equipment.

(a) "Equipment" is defined as an article of non-expendable, tangible personal property having a useful life of more than one (1) year and a per unit acquisition cost which equals the lesser of: [ any item with a unit cost of $1,000 or more and any other item, without regard to the unit cost, that a grantee capitalizes in its own accounting records. ]

(1) the capitalization level established by the grantee for financial statement purposes: or

(2) $5,000.

(b) A grantee may use equipment paid for with OAG funds only for grant-related purposes and not for personal or non-grant-related purposes.

(c) All costs for equipment must follow the guidelines set forth in UGMS and OMB circulars .

(d) (No change.)

§60.208.Indirect Costs.

(a) "Indirect costs" is defined as any cost not directly identified with a single, final cost objective, but identified with two or more final cost objectives[ , ] or with at least one intermediate cost objective. For additional guidelines on "indirect costs," grantees [ entities ] should consult UGMS.

(b) The OAG will not allow indirect costs unless the grantee [ entity ] submits a cost allocation plan approved by a cognizant agency and the costs are approved by the OAG.

(c) (No change.)

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 May 26, 2005.

TRD-200502147

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §60.209

The new rule is proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The new rule affects Texas Code of Criminal Procedure, Article 56.541.

§60.209.Unallowable Costs.

(a) OAG grant funds may not be used for the following:

(1) to pay overtime, out-of-state travel, dues, or lobbying;

(2) to purchase food and beverages for meetings or program participants;

(3) to fund the purchase of vehicles; or

(4) to purchase promotional items or recreational activities.

(b) Funds may not be used to purchase any other products or services the OAG identifies as inappropriate or unallowable within the RFA.

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 May 26, 2005.

TRD-200502150

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §60.301

The amendments are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The amendments affect Texas Code of Criminal Procedure, Article 56.541.

§60.301.Resolution.

(a) The resolution permits the applicant [ entity ] to submit an application . [ and ] The resolution shall [ must ] be submitted by the applicant before the award or release of funds.

(b) (No change.)

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 May 26, 2005.

TRD-200502148

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §§60.405, 60.408, 60.409

The amendments are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the OAG to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money from the Texas Compensation to Victims of Crime Fund for grants or contracts that support crime victim-related services or assistance.

The amendments affect Texas Code of Criminal Procedure, Article 56.541.

§60.405.Grant Adjustments.

(a) (No change.)

(b) If it becomes necessary to move funds that are greater than ten percent of the total budget between existing budget categories, revise the scope or target of the program, add new budget categories, or alter project activities, a grantee must first request and receive approval from the OAG for a grant adjustment. The person designated [ in the Grantee Acceptance Notice ] to make such requests or the authorized signator must sign all grant adjustment request forms.

(c) (No change.)

§60.408.Maintenance of Records.

(a) The grantee shall maintain adequate records to support its charges, procedures, and performances to the OAG for all work related to the grant. The grantee also shall maintain such records as are deemed necessary by the OAG and auditors of the State of Texas, the United States, or such other persons or entities designated by the OAG, to ensure proper accounting for all costs and performances related to the grant. [ Unless otherwise noted, a grantee must retain all records relating to the grant for at least five years following the closure of the most recent audit report for the purposes of federal and state auditing and monitoring. Records may be retained in an electronic format. ] Such records include, but are not limited to:

(1) - (3) (No change.)

(4) Adequate travel logs that include, at a minimum, dates, destinations, mileage amounts, expenses, and explanations of grant-related activities performed during the travel.

(5) (No change.)

(6) Records of the disposition, replacement or transfer of any equipment[ , non-expendable personal property or real property ] purchased with grant funds. The [ five-year ] retention period for these records begins on the date of the disposition, replacement or transfer.

(7) Records of any litigation, claims, or audits involving the grant. [ The retention period for these records shall continue until such litigation, claims or audits have been resolved. ]

(b) The grantee shall maintain and retain for a period of four (4) years after the submission of the final expenditure report all such records as are necessary to fully disclose the extent of services provided under the contract. However, if four years after the submission of the final expenditure report, the records are subject to or implicated in pending litigation, claims, or audits, they must be retained until those matters have been fully and finally resolved.

(c) Records may be retained in an electronic format.

§60.409.Sanctions.

(a) - (e) (No change.)

(f) A grantee may request a review of the sanctions imposed, as described below:

(1) The grantee must make a written request for reconsideration no later than 10 days after the receipt of an OAG notice of sanctions [ A grantee may, within 10 calendar days of the date on the notice of sanctions, make a written request for reconsideration of any sanctions imposed ].

(2) - (4) (No change.)

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 May 26, 2005.

TRD-200502149

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, please call A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §§62.1 - 62.9, 62.11 - 62.19

(Editor's note: The text of the following sections proposed for repeal will not be published. The sections may be examined in the Office of the Attorney General or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The Office of the Attorney General (OAG) proposes the repeal of §§62.1 - 62.9 and 62.11 - 62.19, relating to the provision of services to survivors of sexual assault and for sexual assault prevention in Texas.

The repeal is proposed under Texas Government Code, Chapter 420, entitled the Sexual Assault Prevention and Crisis Services Act. Chapter 420 promotes the development of locally based and supported nonprofit programs for survivors of sexual assault and the standardization of the quality of services provided. Section 420.011 grants the OAG the authority to adopt rules to implement the chapter. The OAG conducted a review of Title I, Chapter 62 of the Texas Administrative Code and determined that the rules warranted a substantial reorganization. Specifically, the OAG found the rules in their current form to be confusing and difficult to apply. To streamline the contract application and funding process and the certification of advocate training programs and Sexual Assault Nurse Examiners (SANE), new rules under Chapter 62 are being proposed and published simultaneously with a proposed repeal of the rules currently contained in the chapter. The expected effects of the proposed repeal together with the proposed new rules together are streamlined contract funding and administration and advocate training and SANE certification.

Herman Millholland, Chief, Crime Victim Services Division of the Office of the Attorney General, has determined that for the first five-year period the repeals are in effect there will be no additional fiscal implications to state or local governments as a result of enforcing or administering the repeals as proposed.

Mr. Millholland has determined that for the first five-year period the repeals are in effect the anticipated public benefit will be more efficient administration of the Federal and State funds for grants or contracts supporting sexual assault victim-related services or assistance.

Mr. Millholland has also determined that for the first five-year period the repeals are in effect, there will be no adverse economic impact on small businesses. There are no anticipated economic costs to persons who are required to comply with the repeals as proposed.

Comments may be submitted no later than 60 days from the date of publication to Carrie Cothran-Williams, Crime Victim Services Division, Office of the Attorney General, P.O. Box 12198, Mail Code 011-1, Austin, Texas 78711-2198, or by telephone (512) 936-1661, or by e-mail to sapcs@oag.state.tx.us.

