(a) Level-One Sanction. The Agency may impose a level-one
sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable
acts. Sanctionable acts that occur during the program, grant, fiscal,
contract, or calendar year include, but are not limited to, the following:
(1) failure to submit timely and accurate required
financial or performance reports;
(2) failure to take corrective actions to resolve findings
identified during monitoring, investigative, or program reviews, including
failure to comply with a technical assistance plan developed by the
Agency;
(3) failure to rectify or resolve all independent audit
findings or questioned costs within required time frames;
(4) failure to submit required annual audits;
(5) breach of administrative and service contract requirements;
(6) failure to retain required service delivery and
financial records; or
(7) failure to meet the target on any contracted performance
measure by more than 10 percent of target.
(b) Level-Two Sanction. The Agency may impose a level-two
sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable
acts. Sanctionable acts that occur during the program, grant, fiscal,
contract, or calendar year include, but are not limited to, the following:
(1) failure to rectify a level-one sanction within
six months of notice;
(2) committing a second sanctionable act;
(3) failure to rectify reported threats to health and
safety of program participants within 30 days of notice. Rectifying
health and safety may include investigating a complaint, taking appropriate
corrective actions, or making referrals to appropriate authorities;
or
(4) failure to meet the target on any contracted performance
measure by more than 25 percent of target.
(c) Level-Three Sanction. The Agency may impose a level-three
sanction on a Board, AEL grant recipient, or Agency grantee for sanctionable
acts. Sanctionable acts that occur during the program, grant, fiscal,
contract, or calendar year include, but are not limited to, the following:
(1) failure to rectify a level-one sanction within
one year of notice;
(2) failure to rectify a level-two sanction within
six months of notice;
(3) committing multiple sanctionable acts;
(4) failure to rectify reported threats to health and
safety of program participants within 60 days of notice. Rectifying
health and safety may include investigating a complaint, taking appropriate
corrective action, or making referrals to appropriate authorities;
or
(5) failure to meet the target on any contracted measure
by more than 25 percent of target for two consecutive years.
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