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DSHS/DVR 2012-2015 Title VII, Part B Contract Training October 2014.

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Presentation on theme: "DSHS/DVR 2012-2015 Title VII, Part B Contract Training October 2014."— Presentation transcript:

1 DSHS/DVR Title VII, Part B Contract Training October 2014

2 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

3 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.

4 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

5 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

6 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

7 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

8 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

9 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

10 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

11 Post-Training Quiz 10. 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

12 Centers for Independent Living (CIL) Contract Training 12

13 GENERAL TERMS ANDCONDITIONS 13

14 General Terms and Conditions Consistent across DSHS Contracts. Includes definitions and specific requirements. Cannot be modified by DVR. 14

15 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

16 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

17 Confidential Information Exempt from disclosure to the public per RCW or other federal or state laws. Includes “Personal Information” 17

18 Personal Information – Information identifiable to any person, such as: Person’s name Health Finances Education Business 18

19 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

20 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

21 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

22 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

23 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

24 Laws – Contractor shall comply with all applicable federal, state, and local laws 24

25 Laws Nondiscrimination Insurance (including Industrial Insurance) Licensing (including business Licensing) 25

26 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

27 Laws Governing Law: State of Washington Venue: Superior Court for Thurston County 27

28 Independent Contractor Is not: – An employee / agent of DSHS/DVR 28

29 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

30 Inspection Rights Monitoring Auditing Evaluate Contractor Performance Evaluate compliance with applicable laws, regulations, and these Contract terms. 30

31 Maintenance of Records Records must be maintained for at least six (6) years after expiration or termination of the Contract. 31

32 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

33 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

34 Ethics Certification Contractor certifies that they are now and shall remain in compliance with Chapter RCW, Ethics in Public Service, throughout the term of this Contract. 34

35 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

36 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

37 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; and 4.Include a copy of the overpayment notice. 37

38 Subrecipients Comply with applicable requirements in CFR, OMB Circular A-133, and listed Acts. 38

39 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

40 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

41 Subrecipient Single Audit Upon completion of each audit, the Contractor shall: – Develop corrective action plan – Prepare a “Summary Schedule of Prior Audit Findings.” 41

42 Overpayments If it is determined that the Contractor has been paid unallowable costs, Contractor may be required to reimburse DSHS. 42

43 Special Terms And Conditions Conditions 43

44 Characteristics Specific to the contract Unique characteristics Specific contracting needs DVRs policies and procedures. 44

45 Definition - Youth – Individuals up to age 24 – But not exceeding age 26 for individuals requiring additional time for transitioning. 45

46 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

47 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

48 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

49 Subrecipient CIL contractors are determined to be subrecipients for the purposes of this Contract. 49

50 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

51 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

52 SubrecipientCharacteristics: Subrecipient Characteristics: (OMB Circular A-133) Responsible for programmatic decision making. 52

53 Funding Information The CFDA Number is % State Funded 90% Federally Funded 53

54 Fiscal Controls The Contractor’s financial management system shall: Provide accurate, current, and complete accounts of financial activities 54

55 Fiscal Controls Identify the source and how funds were applied for cost reimbursable activities. 55

56 Fiscal Controls Provide effective accountability for all contracted funds Accountable for all real and personal property acquired with funds 56

57 Fiscal Controls Maintain separate financial records 57

58 Fiscal Controls Retain source documentation (receipts, invoices) which identifies how the funds were used Allow for comparison of actual and budgeted amounts 58

59 Additional Fiscal Requirements If, in DVR’s judgment, the Contractor’s financial management system does not meet standards, DVR may impose additional requirements 59

60 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

61 Policies & Procedures CILs are required to have clear policies and procedures describing how and under what circumstances consumers can gain access to services. 61

62 Property Equipment inventories must be maintained for purchases made with these funds. 62

63 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

64 Reports 2-Year Plan Written Monthly Reports Annual Summary Reports 704 Reports Audit Reports Inventory Reports 64

65 "If you don't know where you are going, you will wind up somewhere else!" Yogi Berra 2-Year Plan 65 (See page 16)

66 2-Year Plan Targets: Year 1 Year 2 66 (See Exhibit B)

67 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 (4)Group Activities and Number of Participants 67

68 Monthly Reports 68

69 Monthly Reports On form provided by DVR. DUE 15 th of each month following the billing (service) period. Submitted with invoice for payment 69

70 Annual Summary Reports 70

71 Annual Summary Reports (1) Programmatic Narrative Report (Achieving Goals) 71

72 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

73 Completion of Services All services and expenditures must be completed by September 30,

74 704 Report CIL Annual Performance Report Section: Part II Instrument 74

75 704 Report Send to: DVR Contracts Monitoring Manager & SILC Executive-Director Within 30 calendar days of submission to RSA. 75

76 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

77 Records The Contractor shall: – Track – Record – Allocate – Maintain – And report goods and services by funding source. 77

78 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

79 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

80 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 , , and 34 CFR 80.20, and

81 Records Records shall fully disclose: (6) Compliance with the requirements of Chapter 1 of title VII of the Rehabilitation Act. 81

82 Records Separate Accounting Funds: Establish and Maintain Separate Accounting funds for the use of these Part B Grant funds. 82