The repeals are proposed under the Texas Code of Criminal Procedure, Title 1, Article 56.541(f), which authorizes the Office of the Attorney General to adopt rules reasonable and necessary to implement Article 56.541, and in order to use money of the CVC fund for grants or contracts that support crime victim-related services or assistance.

The repeals affect Texas Government Code, Chapter 420.

§62.1.Introduction and Scope.

§62.2.Definitions.

§62.3.Potential Applicants.

§62.4.Procedure To Apply for Funds (General Information for the Applicant).

§62.5.Request for Proposal Applications.

§62.6.Evaluation Requirements of the Program.

§62.7.Application Review Criteria.

§62.8.Future Participation.

§62.9.Administrative Review.

§62.11.Definitions.

§62.12.Program Requirements for Training Certification.

§62.13.Test Requirements.

§62.14.Trainers.

§62.15.Continuing Education.

§62.16.Program Application Process for Training Certification.

§62.17.Appeals Process.

§62.18.Revocation and Appeals Process for Revocation of Certification.

§62.19.Restoration of Good Standing.

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 May 25, 2005.

TRD-200502129

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, you may contact A.G. Younger, Agency Liaison, at (512) 463-2110.

1 TAC §§62.33 - 62.86

The Office of the Attorney General (OAG) proposes new §§62.33 - 62.86, relating to the funding of OAG Sexual Assault Prevention and Crisis Services contracts, the application, review and award process, and sexual assault advocate training certification.

Chapter 420 of the Texas Government Code, entitled the Sexual Assault Prevention and Crisis Services Act, promotes the development of locally based and supported nonprofit programs for survivors of sexual assault and the standardization of the quality of services provided. Section 420.011 grants the OAG the authority to adopt rules to implement the chapter. The OAG conducted a review of Title I, Chapter 62 of the Texas Administrative Code and determined that the new rules were warranted. Specifically, the OAG found the rules in their current form to be confusing and difficult to apply. To streamline the contract application and funding process and the certification of advocate training programs, new rules under Chapter 62 are being proposed and published simultaneously with a proposed repeal of the rules currently contained in the chapter. The expected effects of the proposed repeal together with the proposed new rules together are streamlined contract funding and administration and certification of advocate training programs.

Section 62.33 states that the rules will apply to Sexual Assault Prevention and Crisis Services (SAPCS) contracts and may be suspended at the discretion of the Attorney General or the Chief of Crime Victim Services Division. Section 62.34 provides definitions for terms and abbreviations in this chapter. Section 62.35 describes the source of the funds for SAPCS contracts. Section 62.36 provides that, if an application for funds is approved, funding is contingent upon appropriation of funds by the United States Congress and Texas Legislature. Section 62.37 describes the purpose of SAPCS funds. Section 62.38 lists the organizations eligible to apply under the SAPCS program. Section 62.39 sets out the applicable contract period. Section 62.40 makes clear that continued funding of a contract depends upon a contractor's past performance. Section 62.41 describes the OAG's authority to require matching funds and to fund contracts outside the standard application cycle. Section 62.42 describes how a potential applicant may obtain a Request for Applications (RFA). Section 62.43 describes the scoring and review process and specifies the methods used to allocate SAPCS funds. Section 62.44 describes how an applicant will be notified of a contract award. Section 62.45 states that all funding decisions are final. Section 62.46 provides general provisions applicable to an applicant's budget. Section 62.47 enumerates eligible budget categories for SAPCS funds. Section 62.48 lists the requirements for the personnel budget category. Section 62.49 defines "fringe benefits" and authorizes contract funds to be used for fringe benefits in limited circumstances. Section 62.50 describes the limited circumstances under which a contractor may be reimbursed for professional and consultant services. Section 62.51 provides limitations for reimbursement of travel expenses. Section 62.52 defines "equipment" and sets guidelines for the inclusion of equipment costs in an applicant's budget. Section 62.53 describes the types of supplies that may be included in an applicant's budget. Section 62.54 defines "other direct operating expenses" for inclusion in an applicant's budget. Section 62.55 places conditions on the inclusion of "indirect costs" in an applicant's budget. Section 62.56 describes unallowable costs. Section 62.57 lists required assurances. Section 62.58 states that all required forms will be provided by the OAG and that untimely submission of these forms to the OAG may result in sanctions. Section 62.59 requires an applicant to designate an authorized signator for contract administration purposes. Section 62.60 requires a contractor to submit to the OAG documentation of its financial status. Section 62.61 requires a contractor to provide performance reports to the OAG and submit to an assessment of a program's effectiveness. Section 62.62 requires a contractor to maintain and submit inventory reports to the OAG. Section 62.63 limits the number of contract adjustments a contractor may undertake and places specific requirements on a contractor making such an adjustment. Section 62.64 reserves in the OAG a license to use a contractor's copyright obtained through contract funds. Section 62.65 requires a contractor to comply with Uniform Grant Management Standards and applicable Office of Management and Budget circulars throughout the contract administration process. Section 62.66 requires a contractor to retain records relating to the contract for a specific time period. Section 62.67 provides possible sanctions for a contractor's failure to comply with the rules and details the actions a contractor must undertake to obtain a review of any sanctions imposed. Section 62.68 describes circumstances under which the OAG may suspend funds or terminate contracts. Section 62.69 describes the appeal process when a contract is suspended or terminated. 62.70 requires a contractor to notify the OAG, and the local prosecutor if applicable, of any violation or possible violation of law relating to the contract. Section 62.71 prevents persons affiliated with a contract from participating in any action that would directly or indirectly be a personal benefit to the person or the person's relatives. Section 62.72 details the quality assurance measures the OAG will conduct throughout the contract period. Section 62.73 requires a contractor to conduct or undergo annual contract audits and to provide the results of the audit to the OAG. Section 62.74 defines generally "Advocate Training Certification." Section 62.75 provides definitions for terms used in the chapter. Section 62.76 lists policy and training requirements local programs must implement. Section 62.77 dictates trainer qualifications. Section 62.78 provides testing requirements. Section 62.79 sets out continuing education requirements. Section 62.80 permits sexual assault programs with a certified training to use only advocates who have attended a certified training. Section 62.81 describes the application for training certification. Section 62.82 requires the OAG to verify that the requirements of certification are being maintained by the program through various means. Section 62.83 requires programs to renew their certification every two years. Section 62.84 grants the OAG the authority to place a certified training program on suspension or probation, or to decertify the program. Section 62.85 permits a program to appeal the OAG's suspension, probation or decertification decision, and sets out the procedure for doing so. Section 62.86 authorizes the OAG to request a pre-hearing conference.

Herman Millholland, Chief, Crime Victim Services Division of the OAG, has determined that for the first five-year period the new sections are in effect there will be no additional fiscal implications to state or local governments as a result of enforcing or administering the new sections as proposed.

Mr. Millholland has determined that for the first five-year period the proposed new sections are in effect the anticipated public benefit will be more efficient administration of the Federal and State funds for grants or contracts supporting sexual assault victim-related services or assistance.

