dshs/dvr 2012-2015 title vii, part b contract training october 2014
TRANSCRIPT
DSHS/DVR
2012-2015 Title VII, Part BContract Training
October 2014
Pre-Training Quiz
1. What best describes “Served” for reports to DVR
A. One or more of the four core IL Services has been provided to that customer.
B. That a new Goal has been entered on their plan or a Goal has been successfully closed on their Plan.
C. All of the above.
D. None of the above.2
Pre-Training Quiz
3
2. Who is the Certificate Holder on the Certificate of Insurance?
A. The Contractor.
B. The CIL Executive-Director.
C. State of WA, DSHS.
D. DVR Contracts Manager.
Pre-Training Quiz
3. Which Reports are not required to be provided DVR annually?
A. Programmatic Narrative Report.
B. 704 Report.
C. Financial Audit or Fiscal Review.
D. None of the above.4
Pre-Training Quiz
4. When is a Center required to have a Single Audit conducted in accordance with OMB Circular A-133?
A. When $500,000 or more funds were contracted in a Fiscal year (FY)
B. When $500,000 or more federal funds were expended in a FY.
C. When $500,000 or more state funds were contracted in a Calendar Year.
D. Never, CILs are exempt from A-133 Single Audits.5
Pre-Training Quiz
5. If the Special Terms and Conditions contradict the General Terms and Conditions, which one prevails?
A. The Special Terms and Conditions always prevail.
B. Determined in the Dispute process.
C. Usually, the General Terms and Conditions take precedence.
D. A and B.
E. None of the Above. 6
Pre-Training Quiz
6. When does DVR have the right to the Contractor’s records?
A. Anytime, without notice.
B. During Monitoring & Auditing
C. During Evaluations and/or Investigations.
D. B & C with reasonable notice.
E. None of the Above. 7
Pre-Training Quiz
7. Which are elements of a Subrecipient?
A. Has programmatic decision making.
B. Determines who is eligible to receive federal financial assistance.
C. Has its performance measured against the objectives of the federal program.
D. All of the above
E. None of the Above. 8
Pre-Training Quiz
8. What is Debarment Certification
A. Certificate given by the BAR Association.
B. Certification that the Center doesn’t have a bar on its premises.
C. Certification that the Contractor is not ineligible or excluded by any Federal department or agency from participating in transactions.
D. All of the above. 9
Pre-Training Quiz
9. Services on a contract may start:
A. After your Center Director signs it but before DVR signs it.
B. Before either the Center or DVR signs it.
C. After DVR signs it, but before the Center signs it.
D. After the Center and DVR signs it.
E. None of the above. 10
Post-Training Quiz10. Confidential Information includes:
A. Information Exempt from Disclosure to the Public.
B. Personal Information.
C. A Person’s Name.
D. A Person’s Education.
E. All of the above.11
2012-2015
Centers for Independent Living (CIL)
Contract Training
12
GENERAL TERMSAND
CONDITIONS
13
General Terms and Conditions
• Consistent across DSHS Contracts.
• Includes definitions and specific requirements.
• Cannot be modified by DVR.
14
Amendments
• Contracts can only be modified by a written amendment.
• Signed by both parties. • Only personnel authorized to bind each
of the parties may sign an amendment.
15
Billing Limitations.
• DVR will only pay for services listed.
• 12 month window for payment.
• DSHS will not pay if the contractor has charged another party for the same service.
16
Confidential Information
• Exempt from disclosure to the public per RCW 42.56 or other federal or state laws.
• Includes “Personal Information”
17
Personal Information
• Personal Information
– Information identifiable to any person, such as:• Person’s name• Health• Finances• Education• Business 18
Personal Information
• Use or receipt of governmental services or activities• Addresses• Telephone Numbers• Social Security Numbers• Driver’s License Numbers• Other Identifying Numbers• Any Financial Identifiers
19
Confidentiality
– Not use, publish, transfer, sell or other wise disclose any Confidential formation…except:
• As provided by law, or• Without prior written consent of the
person who is the subject of the Personal Information.
