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Consumer Directed Service Agency (CDSA) Compliance Monitoring Guide DADS Form 1722 and Instructions.

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Presentation on theme: "Consumer Directed Service Agency (CDSA) Compliance Monitoring Guide DADS Form 1722 and Instructions."— Presentation transcript:

1 Consumer Directed Service Agency (CDSA) Compliance Monitoring Guide DADS Form 1722 and Instructions

2 DADS Form 1722 Demographic Information 1. Consumer and Employer 2. CDSA Provider Agency 3. Monitor,Review Date, Review 3. Monitor, Review Date, Review Period, Review Type Period, Review Type Contract Monitoring Guide - Page 1

3 Orientation and Service Agreement STANDARD 1 Orientation and Service Agreement 1.ORIENTATION Face-to-Face by CDSA Representative Consumers Residence Employer and Designated Responsible party (if applicable) must attend Documented (DADS Form 1736, Documentation of Employer Orientation) 2. Service Agreement CDSA and Employer (DADS Form 1735) Documents Incorporated in Agreement Contract Monitoring Guide - Page 1

4 Orientation and Service Agreement STANDARD 1 Orientation and Service Agreement 2.The following documents are incorporated in the Service Agreement by Reference a)Form 1726, Relationship Definitions in Consumer Directed Services b)Form 1733, Employer and Employee Exemption from Nursing License for Certain Services c)Form 1736, Documentation of Employer Orientation d)Form 1738, Rules Acknowledgement Contract Monitoring Guide - Page 1

5 Budget Development STANDARD 2 Budget Development 1.Employer/DRP and CDSA Participation a)Budget must be developed using the DADS CDS Budget Workbook VALID b)Budget must be VALID 2.Each Service Plan a)Must be current. Revisions with changes to the Consumers Service Plan affecting CDS services b)Must have a CDS Budget for each service category delivered through CDS 3.Approved by CDSA / Acknowledged by the Employer/DRP Contract Monitoring Guide - Page 1

6 Definitions / Clarification CONSUMER - Individual receiving program services and participating in Consumer Directed Services (CDS) MINOR - Individual UNDER the age of 18 ADULT - Individual OVER the age of 18 DESIGNATED RESPONSIBLE PARTY – Willing adult that agrees to assist the Employer with responsibilities for CDS PARENT – Natural, Legal, Adopted, Step-Parent, Foster Parent, Court Appointed Guardian SPOUSE – Married with Formalities (Legal) or Married without Formalities (Common Law) Texas Family Code

7 Employer and Employer-Agent Registration STANDARD 3 Employer and Employer-Agent Registration EMPLOYER CONSUMER – Age 18 or more ; Does NOT have a court appointed guardian PARENT – of a minor-aged Consumer (Consumer is under 18 years of age) CONSUMER – Consumer, under 18 years of age, but has been (1)Emancipated by the court OR (2)Is legally married GUARDIAN – Court Appointed Guardian, regardless of the Consumers age Contract Monitoring Guide - Page 2 POWER OF ATTORNEY = Designated Responsible Party Designated Responsible Party (DRP) is NOT the Employer.

8 Employer and Employer-Agent Registration STANDARD 3 Employer and Employer-Agent Registration FEDERAL GOVERNMENT INTERNAL REVENUE SERVICE (IRS) Employer: Employer Identification Number (EIN) CDSA: Employer Appointment of Agent (Employer-Agent) STATE GOVERNMENT TEXAS WORKFORCE COMMISSION (TWC) Employer: Employer TWC Account Number CDSA: Authorization to Represent Employing Unit (Employer) Contract Monitoring Guide - Page 2

9 CDSA Responsibilities, Federal and State Agencies STANDARD 4 CDSA Responsibilities, Federal and State Agencies 1.WITHHOLDINGS 2.DEPOSITS EMPLOYEE CONTRIBUTIONS: Income Tax Social Security Tax Medicare Tax Voluntary Benefits Garnishments Wage Attachments Optional Benefits EMPLOYER CONTRIBUTIONS: Match: Social Security Tax Medicare Tax Total Amount: Unemployment Tax Total Amount or Share: Benefits Contract Monitoring Guide - Page 2

10 CDSA Responsibilities, Federal and State Agencies STANDARD 4 CDSA Responsibilities, Federal and State Agencies 3.Workers Compensation and Employee Work-Related Injuries a)Texas Workers Compensation Commission (TWCC) b)Liability Insurance – Homeowner/Renter 4.Deductions a)Garnishments – Court Ordered (Child Support) b)Wage Attachments – Government Agency Directive (Guaranteed Student Loan Payment) c)Optional Deductions – Insurance Premiums, 401K, Contract Monitoring Guide - Page 2

11 CDSA Responsibilities, Federal and State Agencies STANDARD 4 CDSA Responsibilities, Federal and State Agencies 5.Annual Tax-Related Forms - a)IRS Form W-2, Wage and Tax Statement; b)IRS Form W-3, Transmittal of WAGE and Tax Statements; c)IRS Form 1099-MISC, Miscellaneous Income TAX REPORTING ANNUALLY: Calendar Year, January 1 – December 31 CDSA DUE DATES: To Employee: W-2 by January 31 To IRS and Employer: W-3, with copy of Form(s) W-2 by the last day of February To Contractor: 1099MISC by January 31 To IRS and Employer: 1099MISC by the last day of February Contract Monitoring Guide - Page 2