Mr. Millholland has also determined that for the first five-year period the proposed new sections are in effect there will be no adverse economic impact on small businesses because the new sections impose no additional burdens on anyone. There are no anticipated economic costs to persons who are required to comply with the new sections as proposed.

Comments may be submitted no later than 60 days from the date of publication to Carrie Cothran-Williams, Crime Victim Services Division, Office of the Attorney General, P.O. Box 12198, Mail Code 011-1, Austin, Texas 78711-2198, or by telephone (512) 936-1661, or by e-mail to sapcs@oag.state.tx.us.

The new sections are proposed under the Texas Government Code, §420.004 and §420.011, which authorize the OAG to adopt rules necessary to implement Chapter 420.

The new sections affect Texas Government Code, Chapter 420.

§62.33.Application of Rules.

Unless otherwise noted, these rules apply to all SAPCS contract programs. If good cause is established to show that compliance with these rules may result in an injustice to any party, the rules may be suspended at the discretion of the OAG.

§62.34.SAPCS Definitions.

The following terms and abbreviations, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise:

(1) OMB--Office of Management and Budget;

(2) OAG--Office of the Attorney General;

(3) RFA--Request for Applications;

(4) Sexual Assault--Any act or attempted act as described in the Texas Penal Code, Chapter 21 or §§22.011, 22.021, 25.02, 43.03, 43.04, 43.24, 43.25, or 43.251.

(5) Sexual Assault Program--Any local public or private nonprofit corporation, independent of a law enforcement agency or prosecutor's office, that is operated as an independent program or as part of a municipal, county, or state agency that provides the minimum services established in Chapter 420, Government Code;

(6) SAPCS--Sexual Assault Prevention and Crisis Services program of the OAG;

(7) Survivor--An individual who is a victim of sexual assault, regardless of whether a law enforcement report is made or the perpetrator is convicted;

(8) Special Project--Projects outside the standard application cycle or process for SAPCS funding, but that relate to sexual assault services.

(9) UGMS--Uniform Grant Management Standards, published by the Governor's Office.

§62.35.Source of Funds.

(a) Federal and state funds are used to contract with sexual assault programs.

(b) Federal Department of Health and Human Services, Preventative Health Services Block Grant, Catalog of Federal Domestic Assistance (CFDA) Number 93.991 and Rape Prevention Education Funding CFDA Number 93.136 in accordance with 45 C.F.R. Part 74 are the source of these funds.

(c) Article 56.541(e) of the Texas Code of Criminal Procedure authorizes the OAG to use money appropriated to the Texas Compensation to Victims of Crime Fund for grants or contracts supporting victim-related services or assistance. Pursuant to this authorization, the OAG funds SAPCS contracts according to the biennial appropriation by the Texas Legislature. The funds are constitutionally dedicated.

(d) Additional funding comes from parole fees pursuant to §19(e), Article 42.12, Code of Criminal Procedure, and §508.189, Government Code.

§62.36.Availability of Funds.

All funding is contingent upon the appropriation of funds by the United States Congress and the Texas Legislature and upon approval of an application for funds by the OAG.

§62.37.Purposes of Funding.

(a) Direct and support services to survivors of sexual assault and their families;

(b) Education and training about the nature, scope, and prevention of sexual assault to the public, professionals, students, and volunteers, as required by federal funding guidelines;

(c) Activities and services to prevent sexual assault; and

(d) Other support for services to survivors and their families as determined by the OAG.

§62.38.SAPCS Eligible Applicants.

(a) The following organizations are eligible to apply under the SAPCS program:

(1) local units of government, excluding law enforcement agencies and prosecutor's offices;

(2) non-profit agencies with 26 U.S.C. §501(c)(3) status; and

(3) state agencies.

(b) An organization must also offer and maintain the following minimum services for at least nine months to be eligible to receive a SAPCS contract, pursuant to Chapter 420, Texas Government Code:

(1) 24-hour crisis hotline;

(2) crisis intervention;

(3) public education (including professional education);

(4) advocacy and accompaniment to hospitals, law enforcement offices, prosecutors' offices, and courts for survivors and their family members; and

(5) crisis intervention advocate training.

§62.39.Contract Term.

(a) Contracts are awarded for a one year term beginning September 1st and ending August 31st.

(b) The OAG reserves the right to alter the starting date and length of the contract term.

§62.40.Continuation of Funding.

There is no commitment by the OAG that a contract, once funded, will receive subsequent funding. The OAG will have the option to renew this contract for one additional year subject to and contingent on funding, review and approval.

§62.41.Match and Nonstandard Funding.

(a) The OAG may require cash and/or in-kind match for SAPCS contracts as stated in the RFA and application kit. The OAG reserves the right to alter the required match for any funded program.

(b) If the OAG determines that it is in the best interest of the state, the OAG may fund special projects outside the standard application cycle or process.

§62.42.SAPCS Application Process.

(a) After the RFA is published in the Texas Register , it will be available on the official agency website at www.oag.state.tx.us, or an applicant may request the RFA from the Crime Victim Services Division.

(b) An applicant for a contract under this Chapter must submit an application for funding to the Crime Victim Services Division of the OAG.

(c) The application must be received by the OAG, Crime Victim Services Division, by the deadline stated in the RFA.

(d) Providing false information, knowingly or unknowingly, on an application for funding may cause an application to be denied or cause the contract, once awarded, to be terminated.

§62.43.SAPCS Scoring and Review Process.

(a) The OAG will review each timely and complete application submitted by an eligible applicant. The OAG may designate a team to evaluate or score applications. The OAG has full and complete authority in making all funding decisions. New applicants will compete for the allocation of the funds for SAPCS programs, and a funding award to previous recipients may be formula-based.

(b) The OAG reserves the right to alter the formula or funding method.

(c) The OAG reserves the right to fund programs at amounts higher or lower than the amount determined according to the formula or other funding method when special circumstances exist.

(d) During the review process, an OAG staff member, or a designee, may contact the applicant for additional information.

(e) There are several stages of the review process. A decision to approve or deny funding may be made at any point during that process.

§62.44.SAPCS Contract Award Process.

(a) The OAG will inform the applicant in writing of its decision regarding a contract award noting the funding amount.

(b) In an effort to keep the applicants informed, the OAG may post information on the official agency website, www.oag.state.tx.us.

(c) The OAG may add special conditions to the contract award requiring documents to be submitted prior to the reimbursement of any expenses. Special conditions include submission of attachments or justification for certain items. Until satisfied, these special conditions will affect the contractor's ability to receive funds. If special conditions are not resolved, the OAG may de-obligate the entire amount of the contract.

§62.45.Review of Denial.

All funding decisions made by the OAG are final and are not subject to appeal.

§62.46.General Budget Provisions.

(a) All new applicants and previous recipients must submit a budget with their application.

(b) Contracts awarded by the OAG are cost reimbursement-only contracts. Contractors are reimbursed for authorized actual expenditures reflected in the documents required to be submitted to the OAG. If necessary, the OAG may use an alternative method of payment.