20
Confidential Information
• The Contractor shall protect and maintain all Confidential Information.
– Only staff who have an authorized business requirement to view it.
– Physically securing any computers, documents, other media.
– Fax – security! 21
Confidential Information
–When transporting 6 or more records use a trusted system and/or encrypt.
– Same for paper docs.
– Return or destroy data when no longer needed
22
Confidential Information
– Paper documents recycle through a contracted firm.
– Protected health information must be shredded, pulped, or incinerated ON SITE.
– Compromised or Potential Compromised Info:• within one (1) business day of discovery.
23
Laws
– Contractor shall comply with all applicable federal, state, and local laws
24
Laws
•Nondiscrimination
• Insurance (including Industrial Insurance)
• Licensing (including business Licensing)
25
Debarment
• The Contractor certifies they are not debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency from participating in transactions (Debarred).
• Must provide immediate notification if becomes Debarred.
26
Laws
• Governing Law: State of Washington
• Venue: Superior Court for Thurston County
27
Independent Contractor
• Is not:
– An employee / agent of DSHS/DVR
28
Inspection Rights
• Contractor, at no cost to DSHS or the State Auditors, shall provide reasonable access to Contractor’s records and DSHS client records for six years following this Contract’s termination or expiration.
29
Inspection Rights
• Monitoring
• Auditing
• Evaluate Contractor Performance
• Evaluate compliance with applicable laws, regulations, and these Contract terms.
30
Maintenance of Records
• Records must be maintained for at least six (6) years after expiration or termination of the Contract.
31
Order of Precedence
• General Terms and Conditions take precedence.
• If the Special Terms and Conditions are more restrictive, specific, or particular than the General Terms and Conditions, no conflict will be construed to exist.
32
Contract Termination
• Termination Due to Change in Funding
– If the funds relied upon to establish this Contract are withdrawn, reduced, or limited, DSHS may immediately terminate this Contract by providing written notice.
33
Ethics Certification
• Contractor certifies that they are now and shall remain in compliance with Chapter 42.52 RCW, Ethics in Public Service, throughout the term of this Contract.
34
Health & Safety
• Contractor shall perform all of its obligations in a manner that does not compromise the health and safety of any DSHS client
35
Indemnification and Hold Harmless
• Claims• Charges• Demands• Liabilities• Judgments
• Costs• Penalties• Losses• Damages• Fines
The Contractor shall be responsible for and shall indemnify, defend, and hold DSHS harmless from any and all…
36
Notice of Overpayment
• You may protest the notice of overpayment by requesting an adjudicative proceeding. It must:
1. Be received by the Office of Financial Recovery within 28 calendar days of service of the notice.
2. Be sent by certified mail (return receipt)3. Statement as to why the notice is incorrect; and4. Include a copy of the overpayment notice.
37
Subrecipients
• Comply with applicable requirements in CFR, OMB Circular A-133, and listed Acts.
38
Subrecipient Single Audit
• If the subrecipient expends $500,000 or more in federal awards from any sources in any fiscal year, Contractor shall procure and pay for a single audit or a program-specific audit for that fiscal year.
39
Subrecipient Single Audit
• Upon completion of each audit, the Contractor shall submit:
(1)data collection form and reporting package specified in OMB Circular A-133,
(2)reports required by the program-specific audit guide (if applicable),
(3)copy of any management letters issued by the auditor.
40
Subrecipient Single Audit
• Upon completion of each audit, the Contractor shall:
– Develop corrective action plan– Prepare a “Summary Schedule of Prior
Audit Findings.”
41
Overpayments
• If it is determined that the Contractor has been paid unallowable costs, Contractor may be required to reimburse DSHS.
42
Special TermsAnd
Conditions
43
Characteristics
• Specific to the contract • Unique characteristics• Specific contracting needs • DVRs policies and procedures.