12 CDSA Responsibilities, Federal and State Agencies STANDARD 4 CDSA Responsibilities, Federal and State Agencies Records – Federal and State Agencies Contract Monitoring Guide - Page 2 6.Provide Copy or Original of Employer- Related Forms and Reports to Employer 7.Retain Copy or Original of Employer- Related Forms and Employer-Agent Forms and Reports

13 CDSA Responsibilities, Payroll and Accounts Payable STANDARD 5 CDSA Responsibilities, Payroll and Accounts Payable 1.Payroll Payments – Based on complete, accurate, Employer-approved Timesheets 2.Payroll Distribution – Two times each calendar monthly in accordance with posted payday schedule. 3.Invoice Payments – 4.Receipt Payments – a.) Based on complete, accurate, Employer-approved invoice or receipt b.) Distribute payment within 30 DADS workdays of receipt by the CDSA of the acceptable invoice or receipt Contract Monitoring Guide - Page 3

14 CDSA Responsibilities, Payroll Status Monitoring and Reporting STANDARD 6 CDSA Responsibilities, Payroll Status Monitoring and Reporting 1.Account Balances – Each Service Area; Ongoing Balances; Based on All Transactions; Complete and Accurate Records Provide Summaries at Least Quarterly: 2.To Employer 3.To Consumers Case Manager Contract Monitoring Guide - Page 3

15 CDSA Responsibilities, Ongoing Training STANDARD 7 CDSA Responsibilities, Ongoing Training Ongoing Training – Training, Support, Assistance by CDSA Based on – Employer/DRP Documentation, Performance, and Compliance; Budget Compliance Employee and Contractor Documentation Contract Monitoring Guide - Page 4

16 CDSA Responsibilities, Criminal Conviction History Check STANDARD 8 CDSA Responsibilities, Criminal Conviction History Check Contract Monitoring Guide - Page 4 1.Report obtained: From the Texas Department of Public Safety (DPS), Before applicant was hired, or contractor retained, and Before service delivery by the individual 2.Employer Notification by CDSA before individual was hired/retained by the Employer (if check was conducted by the CDSA)

17 CDSA Responsibilities, Criminal Conviction History Check STANDARD 8 - CDSA Responsibilities, Criminal Conviction History Check Contract Monitoring Guide - Page 4 3.Copy of Report on File at CDSA: Report from the Texas Department of Public Safety CDSA must not make payment to an individual barred from employment based on Criminal Conviction History Check (Note as a Financial Error if Applicable) 4.Offers of Employment / Retain Contractor - Individuals barred from employment by Chapter 250, Health and Safety Code, must not deliver services or receive payment for services.

18 CDSA Responsibilities, Complaints STANDARD 9 CDSA Responsibilities, Complaints Contract Monitoring Guide - Page 5 1.CDSA (a) maintains a log of all complaints and (b) makes records and resolution of complaints accessible to DADS Staff Contracting Requirements: § 49.17(d)(3) Complaint Procedures

19 CDSA Responsibilities, Complaints STANDARD 9 CDSA Responsibilities, Complaints Contract Monitoring Guide - Page 5 2.Each complaint received from any source must be: (a) Documented, and (b) Resolved Contracting Requirements: § 49.17(d)(3) Complaint Procedures 3.Based on documentation, did CDSA: (a) Investigate and resolve each complaint in 5 DADS workdays? (b) Provide written complaint procedures initially and at least annually thereafter?

20 CASE REVIEW SUMMARY Contract Monitoring Guide - Page 1 Case Review Transfer results of Case Review to Form 3853, Provider Agency Evaluation Summary.

21 DADS Form 3853, Provider Agency Evaluation Summary Texas Department of Aging and Disability Services Contract/Program Compliance Provider Agency Evaluation Summary Form 3853 September 2001

22 DADS Form 1722, Compliance Monitoring Guide Demographic Information CONSUMER CONSUMER = INDIVIDUAL RECEIVING SERVICES EMPLOYER EMPLOYER = Consumer, Parent of Minor, or Court Appointed Guardian

23 DADS Form 1722, Compliance Monitoring Guide Demographic Information CDSA = CDSA = CONUSMER DIRECTED SERVICE AGENCY (CDSA) MONITOR MONITOR = DADS CONTRACT MANAGER/MONITOR REVIEW REVIEW = REVIEW PERIOD AND TYPE

24 DADS Form 1722, Compliance Monitoring Guide Monitoring Guide - Page 1

25 DADS Form 1722, Compliance Monitoring Guide Monitoring Guide – Page 2

26 DADS Form 1722, Compliance Monitoring Guide Monitoring Guide – Page 4

27 DADS Form 1722, Compliance Monitoring Guide Monitoring Guide – Page 1 Case Review Summary: Transfer results of case review to Form 3853, Provider Agency Evaluation Summary.

28 DADS Form 3853, Provider Agency Evaluation Summary ABOVE COMPLIANCE–Your agency is performing at or above 90%, which is the minimum compliance level. Please review the Findings section (below), if appropriate, for areas of concern. BELOW COMPLIANCE–Your agency is performing BELOW 90%, which is the minimum compliance level. The major reasons for noncompliance of standards are noted in the Findings section (below).

29 CDSA Compliance Monitoring Comments Q & A


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