(c) An individual paid with OAG contract funds may not receive dual compensation for the same work, even if the services performed benefit more than one organization.

(d) All contractors must follow the rules and requirements as outlined in UGMS and all applicable OMB circulars.

(e) An organization must have an allocation plan for budget items that are funded partially with OAG sources or must maintain equivalent receipts and records.

(f) All budget items must be reasonable and necessary and be allocated proportionately within each budget category.

(g) All contracts or equipment purchases with a value of $25,000 or more must be pre-approved by the OAG.

§62.47.Eligible Budget Categories.

(a) Eligible budget categories are limited to the following:

(1) personnel;

(2) fringe benefits;

(3) professional and consultant services;

(4) travel;

(5) equipment;

(6) supplies;

(7) other direct operating expenses; and

(8) indirect costs.

(b) The description and requirements for each budget category may be found in §§62.48 - 62.55 of this chapter.

§62.48.Personnel.

(a) The personnel budget category may include only salaries for employees, and not compensation paid to independent contractors. "Employee" is defined as a person under the direction and supervision of the organization, who is on the payroll of the organization and for whom the organization is required to pay applicable income withholding taxes; or a person who will be on the organization's payroll and for whom the organization will pay applicable income withholding taxes once the OAG contract is awarded.

(b) Salaries for OAG contract-funded positions must be reasonable and comply with the organization's salary classification schedule. If an organization does not have a classification schedule, the organization must maintain documentation supporting that the salary is commensurate with that paid in the geographic area for positions with similar duties and qualifications. In any event, the OAG will determine whether a salary is reasonable and may limit the OAG-funded portion of any salary.

(c) The OAG may set minimum restrictions on the percentage of salary that may be funded by the OAG.

§62.49.Fringe Benefits.

(a) "Fringe benefits," as used in §62.47(a)(2) of this chapter, is defined as allowances and services provided by an organization to its employees as compensation in addition to regular salaries and wages. Fringe benefits may include the costs of leave, employee insurance, pensions, and unemployment benefit plans.

(b) OAG contract funds may be used to pay fringe benefits only for positions also funded by OAG contract funds.

(c) An organization must provide OAG-funded personnel the same fringe benefits provided to all other organization personnel not funded by the OAG contract.

§62.50.Professional and Consultant Services.

(a) "Professional and consultant services," as used in §62.47(a)(3) of this chapter, is defined as any service for which the organization uses an outside source for necessary support. Professional and consultant services may include accounting services, counseling, legal services, and computer support.

(b) All costs for professional and consultant services must follow the guidelines set forth in UGMS and applicable OMB circulars.

(c) OAG contract funds may not be used to pay a subcontractor or vendor who participates directly in writing the application for funds.

§62.51.Travel.

(a) Travel expenses will be reimbursed according to the Texas State Travel Guidelines, unless a contractor's travel policy provides a lesser reimbursement.

(b) Travel must relate directly to the delivery of services or to the central focus of the contract.

§62.52.Equipment.

(a) "Equipment," as used in §62.47(a)(5) of this chapter, is defined as an article of non-expendable, tangible personal property having a useful life of more than one (1) year and an acquisition cost which equals the lesser of:

(1) the capitalization level established by the contractor for financial statement purposes; or

(2) $5,000.

(b) A contractor may use equipment paid for with OAG funds only for contract-related purposes and not for personal or non-contract-related purposes.

(c) All costs for equipment must follow the guidelines set forth in UGMS and OMB circulars.

(d) Grant funds may not be used to fund the purchase of vehicles.

§62.53.Supplies.

"Supplies," as used in §62.47(a)(6) of this chapter, is defined as consumable items directly related to the day-to-day operation of the contract. Allowable items include office supplies, paper, postage, and education resource materials.

§62.54.Other Direct Operating Expenses.

(a) "Other direct operating expenses," as used in §62.47(a)(7) of this chapter, is defined as those costs not included in other budget categories and which are directly related to the day-to-day operation of the OAG contract.

(b) Funds may not be used to purchase food and beverages for meetings or program participants.

(c) Registration fees for conferences and other training sessions should be included in this category.

§62.55.Indirect Costs.

(a) "Indirect costs," as used in §62.47(a)(8) of this chapter, is defined as any cost not directly identified with a single, final cost objective, but identified with two or more final cost objectives or with at least one intermediate cost objective. For additional guidelines on "indirect costs," entities should consult UGMS.

(b) The OAG will not allow indirect costs unless the organization submits a cost allocation plan approved by a cognizant agency and the costs are approved by the OAG.

(c) The OAG reserves the right to limit indirect costs charged to a contract regardless of an applicant's cost allocation plan.

§62.56.Unallowable Costs.

(a) OAG contract funds may not be used for the following:

(1) to pay overtime, out-of-state travel, dues, or lobbying;

(2) to purchase food and beverages for meetings or program participants;

(3) to fund the purchase of vehicles; or

(4) to purchase promotional items or recreational activities.

(b) Funds may not be used to purchase any other products or services the OAG identifies as inappropriate or unallowable within the RFA.

§62.57.Assurances.

(a) The contractor agrees to and will comply with all terms and provisions of a contract, including but not limited to the following:

(1) Description of services;

(2) Reports as requested by the OAG;

(3) Standards for financial and programmatic management;

(4) Audit requirements;

(5) Terms and conditions of reimbursement;

(6) Confidentiality and use of client and related records;

(7) Copyrights, publications and patents; and

(8) Record retention and inspection.

(b) The contractor agrees to and will comply with all relevant state and federal laws including, but not limited to, those related to:

(1) Civil Rights Act;

(2) Rehabilitation Act;

(3) Americans with Disabilities Act;

(4) Equal Employment Opportunity;

(5) Debarment and Suspension;

(6) Smoke-Free Workplace;

(7) Drug-Free Workplace;

(8) Lobbying Disclosure;

(9) Immigration;

(10) Safety Standards;

(11) Public Information Act; and

(12) Health Insurance Portability and Accountability Act.

§62.58.SAPCS Contract Forms.

(a) Unless otherwise stated, all required forms will be provided by the OAG.

(b) Failure to submit the required forms provided by the OAG in a timely manner may result in sanctions as stated in §62.67 of this chapter.

§62.59.Authorized Signator.

(a) A contractor must designate an authorized signator. The authorized signator is the person authorized to apply for, accept, decline, or cancel the contract for the applicant organization. This person signs all contract adjustment requests, inventory reports, progress reports, and financial reports as well as any other official documents related to the OAG contract. This person may be, for example, the executive director of the organization, board president, or a county judge, mayor, city manager, assistant city manager, or designee authorized by the governing body.

(b) Any changes in the authorized signator must be submitted in writing to the OAG immediately.

(c) An authorized signator may designate alternate persons to sign certain contract documents.

§62.60.Financial Reporting and Reimbursement.