44
Definition - Youth
– Individuals up to age 24 – But not exceeding age 26 for individuals
requiring additional time for transitioning.
45
Statement of Work (SOW)
Provide the four (4) core independent living services to eligible consumers, with specific focus on youth with significant disabilities:– Individual and systems advocacy– Information and referral– Peer counseling– Independent living skills training
46
Funding Time and Effort Reporting
• Government or Non-profit organizations must comply with federal cost principles as established in OMB Circulars A-87, A-21, or A-122.
• Requirement that salaries and wages charged to this contract be supported by personnel activity reports, aka Time and Effort reporting.
47
Non-Duplication of Billing
“The Contractor shall not bill DVR for any costs or charges if the Contractor
is being paid by another funding source for those same costs or
charges.”
In other words, thou shalt not double-bill e.g. charge 2 entities or contracts for the same service or activity.
48
Subrecipient
• CIL contractors are determined to be subrecipients for the purposes of this Contract.
49
Subrecipient Definition
(OMB Circular A-133)
• A non-federal entity that spends federal
awards received from a pass-through entity (DSHS/DVR) to carry out a
federal program.
• Does not include an individual that is a beneficiary of such a program.
50
Subrecipient Characteristics
• Determines who is eligible to receive federal financial assistance
• Performance is measured against whether the objectives of the federal program are met
51
Subrecipient Characteristics:(OMB Circular A-133)
• Responsible for programmatic decision making.
52
Funding Information
The CFDA Number is 84.169
• 10% State Funded
•90% Federally Funded
53
Fiscal Controls
The Contractor’s financial management system shall:
• Provide accurate, current, and complete
accounts of financial activities
54
Fiscal Controls
Identify the source and how funds were applied for cost reimbursable
activities.
55
Fiscal Controls
• Provide effective accountability for all contracted funds
• Accountable for all real and personal property acquired with funds
56
Fiscal Controls
Maintain separate financial records
57
Fiscal Controls
Retain source documentation (receipts, invoices) which identifies how the
funds were used
Allow for comparison of actual and budgeted amounts
58
Additional Fiscal Requirements
If, in DVR’s judgment, the Contractor’s financial management system does not meet standards, DVR may impose additional requirements
59
Tax Laws
The Contractor will comply with all federal, state, and local laws regarding the collection, deposit, payment and reporting of taxes, including obtaining an employer identification number and providing W-2 forms to employees.
60
Policies & Procedures CILs are required to have clear
policies and procedures describing how and under what circumstances consumers can gain access to services.
61
Property
Equipment inventories must be maintained for purchases made with these funds.
62
Non-Expendable Property
• Equipment is used only for CIL operations.
• There are Adequate safeguards to prevent loss/damage.
• Notify DVR of any loss/damage.
• There are adequate maintenance procedures.
• Inventory Reporting - See DVR Inventory Guidelines.
63
Reports• 2-Year Plan
• Written Monthly Reports
• Annual Summary Reports
• 704 Reports
• Audit Reports
• Inventory Reports64
"If you don't know where you are going, you will wind up somewhere
else!"
Yogi Berra
2-Year Plan
65
(See page 16)
2-Year Plan
Targets:Year 1Year 2
66
(See Exhibit B)
2-Year Plan (Youth)
(1) Number of Youth with significant disabilities to be served
(2) Number of independent living plan goals to be developed and implemented
(3) Key collaborations with community partners
(4) Training, capacity building, and technical assistance needs
(5) Group Activities and Number of Participants
67
Monthly Reports
68
Monthly Reports
• On form provided by DVR.
• DUE 15th of each month following the billing (service) period.
• Submitted with invoice for payment
69
Annual Summary Reports
70
Annual Summary Reports
(1) Programmatic Narrative Report (Achieving Goals)
71
Annual Summary Reports
• On form provided by DVR
• DUE October 15, 2011 for the first year.
• DUE October 15, 2012 for the second year.
