Description
Training means practicing to gain more skills. Somebody who plays football practices for the football games against other teams so that his team gets good and wins. The word "training" is usually used when talking about sports, but it is also used for training for a job or in "basic training".
TRAINING AND ADMINISTRATIVE ACTIVITIES
PROJECT OPERATIONS MANUAL
NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES DIVISION OF ADMINISTRATION BUREAU OF TRAINING January 2009
TRAINING AND ADMINISTRATIVE ACTIVITIES PROJECT OPERATIONS MANUAL
Table of Contents PREFACE INTRODUCTION 1. PROJECT IMPLEMENTATION 1.1 Communication Protocol 1.2 Definitions of Training and Training Related Categories 1.3 Training and Administrative Activities 1.4 Curriculum Development 1.5 Evaluation Requirements 1.6 Reference Resources 1.7 Review and Crediting of Material 1.8 Contract/Work Plan Deliverables 1.9 Sale of Materials 1.10 Training Space and Equipment Use 1.11 Eligible Trainees 1.12 Training Fees 1.13 United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB 1666) 1.14 Project Staffing 1.15 Affirmative Action 1.16 Employee and Consultant Status 1.17 Consultants/Subcontractors 1.18 Conference Attendance 1.19 Accounting Requirements 1.20 Organizational Changes/Actions 1.21 Equipment 1.22 Printing 1.23 Contractor/Vendor Compliance 1.24 Monitoring 1.25 Independent Annual Audits 1.26 Data Access Required Under the State Administrative Procedure Act (SAPA) 1.27 Expectation of Insured 1.28 OCFS Automated Contract Management System (CMS) 2. PROJECT PAYMENTS 2.1 Prompt Payment Legislation Procedures 2.2 Advance Payments 2.3 Claiming and Reimbursement 2.4 Required Claim Forms Page 4 5 7 7 7 10 11 13 14 15 16 18 18 18 20 21 21 22 24 25 27 27 28 29 30 30 32 32 33 33 33 34 34 35 35 36
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 2
2.4.1 Forms Required for Private Not-For Profit Agencies 2.4.2 Forms Required for Public Agencies 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies 41 2.5 Supporting Documentation Submission 2.5.1 Project Personnel Cost (OCFS-3106-II) 2.5.2 Schedule of Equipment Cost (OCFS-3106-III) 2.5.3 Schedule of Consumable Supplies (OCFS 3106-IV) 2.5.4 Schedule of Staff Travel, Subcontractor/Consultant and Other Costs (OCFS 3106 V-VII) 2.5.5 Schedule of Direct Trainee Cost (OCFS 3106-VIII, A, B, C) 2.6 Purchases from Contractors/Vendors 2.7 Match Policy (Public Agencies Only) 2.8 Excluded Costs 2.9 Shared Costs 2.10 Overlapping Contracts/Work Plans 2.11 Resubmission 2.12 Electronic Payments/ Direct Deposit 3. PROJECT CHANGES 3.1 Budget Modifications 3.1.1 General Rule 3.1.2 Applicable Policies 3.1.3 Submitting Budget Modification Requests 3.2. Contract/Work Plan Amendments 3.2.1 No-Cost Extension (time extension) 3.2.2 Amendment with Cost 3.2.3 Amendment with Cost and Time 3.3 Programmatic Changes 3.4 Project/ Work Plan Terminations 4. REPORTING 4.1 Quarterly Reports for Training and Administrative Activities 4.1.1 Quarterly Report Summary 4.1.2 Affirmative Action Quarterly Report 4.1.3 Quarterly Evaluation Report 4.1.4 Final Summary (include with 4th quarter report) 4.2 Outstationed Staff Quarterly Reporting 4.2.1 Outstationed Staff Quarterly Report Summary 4.2.2 Individual Outstationed Staff Quarterly Report(s) 4.2.3 Final Summary (include with 4th quarter report) 4.3 Annual State Contractor’s Employment Disclosure APPENDIX- Forms I. Forms for Project Implementation II. Forms for Project Payments III. Forms for Project Changes IV. Forms for Reporting
37 39 42 42 43 43 43 45 47 47 49 49 49 49 50 51 51 52 52 54 55 56 56 56 56 57 58 59 59 60 60 62 62 62 63 63 63
Appendix
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 3
New York State Office of Children and Family Services Division of Administration Bureau of Training
TRAINING AND ADMINISTRATIVE ACTIVITIES PROJECT OPERATIONS MANUAL