(a) Because contracts awarded under this chapter are reimbursement-only contracts, a contractor must submit financial status reports and invoices, as directed by the OAG.

(b) A contractor must ensure that its final invoice is received no later than the 45th calendar day after the end of the contract period (liquidation date). If this date falls on a weekend or a holiday, then the OAG will honor receipt on the following business day. On the liquidation date, if contract funds are on hold for any reason, the funds will lapse and cannot be recovered by the contractor.

(c) Invoices received after the above deadline may not be paid by the OAG.

(d) If necessary, the OAG may allow an extension beyond the established deadline.

§62.61.Performance Reporting.

(a) A contractor must submit monthly statistical reports in the manner and form determined by the OAG. Failure to do so may result in the OAG placing a contractor on financial hold and may affect future funding requests.

(b) The OAG, or its designee, may assess contract effectiveness through review of required statistical reports, on-site visits, and/or desk reviews. Information relating to monthly performance reporting must be maintained by the contractor and must be available for review by the OAG or its designee.

(c) The OAG will provide quarterly concurrence reports to contractors to verify reported data. A contractor must review the quarterly reports, verify the data, and submit documentation of concurrence or correction.

§62.62.Inventory Reporting.

A contractor must maintain an inventory report of all equipment purchased as part of the contract on file at its principal office. The contractor must complete and submit to the OAG an inventory of contract property no later than the 60th calendar day after the end of the contract period. If this date falls on a weekend or holiday, the OAG will honor receipt on the following business day.

§62.63.Contract Adjustments.

(a) Within each fiscal year, a contractor may transfer funds between direct cost line items in different approved budget categories, not to exceed a cumulative total of ten percent of the approved contract budget during that year, without requesting a contract adjustment from the OAG.

(b) If it becomes necessary to move funds that are greater than ten percent of the total budget between existing budget categories, revise the scope or target of the contract, add new budget categories, or alter contract activities, a contractor must first request and receive approval from the OAG for a contract amendment.

(c) The OAG will allow only one contract amendment per state fiscal year unless:

(1) the contractor demonstrates circumstances that the OAG deems adequately extenuating; or

(2) the OAG requests the contract adjustment.

§62.64.Copyrights.

A contractor may use funds from the contract to produce original books, manuals, films, or other original material. The contractor may copyright or patent such material subject to the royalty-free, non-exclusive, and irrevocable license to use the work and any modification to the work which is hereby granted to and retained by the federal government, the OAG, and Texas state government.

§62.65.Procurement, Property Management, and Contract Oversight Procedures.

A contractor shall use the procurement procedures, property management procedures, and contract oversight guidelines set forth in UGMS and all applicable OMB circulars. A contractor must comply with UGMS and all applicable federal, state and local laws and regulations.

§62.66.Maintenance of Records.

(a) The contractor shall maintain adequate records to support its charges, procedures, and performances to the OAG for all work related to the contract. The contractor also shall maintain such records as are deemed necessary by the OAG and auditors of the State of Texas, the United States, or such other persons or entities designated by the OAG, to ensure proper accounting for all costs and performances related to the contract. Such records include, but are not limited to:

(1) A copy of any required licenses or certifications of any individual who holds a contract-funded position;

(2) Time and attendance records for all contract-funded positions. These records must include the number of hours worked each day for the contract, the signature of the employee, and the signature of the supervisor. Any further documentation requested by the OAG shall be maintained by the contractor for audit and monitoring purposes;

(3) Documentation showing that the terms of any contract-funded, third-party contracts are being met;

(4) Adequate travel logs that include, at a minimum, dates, destinations, mileage amounts, expenses, and explanations of contract-related activities performed during the travel;

(5) Verification of completion of training and other related records;

(6) Records of the disposition, replacement, or transfer of any equipment purchased with contract funds. The retention period for these records begins on the date of the disposition, replacement or transfer; and

(7) Records of any litigation, claims, or audits involving the contract.

(b) The contractor shall maintain and retain for a period of four (4) years after the submission of the final expenditure report all such records as are necessary to fully disclose the extent of services provided under the contract. However, if four years after the submission of the final expenditure report, the records are subject to or implicated in pending litigation, claims, or audits, they must be retained until those matters have been fully and finally resolved.

(c) Records may be retained in an electronic format.

§62.67.Sanctions.

(a) Reimbursement for contract-related expenses is contingent upon a contractor's strict compliance with these rules, related requirements, and OAG procedures. Any failure to comply may result in the imposition of temporary or permanent sanctions or both.

(b) The OAG may place the contractor on probationary status and require the Sexual Assault Program to correct any deficiencies, undertake certain actions, and document such actions, including but not limited to:

(1) Additional Monitoring-accelerated or more detailed monitoring of the program;

(2) Written Corrective Action Plan-a detailed written plan with applicable time frames, to remedy the programmatic or contractual deficiency;

(3) Technical or Management Assistance-obtaining professional assistance to remedy the programmatic or contractual deficiency;

(4) Prior Approval-approval by the OAG prior to expenditure of contract funds; and/or

(5) Additional Reporting-additional, more detailed financial and/or programmatic reports or documentation.

(c) The OAG will notify a contractor if grounds for sanctions exist.

(d) If the contractor receives notice of grounds for sanctions and subsequently provides satisfactory evidence that the deficient condition has been corrected, the OAG may discontinue the sanctions.

§62.68.Suspension of Funds and Termination of SAPCS Contracts.

(a) If a contractor is notified of sanctions and fails to correct the deficient condition(s) in the time and manner as indicated by the OAG, the OAG may:

(1) Demand repayment of funds from the contractor to the OAG;

(2) Withhold or suspend reimbursement of all or part of the awarded funds pending compliance by the contractor or its subcontractor(s);

(3) Reduce the amount of the contract or award; or

(4) Terminate the contract. The OAG may require the contractor to return any equipment purchased with contract funds.

(b) If the contractor remains out of compliance with these rules, related requirements or OAG procedures, the OAG may deny future funding to the contractor.

§62.69.Appeal of Suspension of Funds or Termination of SAPCS Contracts.

(a) The OAG's decision to suspend funds or terminate contracts may be appealed by submitting a written request for a hearing no later than 10 days after the receipt of the OAG notification letter.

(b) The written request for a hearing must include:

(1) the reason for the appeal;

(2) documentation or information to support the appeal; and,

(3) if necessary, the OAG must be granted access to information relevant to the appeal.

(c) The applicant is responsible for all costs incurred as a result of requesting a hearing, and those costs will not be reimbursed by the OAG.

(d) The OAG shall respond in writing to a request for a hearing with the following:

(1) instructions regarding the hearing process; and,

(2) a request for additional documentation if necessary.

(e) The applicant has 30 days from the date of receipt of the OAG's request to supply additional documentation.

(f) The applicant shall receive a minimum of 10 days notice of their hearing date, time, and location.

(g) The hearing will be conducted by a designee of the Attorney General and shall take place either in person in Travis County, Texas, by telephone, or by videoconference, at the discretion of the OAG.