83 Records Non-Separation of Accounting Funds: – May result in revocation of the contract. & – Return of any balance of funds to the State. 83

84 Contract Monitoring Contractor on-going self-monitoring 84

85 Contract Monitoring DVR periodic contract monitoring – Programmatic (Achieving goals) – Fiscal (Handling the $) 85

86 Contract Monitoring or Auditing Times Reasonable and Proper Effort not to Disturb or Disrupt Make a Reasonable Assessment of Contractor’s performance 86

87 Contract Monitoring or Auditing May involve: – Telephone Contact – Written Communication – Analysis of Report – On-Site Visits – Interviews 87

88 Contract Monitoring or Auditing On-Site Reviews DVR shall invite SILC Participation Provide Written Monitoring Report 88

89 Future Funding DVR may withhold future funding for noncompliance. Findings must be resolved prior future awards. 89

90 Investigations DVR may investigate any matter it deems necessary to determine compliance with State and Federal policy and/or procedures. 90

91 Investigations May include: – Examining Records – Making copies of records – Questioning Employees – Questioning Board Members – Questioning DVR Clients 91

92 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

93 Customer Satisfaction Surveys - Random Annual Survey on a form provided by DVR or - On a form designed by the Center. 93

94 Customer Satisfaction Surveys Random Annual Survey via In-house appointments USPS Telephone 94

95 Customer Satisfaction Surveys Results retained by the Center Results provided to the Center’s Executive-Director 95

96 Customer Satisfaction Surveys Results to be kept confidential. Anonymous statistical report prepared and provided to the CIL Board of Directors. 96

97 Consideration The Contract Maximum is divided up into equal monthly payments ending September

98 Billing and Payment Invoice – State Form A-19 – Payable upon: Proper completion of A-19 Monthly report. 98

99 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

100 Invoice Payment Payment considered timely: Made by DSHS within thirty (30) days after receipt and acceptance of Invoice and Reports. 100

101 Invoice & Report Contact Information DSHS/DVR, Contracts Unit PO Box Olympia, WA or (360) (phone) or ( ) 101

102 Delay or Non-Payment Insufficient documentation. Delay in the receipt of A-19 and Reports. 102

103 Consideration Payments will be made when: DVR receives monthly report. DVR receives A-19 Invoice Voucher DVR received required information by the 15 th day of the month following the end of the billing period. 103

104 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

105 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

106 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

107 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

108 Background Checks If the results indicate they have No Record, the Contractor may allow unsupervised access to DVR clients. 108

109 Background Checks DSHS Background Checks must be conducted: Every 2 years on personnel, interns, or volunteers having unsupervised access to DVR clients. 109

110 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

111 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

112 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

113 Insurance Insurers 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

114 Certificates of Insuranc Certificates of Insurance The Contractor will maintain copies of Certificates of Insurance, policies, and additional insured endorsements, and supply to DVR upon request. 114

115 Certificates of Insurance The Certificate of Insurance (COI) shall identify the Washington State Department of Social and Health Services, PO Box 45340, Olympia, WA as the Certificate Holder. 115

116 COI - Sub-Contractors The Contractor shall maintain copies of Certificates of Insurance, policies, and additional insured endorsements for each subcontractor 116

117 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

118 Insurance Contractor is liable for amounts exceeding coverage limits. This Insurance is primary to any other insurance or self-insurance. 118

119 Disputes Attempt to resolve through informal means first. If still unsatisfied, request review of the dispute to DVR Director. 119

120 Disputes Requests for Dispute Resolution must include: – Name of the requester. – Contractor’s Name, full address, phone number, and

121 Disputes Requests for Dispute Resolution must include: – Contract Number. – Description of the issue in dispute. 121

122 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

123 Disputes The DVR reviewer may request additional supporting documentation to assist in reaching a fair resolution. 123

124 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

125 Post-Training Quiz 1.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

126 Post-Training Quiz 2. 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

127 Post-Training Quiz 3. 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

128 Post-Training Quiz 4. 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

129 Post-Training Quiz 5. 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

130 Post-Training Quiz 6. 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

131 Post-Training Quiz 7. 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

132 Post-Training Quiz 8. 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

133 Post-Training Quiz 9. 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

134 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

135 Questions 135

136 Resources DVR Background Check Form ionForm09_653.pdf Best’s Report Rating (Insurance Co. Information) CFDA – Catalog of Federal Domestic Assistance 136

137 Resources CFR – Code of Federal Regulations Insurance Commissioner’s Office (Information on Insurance Co.) bin/PubInfoApps/CGIAuthComp.exe Department of Licensing (information on business licenses) 137

138 Resources Secretary of State (Registration for organizations other than sole proprietors) Rehabilitation Act of 1973, As Amended text/intro.htm 138

139 DVR Contacts Andres Aguirre Interim Director (360) Doni Kotas-Turner DVR Contracts Supervisor (360) Tracee Thornburg Contracts Specialist (360) Gwen Hildner Contracts Assistant (360) Danny Pratt Contracts Specialist (360) Brenda Boles Contracts Monitoring Manager (360)

140 140 CERTIFICATE OF COMPLETION for 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 ____________.


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