This Training and Administrative Activities Project Operations Manual provides detailed information and instructions to assist training providers in effectively administering a training (or administrative services) project awarded by the New York State Office of Children and Family Services (OCFS) through its Bureau of Training (BT). It contains four parts and an appendix. Part 1. Project Implementation describes the responsibilities of the contractor/vendor in developing and delivering the training services contained in the training contract or work plan. Part 2. Project Payments describes the policies for reimbursement of project expenses, and the procedures and required claim forms for submitting reimbursement claims to OCFS. Part 3. Project Changes offers guidance on the policies and procedures for requesting revisions to certain portions of the contract/ work plan, such as budget modifications, cost and time amendments, and programmatic changes. Part 4. Reporting covers requirements for preparing and submitting quarterly reports to OCFS on the progress in delivering the training services contained in the contract or work plan. The Appendix contains the forms referenced in the Operations Manual. Terms Used in this Manual This manual contains references to “projects,” “work plans,” and “contracts.” Both contracts and work plans are agreements between OCFS and training providers for the development and delivery of training and administrative services. Contracts are written agreements between OCFS and training providers other than State entities, enforceable by law. Work plans are written agreements provided for by memoranda of understanding (MOUs) between OCFS and other State entities, enforceable through administrative means. Contracts and work plans contain one or more projects. Each project is free-standing, consists of a set of related training or other administrative activities designed to achieve a specific training outcome and which can generally be funded with the same funding sources, and contains a project budget and related documents. The terms “contractors/vendors” and “training providers” refer to the organizations providing services under a training contract or work plan through OCFS. The terms “training” and “training services” include “training and administrative services.” When this manual uses “days” in reference to due dates or timeframes, the term “days” is defined as calendar days unless otherwise indicated.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 4
INTRODUCTION The contracts and work plans sponsored by OCFS cover a major portion of training for the public human services system. These contracts and work plans provide training and other administrative services to the staff of the 58 county departments of social services, the staff of OCFS, employees of child caring agencies, day care centers, family day care homes, and foster and adoptive parents. The success of the training program requires that contractors/vendors work closely with OCFS throughout the life of the contract or work plan. Each contract or work plan is assigned a BT project manager who will guide training providers through the details of contract/work plan administration. Training projects awarded to organizations other than State entities are administered through contracts between OCFS and the organization, and projects awarded to elements of the public university system (State or City University of New York) are administered through work plans under MOUs. The funding requirements of the contractual training program are complex. There are numerous Federal and State sources of funds OCFS uses to support this work, and those sources have special reporting and accounting requirements - in particular, programs supported by Title IV-E of the Federal Social Security Act. Title IV-E provides different rates of Federal reimbursement for different types of activities and for different training participants. Activities designated as “training” receive a higher rate of reimbursement (75 percent Federal funding) than those designated as “administrative,” which receive only 50 percent reimbursement. In order to verify that OCFS properly claims the funds from the Federal government, contractors/vendors are required to maintain detailed records regarding these types of activities. Other Federal and State funding sources have other requirements, which are detailed in this manual. A key factor in establishing that the Federal and State funds are properly expended is the intended target group for the training or administrative services to be provided. Contractors/vendors are required to verify that only eligible target groups are included in the activities funded under the contracts or work plans. The contract or work plan provides this important information on eligible target groups. The details associated with budgeting, claiming, and reporting can be found within the body of this manual. Bureau of Training Expectations of Training Providers BT expects that training providers will follow these five statements listed below as they develop and deliver the training activities contained in their contracts/work plans:
? ? ? ?
?