72
Completion of Services
All services and expenditures must be completed by September 30, 2015.
73
704 Report
CIL Annual Performance Report Section: Part II Instrument
74
704 Report
Send to:• DVR Contracts Monitoring Manager
&• SILC Executive-Director
Within 30 calendar days of submission to RSA.
75
Annual Financial Audit or Fiscal Review Reports
Annual financial audit or fiscal review report is sent to DVR within 30 calendar days of its completion
76
Records
The Contractor shall:– Track– Record– Allocate–Maintain– And report goods and services by funding source.
77
Records
Shall fully disclose:
(1)The amount and disposition of all funds received from DVR.
(2)The total cost of the project for which the funds were used.
78
Records
Records shall fully disclose:
(3) Resources & funds supplied by other sources.
(4) All expenses, including payroll records, to ensure that costs reported and invoiced are allowable and reimbursable.
79
Records
Records shall fully disclose:
(5) How the Contractor has separated grant expenditures in order to properly allocate costs to existing grants and contracts to ensure compliance with the requirements of 34 CFR 364.34, 364.35, and 34 CFR 80.20, and 80.40.
80
Records
Records shall fully disclose:
(6) Compliance with the requirements of Chapter 1 of title VII of the Rehabilitation Act.
81
Records
Separate Accounting Funds:
Establish and Maintain Separate Accounting funds for the use of these Part B Grant funds.
82
Records
Non-Separation of Accounting Funds:
–May result in revocation of the contract.&
– Return of any balance of funds to the State.
83
Contract Monitoring
• Contractor on-going self-monitoring
84
Contract Monitoring
• DVR periodic contract monitoring
– Programmatic (Achieving goals)
– Fiscal (Handling the $)
85
Contract Monitoring or Auditing
• Times Reasonable and Proper
• Effort not to Disturb or Disrupt
• Make a Reasonable Assessment of Contractor’s performance
86
Contract Monitoring or Auditing
May involve:– Telephone Contact–Written Communication– Analysis of Report– On-Site Visits– Interviews
87
Contract Monitoring or Auditing
• On-Site Reviews
DVR shall invite SILC Participation
Provide Written Monitoring Report
88
Future Funding
• DVR may withhold future funding for noncompliance.
• Findings must be resolved prior future awards.
89
Investigations
DVR may investigate any matter it deems necessary to determine
compliance with State and Federal policy and/or procedures.
90
Investigations
May include:
– Examining Records–Making copies of records– Questioning Employees– Questioning Board Members– Questioning DVR Clients
91
Investigations
May include:
Entering any site or premises in which any part of a program of the Contractor is conducted or which any of the records of the Contractor are kept.
92
Customer Satisfaction Surveys
- Random Annual Survey on a form provided by DVR
or - On a form designed by the Center.
93
Customer Satisfaction Surveys
Random Annual Surveyvia
• In-house appointments• USPS• Telephone• E-mail
94
Customer Satisfaction Surveys
• Results retained by the Center
• Results provided to the Center’s Executive-Director
95
Customer Satisfaction Surveys
• Results to be kept confidential.
• Anonymous statistical report prepared and provided to the CIL Board of Directors.
96
Consideration
The Contract Maximum is divided up into equal monthly payments ending September 2015.
97
Billing and Payment
• Invoice
– State Form A-19
– Payable upon:• Proper completion of A-19• Monthly report.
98
Billing and Payment
• Must Describe and Document to DSHS’s Satisfaction:
– A description of the work performed
– Activities accomplished
– Progress of the project
– Fees
99
Invoice Payment
Payment considered timely:
• Made by DSHS within thirty (30) days after receipt and acceptance of Invoice and Reports.
100
Invoice & ReportContact Information
DSHS/DVR, Contracts UnitPO Box 45340
Olympia, WA 98504-5340
or
(360) 725-3652 (phone)
or
[email protected] (e-mail) 101
Delay or Non-Payment
• Insufficient documentation.
• Delay in the receipt of A-19 and Reports.