(h) At the hearing, the applicant may present testimony and documentation to refute suspension of funds or termination of contract by the OAG.

(i) Failure to appear or be available for the scheduled hearing, or failure to notify the OAG of an intended absence within 48 hours of the scheduled hearing, shall result in a final decision based on available information.

(j) As soon as practicable after the hearing the OAG will notify the applicant in writing of the final decision, including the reasons for the decision.

(k) In any proceeding under this chapter, the burden of proof is on the applicant to submit evidence showing that grounds for continuation of funding exist.

§62.70.Violations of Laws.

A contractor must immediately provide notification to the OAG and, if applicable, the local prosecutor's office, of any knowledge, suspicion, or evidence of any violation of law that affects or is related to the contract. Such violations include misappropriation of funds, fraud, theft, embezzlement, forgery, or any serious irregularity or noncompliance with the requirements of this chapter.

§62.71.Standards of Conduct.

(a) In making decisions affecting expenditures, a program receiving contract funds shall comply with the Texas Non-Profit Corporation Act, Tex. Rev. Civ. Stat. Ann. art. 1396-2.30.

(b) Contract personnel and officials must avoid any action that results in or creates the appearance of:

(1) using their official positions for private gain;

(2) giving preferential treatment to any person;

(3) losing independent judgment or impartiality;

(4) making an official decision outside of official channels; or

(5) adversely affecting the confidence of the public in the integrity of the program or the OAG.

§62.72.Quality Assurance.

(a) Quality assurance reviews include programmatic monitoring, financial monitoring, and financial auditing.

(b) The OAG will conduct quality assurance reviews throughout the existence of a contract. A contractor must make all contract-related records available to OAG representatives unless the information is sealed by law.

(c) Quality assurance reviews may be on-site or desk reviews and may include any information that the OAG deems relevant to the contract.

(d) The OAG, or its designee, may make unannounced visits at any time.

(e) The OAG reserves the right to conduct its own audit or contract with another entity to audit any contractor.

(f) Based on the information gathered during monitoring or auditing, the OAG will issue a quality assurance report.

(g) A contractor must submit documentation to the OAG responding to any findings and questioned costs contained in the report.

(h) The quality assurance determination of the OAG is final and not subject to judicial review.

§62.73.Audit Standards.

(a) The OAG requires a contractor to conduct or undergo an annual audit of a contract, including sub-contracts, based on federal and state audit requirements and following audit standards set forth in UGMS and all applicable federal circulars.

(b) A contractor must submit to the OAG two copies of all audit reports, including audits as required in UGMS and all other audits that a contractor undergoes, regardless of the purpose. Such reports must be submitted to the OAG within 30 calendar days of completion.

(c) OAG contract funds may only be used for the fair and reasonable share of audit costs required by the OAG, in accordance with applicable federal and state cost principles.

§62.74.Advocate Training Certification.

(a) Advocate Training Certification is a credential available to sexual assault advocate training programs that are funded by the OAG. This chapter establishes minimum standards for training programs that prepare advocates to provide direct services to survivors of sexual assault. Pursuant to Texas Code of Criminal Procedure Article 56.045, these services include the right of a survivor of sexual assault receiving a forensic exam to have an advocate who has completed a certified sexual assault training program present and to be provided support during that exam.

(b) This chapter describes:

(1) the required training content, processes, and procedures for certification of a sexual assault training program; and,

(2) the responsibilities of the OAG in administering this program.

§62.75.Definitions for an Advocate Training Program.

The following words and terms, when used in this chapter, shall have the following meanings, unless the content clearly indicates otherwise:

(1) Classroom training--Training that is delivered to a group of people (more than one person) by at least one instructor/facilitator.

(2) Continuing education--Education arranged or approved by the local program to enhance direct service advocates' knowledge of sexual assault or skills in providing direct services to survivors. Continuing education is above and beyond the initial 40 hours of certified training.

(3) Direct service advocate--An employee or volunteer, at least 18 years of age, who has completed training certified through the OAG's Sexual Assault Prevention and Crisis Services program, and has been approved by the local program to provide direct services to survivors of sexual assault and their family members and/or friends.

(4) Direct services--Services provided to survivors of sexual assault and their family members and/or friends.

(5) Executive Director--The board liaison and chief staff person responsible for the overall fiscal management, program development, and staff supervision of a non-profit agency.

(6) Local program--A provider of services for survivors of sexual assault in Texas that receives funding from the OAG.

(7) On-the-job training (OJT)--Training related to the tasks direct service advocates perform on behalf of the local program. OJT includes observation by the trainee of an experienced direct service advocate performing these tasks and/or performance of these tasks by the trainee under the supervision of an experienced direct service advocate.

(8) Self-study--Assigned learning that occurs outside the traditional classroom environment that may include, but is not limited to reading material, film, and/or audio tapes. Reading 15 standard, letter-size pages, viewing one hour of film, or listening to one hour of audio-tape amounts to one hour of self-study training.

(9) Sexual assault services coordinator--A person or persons designated by the Executive Director to oversee the training and supervision of employees and volunteers who will provide direct services to survivors of sexual assault. This person or persons must have completed:

(A) Forty hours of training for direct service advocates approved by the local program Executive Director; and

(B) Fifty hours of direct client services.

(10) Survivor--A person who has experienced sexual assault.

§62.76.Policy and Training Requirements for an Advocate Training Program.

(a) Local programs must have written requirements that include:

(1) Training requirements for direct service advocates;

(2) Testing requirements for direct service advocates;

(3) Continuing education requirements for direct service advocates; and

(4) Confidentiality of client information.

(b) Local programs must deliver 40 hours of training for direct service advocates within a three month time frame on the following subject areas as defined by the Sexual Assault Advocate Training Certification Guidelines:

(1) Sexual assault dynamics. Eight hours of training must be delivered on sexual assault dynamics. A maximum of two hours can be self-study. Sexual assault dynamics must include the following topics:

(A) Historical perspective of sexual assault;

(B) Gender socialization;

(C) Definition of sexual assault;

(D) Sexual assault myths and facts;

(E) Effects of sexual assault on survivors;

(F) Survivor profile;

(G) Offender profile;

(H) Significant others; and

(I) Sexual assault statistics.

(2) System response. Nine hours of training must be delivered on system response. A maximum of three hours can be self-study. System response must include a tour of the medical facility where forensic exams are performed and the following topics:

(A) Child and adult protective services;

(B) Emergency room protocol;

(C) Medical/forensic exam;

(D) Role of SANE (when applicable);

(E) Pregnancy prevention for survivors;

(F) Sexually transmitted infections;

(G) Drug facilitated sexual assault;

(H) Overview of the criminal justice system;

(I) Role of law enforcement;

(J) Laws related to sexual assault;

(K) Legal resources and remedies;

(L) Victim's bill of rights;

(M) Victim impact statement; and

(N) Overview of Crime Victim's Compensation.