Support the mission of OCFS in promoting the well-being and safety of New York State’s children, families and communities. Be fiscally and ethically responsible. Evaluate training services objectively. Be responsible for communicating directly with BT staff as the primary contact for OCFS, while working collaboratively with the BT’s partners and training stakeholders. Strive for continual growth and improvement.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 5
If training providers have any questions regarding the material contained in this manual, the first point of contact is the BT project manager assigned to the project. The BT project manager can answer questions or obtain the necessary information.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 6
1. PROJECT IMPLEMENTATION
This section describes the responsibilities of the contractor/vendor while developing and delivering the training activities contained in the training contract or work plan. These include requirements and procedures for curriculum submission, resources, staff, affirmative action, subcontracting and consultants, and accounting. The BT project manager assigned to the project can provide essential guidance in all aspects of project implementation. 1.1. Communication Protocol It is the responsibility of contractors/vendors to maintain contact with the BT project manager assigned to their training projects to promote effective communication and to obtain prior approval for certain actions. Training providers should maintain contact and communication in such areas as curriculum development and curriculum review; scheduling and canceling contract/work plan training activities; delivering training activities; planning and implementing evaluation; acting on evaluation results; problems encountered in the delivery of training; actions planned in response to problems encountered; meetings with local social services districts to discuss training needs or training delivery; meetings with other OCFS staff; and significant organizational changes and actions. Training providers must obtain prior approval from BT for the following:
? ? ? ?
? ? ?
certain subcontract/consultant agreements (see part 1.17 Consultants/ Subcontractors); certain contractor/vendor staff conference attendance (see part 1.18 Conference Attendance); disposition of unneeded equipment (see part 1.21 Equipment); curricula and other deliverables (see parts 1.4 Curriculum Development, 1.5 Evaluation Requirements, 1.7 Review and Crediting of Material, and 1.8 Contract/Work Plan Deliverables); certain changes to budget categories (see part 3.1 Budget Modifications); hiring or transferring of key project staff (see part 3.1 Budget Modifications); and changes to contracts/work plans and to training deliverables (see parts 3.2 Contract/Work Plan Amendments and 3.3 Programmatic Changes).
1.2 Definitions of Training and Training Related Categories These definitions of training and training-related categories are used by the Bureau of Training in developing the training activities identified in a project’s Training and Administrative Activities List (OCFS-3102). Classroom Training: A face-to-face session in a classroom with an instructor(s) teaching a specified curriculum to a group of participants. This can include workshops and courses. Costs for activities under this category should include those costs associated with scheduling, announcing, and delivering the training, materials production and distribution, securing training space, use of audio/visual equipment, staff
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 7
travel and per diem, and trainee travel and per diem when applicable, as well as for minor updates to and maintenance of existing curriculum. Distance Learning: Virtual Classroom, Teleconferences, and Computer-Based Training: Virtual Classroom Training: Synchronous, or real-time, online or web-based learning programs accessed on personal computers. This training is generally conducted in twoto three-hour segments with each segment reported as a half-day of training. Two halfday virtual classroom programs are reported as one training day. An example of virtual classroom training is the iLinc/LearnLinc software package licensed to BT. LearnLinc is a real-time, two-way audio virtual training environment that allows instructors and trainees from across the state to join together in a live audio training session using their desktop computers. Participants speak to each other using headsets and microphones while viewing common content on their computer screens. Most aspects of a face-toface classroom experience are replicated. Available tools include PowerPoint, text chat, application sharing, an interactive whiteboard, synchronized web-browsing, recording and remote desktop glimpse capacity. Currently, OCFS state, local social service district, and residential facility staffs have access to LearnLinc. OCFS pays for both the instructors’ and trainees’ license fees associated with the use of the LearnLinc software package, and can provide training and technical assistance to training providers on using LearnLinc in developing and delivering training. While BT has some virtual classroom facilities available in OCFS space for use by instructors, a training provider’s own business-class internet connection and personal computer would be needed for LearnLinc deliveries originating from the training provider’s location. Video Conference “Smart Classrooms:” Synchronous, or real-time, interactive training delivered between two or more geographically-dispersed classroom sites. The technology involves the use of multiple cameras and an array of microphones that capture the activity of the trainers and participants located at each site, utilizing large screen monitors at the distant sites via high-speed Internet connections. This live audio/video technology creates the experience for the participants of “being there,” while saving the time and expense of travel to a central location. Teleconferences: Conferences or workshops transmitted live via satellite to multiple geographically-dispersed downlink sites with one-way audio/visual from the home site. Teleconference formats can range from simple meetings that require little or no preproduction work to more involved programs that include pre-produced video shot on location or in a studio. Most teleconferences are two hours in length. OCFS maintains a statewide satellite network of downlink (receive) sites and a production facility/studio for use in developing and delivering teleconferences. Typically, the training provider is responsible to budget for costs associated with content expertise and the work in support of the content. Such costs may vary depending on the nature and scope of the teleconference and include, but are not limited to, providing a program outline, script development, handout and PowerPoint development, roll-in video development if required, and presenters/ panel members. Additional specific requirements are included in the individual project specifications. Computer-Based Training: Asynchronous CBTs or web-based computer training programs that can be accessed by the trainee without the presence of a live instructor