102
Consideration
Payments will be made when:
• DVR receives monthly report.
• DVR receives A-19 Invoice Voucher
• DVR received required information by the 15th day of the month following the end of the billing period.
103
Background Checks
• Designate employee to receive confidential background check results.
• Notify DVR of designated employee.
• Notify DVR of changes to designated employee within 15 days of the change.
104
Background Checks
• Prior to performing services under this contract…The Contractor is to obtain DSHS criminal background checks for all personnel, interns or volunteers who may:
Have unsupervised access to DVR clients.
105
Background Checks
If there is a disqualifying result…
The Contractor must ensure that the employee, intern, or volunteer does NOT have unsupervised access to DVR clients.
Refer to the DSHS Secretary’s List of Crimes and Negative Action.
106
Background Checks
If the result indicates they have a Record…
The Contractor must complete and retain a Character, Competence, and Suitability Assessment (CCSA) form to DVR.
This form will be supplied to the Contractor along with the background check results, and supplied to DVR upon request.
107
Background Checks
If the results indicate they have No Record, the Contractor may allow unsupervised access to DVR clients.
108
Background Checks
DSHS Background Checks must be conducted:
• Every 2 years on personnel, interns, or volunteers having unsupervised access to DVR clients.
109
Background Checks
DSHS Background Checks must be conducted:
• Anytime a new employee, intern, or volunteer is hired that may have unsupervised access to DVR clients.
110
Background Checks
DSHS Background Checks must be conducted:
• When there is a reason to believe an offense that may affect the status of their unsupervised access has been committed.
111
Insurance – Not Reviewed
Insurance Coverage specifics and options are laid out in detail in the contract and will not be reviewed during this training.
112
InsuranceInsurers must …
• Be identified as an admitted insurer/carrier in the State of Washington.
• Have a Best’s Reports’ rating of B++, Class VII, or better.
(Surplus Lines insurance companies will have a rating of A-, Class VII, or better.)
113
Certificates of Insurance
• The Contractor will maintain copies of Certificates of Insurance, policies, and additional insured endorsements, and supply to DVR upon request.
114
Certificates of Insurance
The Certificate of Insurance (COI) shall identify the Washington State Department of Social and Health Services, PO Box 45340, Olympia, WA 98504 as the Certificate Holder.
115
COI - Sub-Contractors
The Contractor shall maintain copies of Certificates of Insurance, policies, and additional insured endorsements for each subcontractor
116
• Provide DVR:
– 45 days advance written notice of cancellation or non-renewal.
If cancellation is due to non-payment of premium, the insurer shall give DSHS 10 days advance written notice
Insurance – Material Changes
117
Insurance
• Contractor is liable for amounts exceeding coverage limits.
• This Insurance is primary to any other insurance or self-insurance.
118
Disputes
• Attempt to resolve through informal means first.
• If still unsatisfied, request review of the dispute to DVR Director.
119
Disputes
• Requests for Dispute Resolution must include:
– Name of the requester.
– Contractor’s Name, full address, phone number, and email.
120
Disputes
• Requests for Dispute Resolution must include:
– Contract Number.
– Description of the issue in dispute.
121
Disputes
• Requests for Dispute Resolution must include:
– Statement describing the requester’s position on the issue in dispute.
– Documentation that supports your position.
– Steps already taken to resolve the dispute. 122
Disputes
The DVR reviewer may request additional supporting documentation to assist in reaching a fair resolution.
123
Disputes
The DVR Director shall issue a written decision to the Contractor within thirty (30) calendar days of receipt of all information relevant to the issue.