(3) Working with survivors. Ten hours of classroom training must be delivered on working with survivors. Working with survivors must include the following topics:

(A) Confidentiality;

(B) Ethics;

(C) Role of an advocate;

(D) Secondary victimization;

(E) Stress and burnout;

(F) Self care;

(G) Self protection;

(H) Communication and active listening skills;

(I) Crisis intervention;

(J) Suicide assessment skills; and

(K) Role play.

(4) Local program information. Three hours of classroom training must be delivered on local program information. The sexual assault services coordinator may determine the content of local program information.

(5) On-the-job training. Ten hours of training must be delivered on-the-job. Self-study is not allowed. On-the-job training must begin after the classroom and self-study portions of the training are complete. The sexual assault services coordinator may determine the content of on-the-job training.

(c) Completion of the above training requirements must be documented in the individual, confidential personnel/volunteer files of direct service advocates.

(d) Local programs may allow direct service trainees to compensate for absenteeism by watching the video-recorded version of the missed training sessions at the local center or through other appropriate means. Up to six hours of the certified training content in "Sexual Assault Dynamics," "System Response" and "Local Program Information" may be compensated for in this way.

§62.77.Trainers for an Advocate Training Program.

(a) Training must be delivered by:

(1) Local program staff with at least one year of experience in the topic presented, unless the topic is crisis intervention, in which case, two years of crisis intervention experience is required; and/or

(2) Volunteers with at least 500 documented hours of service, of which 100 of those hours must be direct services; and/or

(3) An expert in the field.

(b) Programs unable to secure trainers who meet these requirements may make a written request for a waiver from the OAG.

§62.78.Test Requirements for an Advocate Training Program.

(a) Upon the completion of all classroom and self-study training, a test must be administered to the trainees.

(b) Local programs must require direct service advocates to pass the test with a score of 70% or higher to be eligible to provide direct services.

(c) The test must be a minimum of 50 questions.

(d) The test must track the content of the training.

(e) The test must be approved by the sexual assault services coordinator.

(f) Tests must be retained in the advocate's confidential personnel/volunteer file.

§62.79.Continuing Education for an Advocate Training Program.

(a) Local programs must require their direct service advocates to accrue at least six hours of continuing education each year.

(b) Continuing education can be delivered in the classroom or as self-study.

(c) Academic credits earned at institutions of higher education may be counted toward continuing education at the discretion of the sexual assault services coordinator.

(d) Documentation of the required continuing education must be kept in the direct service advocate's file.

§62.80.Use of Advocates for an Advocate Training Program.

(a) Programs with a certified training program may only use advocates who have attended a certified training to provide direct services.

(b) The only allowed exceptions to this requirement are:

(1) Advocates who have attended a sexual assault basic training before the program became certified, and who have provided at least 25 hours of direct service in the previous twelve months; and

(2) New advocates who have prior experience and/or training in providing direct services to survivors of sexual assault. These advocates must pass the certified training test with a minimum score of 85% prior to providing direct services.

§62.81.Application Process for an Advocate Training Program.

(a) An application for training certification must be submitted on an OAG approved form to the Sexual Assault Prevention and Crisis Services program (SAPCS) of the Office of the Attorney General, P.O. Box 12548, MC011-1, Austin, Texas 78711-2548.

(b) Applications will be reviewed by the OAG for compliance with certification guidelines and rules.

(c) Site visits and phone interviews may be conducted by the OAG to clarify application information, or for other reasons as determined by the OAG.

(d) The OAG will notify applicants, in writing, of approval or disapproval of the request for certification within 120 calendar days of receipt.

(e) A program approved for certification will receive a written notice of their two-year certification.

(f) A program not approved for certification may request a hearing pursuant to §62.85 of this chapter.

(g) The OAG may request additional information or corrections to complete the review of the application. The local program will have 45 days from the date of the request to submit corrections or an amended application with the requested information. A program may resubmit the corrections twice annually.

§62.82.Verification.

The OAG shall verify that the requirements of certification are maintained through the contract monitoring process, site visits, or any other method deemed appropriate by the OAG.

§62.83.Certification Renewal of an Advocate Training Program.

Programs must reapply every two years to maintain certification.

§62.84.Suspension, Probation, or Decertification of an Advocate Training Program.

The OAG may place a certified training program on probation or suspension, or decertify the local program's training for non-compliance with the requirements stated in this chapter, or for other reasons determined appropriate by the OAG.

§62.85.Appeal of Denial, Suspension, or Decertification of an Advocate Training Program.

(a) The OAG's decision to deny, suspend, or decertify an Advocate Training Program may be appealed by submitting a written request for a hearing no later than 20 days after the receipt of the OAG notification letter.

(b) The written request for a hearing must include:

(1) the reason for the appeal;

(2) documentation or information to support the appeal; and,

(3) if necessary, the OAG must be granted access to information relevant to the appeal.

(c) The applicant is responsible for all costs incurred as a result of requesting a hearing, and those costs will not be reimbursed by the OAG.

(d) The OAG shall respond in writing to a request for a hearing with the following:

(1) instructions regarding the hearing process; and,

(2) a request for additional documentation if necessary.

(e) The applicant has 30 days from the date of receipt of the OAG's request to supply additional documentation.

(f) The applicant shall receive a minimum of 10 days notice of their hearing date, time, and location.

(g) The hearing will be conducted by a designee of the Attorney General and shall take place either in person in Travis County, Texas, by telephone, or by videoconference, at the discretion of the OAG.

(h) At the hearing, the applicant may present testimony and documentation to refute suspension of funds or termination of contract by the OAG.

(i) Failure to appear or be available for the scheduled hearing, or failure to notify the OAG of an intended absence within 48 hours of the scheduled hearing, shall result in a final decision based on available information.

(j) As soon as practicable after the hearing the OAG will notify the applicant in writing of the final decision, including the reasons for the decision.

(k) In any proceeding under this chapter, the burden of proof is on the applicant to submit evidence showing that grounds for continuation certification exist.

§62.86.Prehearing Conference for an Advocate Training Program.

At any time before a hearing is conducted, the OAG may request a prehearing conference with the applicant, either in person, by telephone, or by video conference in order to establish whether a hearing on denial of certification, placement of a training program on probation or suspension, or revocation of certification of the training program is necessary.

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 May 25, 2005.

TRD-200502130

Nancy S. Fuller

Assistant Attorney General

Office of the Attorney General

Earliest possible date of adoption: July 10, 2005

For information regarding this publication, you may contact A.G. Younger, Agency Liaison, at (512) 463-2110.

Chapter 251. REGIONAL PLANS--STANDARDS

1 TAC §251.12

The Commission on State Emergency Communications (CSEC) proposes an amendment to §251.12, concerning contracts for 9-1-1 services. The proposed amendment removes an outdated reference to the 76th Texas Legislature, correct an erroneous citation to the Health and Safety Code, and removes the example contract from the current §251.12. As amended, §251.12 will more accurately reflect current law and reduce the delay in executing the biennial contracts by allowing CSEC to incorporate any new Legislative requirements without having to modify the section. Once removed from §251.12, the example contract will be submitted for comment to stakeholders and a final version placed in a CSEC Program Policy Statement.

