SECTION 153.41. ACE Providers: Compliance and Enforcement

(a) Audits. Board staff may:

(1) conduct on-site audits without prior notice to a provider; and

(2) enroll and attend a course without identifying themselves as employees of the Board for purposes of auditing a course.

(b) Audit reports.

(1) After conducting an audit, Board staff will prepare an audit report and send a copy of the report to the provider who is the subject of the audit.

(2) If staff identifies deficiencies in an audit report, the provider will be given a reasonable opportunity to cure the deficiencies.

(3) An audit report indicating noncompliance with AQB requirements, the Act, or Board Rules may be referred for enforcement and treated as a written complaint against the provider if probable cause exists to believe the noncompliance involves:

(A) gross negligence;

(B) knowledge or intent; or

(C) continued noncompliance after notice of the audit report and a reasonable opportunity to cure it voluntarily.

(c) Reasonable Opportunity to Cure. For purposes of this section, a reasonable opportunity to cure means 30 days from the date a provider receives the audit report.

(d) Extensions of time. The Board may grant a request for an extension of time to cure deficiencies if the provider:

(1) submits the request in writing; and

(2) demonstrates progress towards curing the deficiencies.

(e) Complaints, investigations and hearings.

(1) The Board will investigate complaints against providers or that allege violations of the AQB requirements, the Act, or Board Rules.

(2) Complaints must be in writing, and the Board may not initiate an investigation, or take action against a provider, based on an anonymous complaint.

(3) Board staff may initiate a complaint for any violation of AQB requirements, the Act, or Board Rules, including a complaint against a provider, if a document submitted to the Board provides reasonable cause to believe a violation occurred.

(4) The Board shall provide a copy of the complaint the provider named in the complaint.

(5) Proceedings against a provider will be conducted in the manner required by the Act, the Administrative Procedure Act, Chapter 2001, Government Code, and Chapter 157 of this title. Venue for any hearing or proceeding conducted under this section will be in Travis County.

(f) Cooperation with audit or complaint investigation. A provider shall provide records in his or her possession for examination by the Board or provide such information requested by the Board not later than the 20th day after the date of receiving a request for examination of records or information.

(g) Grounds for disciplinary action against an approved provider.

(1) The following acts committed by a provider are grounds for disciplinary action by the Board:

(A) procuring or attempting to procure approval for a provider or course by fraud, misrepresentation or deceit, or by making a material misrepresentation of fact in an application filed with the Board;

(B) making a false representation to the Board, either intentionally or negligently, that a person attended a course or a portion of a course for which credit was awarded, that a person completed an examination, or that a person completed any other requirement for course credit;

(C) aiding or abetting a person to circumvent the requirements for attendance established by the Board, the completion of any examination, or any other requirement for course credit;

(D) failing to provide, not later than the 20th day after the date of a request, information requested by the Board as a result of a complaint alleging a violation of AQB requirements, the Act, or Board Rules;

(E) making a materially false statement to the Board in response to a request from the Board for information relating to a complaint against the provider; or

(F) disregarding or violating an AQB requirement or provision of the Act or Board Rules.

(2) The Board may initiate a complaint against a provider if the Board receives a complaint, or is presented with other evidence acceptable to the Board alleging that a provider has failed to:

(A) teach the curriculum standards required by the AQB or Board Rules; or

(B) meet the course delivery requirements required by the AQB or Board Rules.

(3) If after an investigation the Board determines that a provider engaged in any of the acts listed in this subsection, or failed to follow the curriculum standards or course delivery requirements of the AQB or Board Rules, the Board may take one or more of the following disciplinary actions against a provider:

(A) reprimand;

(B) impose an administrative penalty; or

(C) suspend or revoke approval of a provider or an ACE course offered by the provider.

(h) Probation. The Board may probate an order of suspension or revocation issued under this section upon reasonable terms and conditions.

Source Note: The provisions of this §153.41 adopted to be effective December 16, 2018, 43 TexReg 8117; amended to be effective March 22, 2020, 45 TexReg 1857