This is the sole process to remedy disputes under this
contract.124
Post-Training Quiz1. Services on a contract may start:
A. After your Center Director signs it but before DVR signs it.
B. Before either the Center or DVR signs it.
C. After DVR signs it, but before the Center signs it.
D. After the Center and DVR signs it.
E. None of the above.125
Post-Training Quiz2. Confidential Information includes:
A. Information Exempt from Disclosure to the Public.
B. Personal Information.
C. A Person’s Name.
D. A Person’s Education.
E. All of the above.126
Post-Training Quiz3. What is Debarment Certification
A. Certificate given by the BAR Association.
B. Certification that the Center doesn’t have a bar on its premises.
C. Certification that the Contractor is not ineligible or excluded by any Federal department or agency from participating in transactions.
D. All of the above.127
Post-Training Quiz4. If the Special Terms and Conditions contradict the General Terms and Conditions, which one prevails?
A. The Special Terms and Conditions always prevail.
B. Determined in the Dispute process.
C. Usually, the General Terms and Conditions take precedence.
D. A and B.
E. None of the Above.128
Post-Training Quiz5. When does DVR have the right to the
Contractor’s records?
A. Anytime, without notice.
B. During Monitoring & Auditing
C. During Evaluations and/or Investigations.
D. B & C with reasonable notice.
E. None of the Above.129
Post-Training Quiz6. Which are elements of a Subrecipient?
A. Has Programmatic decision making.
B. Determines who is eligible to receive federal financial assistance.
C. Has its performance measured against the objectives of the federal program.
D. All of the Above
E. None of the Above.130
Post-Training Quiz7. When is a Center required to have a Single Audit
conducted in accordance with OMB Circular A-133?
A. When $500,000 or more funds were contracted in a Fiscal year (FY)
B. When $500,000 or more federal funds were expended in a FY.
C. When $500,000 or more state funds were contracted in a Calendar Year.
D. Never, CILs are exempt from A-133 Single Audits.131
Post-Training Quiz8. Which Reports are not required to be
provided DVR annually?
A. Programmatic Narrative Report.
B. 704 Report.
C. Financial Audit or Fiscal Review.
D. None of the above.132
Post-Training Quiz9. Who is the Certificate Holder on the
Certificate of Insurance?
A. The Contractor.
B. The CIL Executive-Director.
C. State of WA, DSHS.
D. DVR Contracts Manager.133
Pre-Training Quiz
10. What best describes “Served” for reports to DVR
A. One or more of the four core IL Services has been provided to that customer.
B. That a new Goal has been entered on their plan or a Goal has been successfully closed on their Plan.
C. All of the above.
D. None of the above.134
Questions
135
ResourcesDVR Background Check Formhttp://www.dshs.wa.gov/pdf/HRSA/dvr/DVRBackgroundAuthorizationForm09_653.pdf
Best’s Report Rating (Insurance Co. Information)http://www.ambest.com
CFDA – Catalog of Federal Domestic Assistancewww.gsa.gov/portal/content/101097
136
ResourcesCFR – Code of Federal Regulationswww.access.gpo.gov/nara/cfr/waisidx_10/34cfr364_10.html
Insurance Commissioner’s Office (Information on Insurance Co.)http://www.insurance.wa.gov/cgi-bin/PubInfoApps/CGIAuthComp.exe
Department of Licensing (information on business licenses)http://www.dol.wa.gov/business/
137
Resources
Secretary of State (Registration for organizations other than sole proprietors)http://www.sos.wa.gov/corps/
Rehabilitation Act of 1973, As Amendedhttp://www.access-board.gov/enforcement/rehab-act text/intro.htm
138
DVR ContactsAndres AguirreInterim Director (360) [email protected]
Doni Kotas-TurnerDVR Contracts Supervisor(360) [email protected]
Tracee ThornburgContracts Specialist(360) [email protected]
Gwen HildnerContracts Assistant(360) [email protected]
Danny PrattContracts Specialist(360) [email protected]
Brenda BolesContracts Monitoring Manager(360) [email protected]
139
140
CERTIFICATE OF COMPLETIONfor
CIL Part B Contract Training
Is Presented To:______________________________________
This certifies that the person named above has successfully viewed and completed the PowerPoint course
through DSHS, Division of Vocational Rehabilitation on ____________.