Paul Mallett, CSEC’s executive director, has determined that for each year of the first five years that the amended section will be in effect there will be no fiscal implications for state or local government as a result of enforcing or administering the amended section.

Mr. Mallett has also determined that for each year of the first five years the amended section is in effect, the public benefit anticipated as a result of enforcing the amended section will be better accountability of funds and program reporting requirements. No historical data is available, however, there is no direct impact on small or large businesses. There is no anticipated economic cost to persons who are required to comply with the section as proposed. There is no anticipated local employment impact as a result of enforcing the section.

Comments on the proposed rule may be submitted in writing within 30 days after publication of the proposal in the Texas Register to Paul Mallett, Executive Director, Commission on State Emergency Communications, 333 Guadalupe Street, Suite 2-212, Austin, Texas 78701-3942.

The amended section is proposed pursuant to Health and Safety Code, Chapter 771, §§771.055, 771.056, 771.071, 771.0711, 771.072, 771.073, 771.075, 771.078; and Title 1 Texas Administrative Code, Part 12, which authorizes the Commission to adopt rules, policies and procedures prescribing the distribution and use of 9-1-1 funds for providing 9-1-1 service.

No other statute, article, or code is affected by the proposed amendment.

§251.12.Contracts for 9-1-1 Services.

(a) Purpose. In accordance with Chapter 771 of the Texas Health and Safety Code, [ as revised and amended by HB 1983 passed by the 76th Texas Legislature, ] this rule shall provide the standard provisions for contracts between the Commission on State Emergency Communications (Commission) and Regional Planning Commissions (RPC) for the provisioning of 9-1-1 service.

(b) Background. The Commission shall contract with each RPC for the provision of 9-1-1 services. Each contract shall substantially conform to the standard contract form, in accordance with Commission policies and procedures [ set forth by way of example in subsection (d) of this section ].

(c) Per Texas Health and Safety Code, §771.078(c) [ Chapter 771.088(c) ], contracts under this section must provide for:

(1) the reporting of financial information regarding administrative expenses by RPCs in accordance with generally accepted accounting principles;

(2) the reporting of information regarding the current performance, efficiency, and degree of implementation of emergency communications services in each RPC’s service area;

(3) the collection of efficiency data on the operation of 9-1-1 answering points;

(4) standards for the use of answering points and the creation of new answering points;

(5) quarterly disbursements of money due under the contract, except as provided by paragraph (6) of this subsection;

(6) the Commission to withhold disbursement to a RPC that does not follow a standard imposed by the contract, a Commission rule, or a statute; and

(7) a means for the Commission to give an advance on a quarterly distribution under the contract to a RPC that has a financial emergency.

[ (d) The contract described in subsection (b) of this section shall substantially conform to the following standard contract form:]

[ Figure: 1 TAC §251.12(d) ]

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 May 27, 2005.

TRD-200502159

Paul Mallett

Executive Director

Commission on State Emergency Communications

Earliest possible date of adoption: July 10, 2005

For further information, please call: (512) 305-6933

1 TAC §255.1

The Commission on State Emergency Communications (CSEC) proposes an amendment to §255.1, concerning the statewide 9-1-1 Equalization Surcharge (the surcharge) to be assessed to each customer receiving intrastate long-distance service except those specifically exempted by law. The proposed amendment raises the surcharge from 0.6% to 1.0%; makes applicable the rounding methodology found in Texas Tax Code §151.053; makes applicable Texas Tax Code §151.025 when intrastate long distance services are not billed separately on a customer’s bill; and makes two minor stylistic changes to the section. Section 255.1, with all of the foregoing amendments except for the increase in the surcharge, was previously posted for comment in the February 4, 2005, issue of the Texas Register but was not acted upon by CSEC.

Mr. Paul Mallett, CSEC’s executive director, has determined that for each of the first five years that the amended section is in effect there will be no cost implications to the state or local governments as a result of enforcing or administering the amended section. Mr. Mallett and CSEC Staff have estimated that a surcharge of 1% will generate an estimated $8.98 million above the Comptroller of Public Accounts (Comptroller) $25.5 million estimate of the surcharge for Fiscal Years 2006-07. Rider #4 to CSEC’s appropriation bill for Fiscal Years 2006-07 authorizes CSEC to spend up to $13.8 million in excess surcharge revenues to support local 9-1-1 and the statewide Poison Control Network. Of the estimated $8.98 million, CSEC Staff estimates that approximately $7.6 million will be made available to the Councils of Government to reimburse them for local 9-1-1 system related expenses, the remaining amount will go to the Poison Control Network.

Mr. Mallett has also determined that for each year of the first five years the amended section is in effect, the public benefits will be to further increase the reliability of the Councils of Government’s 9-1-1 call centers and the Poison Control Network. The amended section is estimated to have a statewide cost of $4.49 million per year or 20.4 cents per person per year. While no historical data is available, the direct impact on small and large businesses is dependent on the amount of intrastate long distance that is billed on a per-call basis to the business. There is no anticipated local employment impact as a result of enforcing the section.

Comments on the amendment must be submitted in writing within 30 days after publication of the proposal in the Texas Register to Paul Mallett, Executive Director, Commission on State Emergency Communications, 333 Guadalupe Street, Suite 2-212, Austin, Texas 78701-3942.

The amendment is proposed pursuant to the Health and Safety Code, Chapter 771, §§771.072, 771.073, 771.074, 771.075, 771.077, and 771.078; and Title 1 Texas Administrative Code, Part 12, which authorizes the Commission to adopt rules, policies and procedures prescribing the distribution and use of 9-1-1 funds for providing 9-1-1 service.

No other statute, article, or code is affected by the proposed amendment.

§255.1.Statewide 9-1-1 Equalization Surcharge.

An equalization surcharge is established in the amount of one percent (1.0%). Rounding of the surcharge amount shall be in compliance with Texas Tax Code §151.053. [ 6/10 of 1% (0.60%), the amount to be rounded up to the next whole one cent ($0.01) in the case of fractions. ] This surcharge will be assessed to each customer receiving intrastate long-distance service, except those exempted by the Texas Health and Safety Code, §771.074. The surcharge shall be applied to the total amount for intrastate long-distance service charged by the customer’s [ long-distance ] service provider, but such amount shall not include taxes charged by local, state, and federal authorities, nor shall local, state, or federal taxes be applied to this surcharge unless otherwise required by law. Texas Tax Code §151.025 shall apply when intrastate long distance services are not billed separately on a customer’s invoice.

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 May 27, 2005.

TRD-200502160

Paul Mallett

Executive Director

Commission on State Emergency Communications

Earliest possible date of adoption: July 10, 2005

For further information, please call: (512) 305-6933