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 8
and used at the trainee’s convenience in terms of time and location. Programs may vary in length and complexity. Seminars, Conferences, Forums, and Meetings: Activities in this category provide the costs, logistical coordination, and support to OCFS required for planning, developing, and delivering events such as training conferences, regional meetings, and forums. Costs and tasks typically include event announcements and participant pre-registration; procurement of event site/facility; arrangements for participant meals and lodging; arrangements for eligible participant travel reimbursement; arrangements for event speakers, panel members, and presenters; preparation, graphic design, and reproduction of event materials; coordination of audiovisual equipment; onsite event coordination; onsite participant registration; coordination of vendor payment; and event evaluation. Seminars, conferences, and forums are structured events that bring together participants and content experts for an exchange of ideas. Meetings include only those meetings that bring individuals together around a specific training related deliverable to facilitate learning of job-related knowledge, skills, or attitudes. Work groups are not included as they are considered a part of the work process and not ordinarily a deliverable. Advisory groups may be included if activities facilitate learning as defined above. Curriculum, Materials, Public Service Campaigns, and Video Development: Curriculum and or Materials Development: Developing new or substantially revised curricula or materials required for the presentation of a specific training program. Public Service Campaigns: Developing materials to promote a statewide initiative. Materials can include brochures, posters, or announcements for video, television, radio, web-based, or print media. Video Development: Developing videos to enhance a training program, or those requested to promote a specific statewide initiative. Technical Assistance: Providing assistance or support to one or more people in a specified target audience by providing special skills or practical knowledge in response to a particular need that is related to the project’s objectives. Technical assistance may include consultation, facilitation, or assistance with an operational process. Technical assistance is provided and reported in units of at least a half-day (3.5 hours). Intermittent telephone calls and questions are part of a trainer’s routine job expectations and are not considered technical assistance for purposes of reporting. When technical assistance activities are difficult to quantify, such as when project staff are assigned to provide technical assistance for a portion of their time, their costs should be included in the Other Activities category. Other Activities: Activities that do not easily fit into the preceding categories. Technical Assistance activities that cannot be quantified such as those previously described above and some administrative activities should be entered here. Full Time Equivalent (FTEs) of project or consultant staff who are not listed under the Outstationed Staff category, if their activities cannot be measured by “days” in any of the preceding categories, should be entered here. Each activity should be further
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 9
identified as either training or administrative as described below. Specifications for guidance.
Refer to Project
Outstationed Staff: Staff specifically hired to perform training or training-related activities under a training contract or work plan and assigned to work off-site or offcampus at State-owned locations. 1.3 Training and Administrative Activities The following examples have been developed to assist in distinguishing between training deliverables and administrative deliverables for all activities regardless of Federal funding. These deliverables are included in the following training and administrative activity categories as discussed above: Classroom Training; Distance Learning; Seminars, Conferences, Forums, and Meetings; Technical Assistance; and Curriculum, Materials, Public Service Campaigns, and Video Development. Examples of Training Activities (Deliverables): Instruction ? stand-up training; ? computer-based training (CBT) that provides training; ? satellite teleconferences that provide training; ? one-to-one training in person or telephone by a hired training specialist for the express purpose of training; ? training technical assistance following a training presentation; ? delivery of training conferences; ? evaluation of training; ? monitoring of training; and ? clerical support for staff above. Curriculum Development ? training needs assessment; ? development, production and distribution of curricula; ? development, production and distribution of training manuals and materials; ? development of computer-based training (CBT); ? development of Satellite teleconferences; ? planning and organizing training conferences; ? planning and organizing forums to provide information on best practices; ? evaluation of training; ? monitoring training deliverables; and ? clerical support for staff above. Other Tasks Legitimately Related to Training Objectives ? announcement, recruitment and scheduling training programs; ? equipment used solely for training, such as computers used for training on the Welfare Management (WMS) system or computer-based instruction; ? development and publication of newsletters that provide training information only; and
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 10
?
clerical support for staff above.
Examples of Administrative Activities (Deliverables): ? planning/organizing regional meetings of NYS OCFS agency staff; ? planning/organizing forums to provide information on new policies; ? developing, writing, assessing and evaluating policies/procedures; ? development of policy or procedure manuals; ? assessment of local district organizational and programmatic needs; ? development and modification of computer system programs; ? meeting facilitation; and ? clerical and support staff for the above. 1.4 Curriculum Development A curriculum must be a fully developed written document that can be used and understood by other professionals. It must fully explain specific topical knowledge that the contractor/vendor will be communicating to the trainees. Curricula outlines or meeting agendas are not sufficient. Each curriculum must begin with an introduction. This portion of the curriculum must address the need for, and purpose of, the course. The course's relationship to any other course should also be explained. The introduction must include a brief overview of the concepts that will be taught in the course. The goals and objectives of the course must be presented in behavioral and measurable terminology. All curricula intended for delivery by training providers must instruct the trainer(s) to clearly identify the training provider organization and that they are providing the training under agreement with OCFS. For curricula developed by project staff or project consultants, the curricula must be presented in the following format: Purpose: Discuss, in one or two sentences, the key concepts that will be taught. Rationale: Include a short paragraph that describes why the concepts are being taught and why the trainees need to know them. Objectives: The learning objectives should be phrased in behavioral and measurable terms, stating what new skills, knowledge or abilities trainees will be able to demonstrate by the end of the session, and how they will be demonstrated. Materials: Provide a list of materials needed by the trainer and trainees. Specific handouts, videos, flip charts, Power Point slides, and other electronic media such as CD-ROMs should be titled and copies of each should be included with the curriculum and clearly labeled. Time: The total presentation time should be provided for each activity.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 11
Process: Provide a detailed and complete description of the presentation process and methodology. This should be a step-by-step description of the tasks and activities the trainer will take the class through. If lectures are used, a narrative of the entire lecture must be included. Group activities or individual activities must be explained. Time estimates for activities must be included. Trainer's 'Notes' should be included to point out topics that should be highlighted, or to otherwise instruct the trainer. If videos, DVDs, PowerPoints or handouts are used, focusing questions must be provided. The BT project manager must approve all media materials used by the contractor/vendor in advance. Conclusion: Include a review of the entire course and its intent. This section can also be used to offer presentation variations. Resources: Include a bibliography of resources utilized during the course development, including names of consultants when appropriate. Evaluation: Provide a copy of the evaluation instruments to be used in conjunction with the training following the BT evaluation guidelines. For curricula purchased from third-party vendors “as is,” the curricula may vary from the format described above. For training activities that produce web-based intranet and/or Internet information and applications: Any web-based intranet and Internet information and applications development, or programming delivered pursuant to the contract or procurement will comply with New York State Enterprise IT Policy NYS-P08-005, Accessibility WebBased Information and Applications, and New York State Enterprise IT Standard NYSS08-005, Accessibility of Web-Based Information Applications, as such policy or standard may be amended, modified or superseded, which requires that state agency web-based intranet and Internet information and applications are accessible to person with disabilities. Web content must conform to New York State Enterprise IT Standards NYS-S08-005, as determined by quality assurance testing. Such quality assurance testing will be conducted by OCFS and the results of such testing must be satisfactory to OCFS before web content will be considered a qualified deliverable under the contract or procurement. See policies on the NYS Office for Technology website athttp://www.oft.state.ny.us/Policy/NYS-P08-005.pdf andhttp://www.oft.state.ny.us/Policy/NYS-S08-005.pdf. For all curricula and materials: See part 1.7 Review and Crediting of Material for requirements and wording of the required acknowledgement. See parts 1.7 Review and Crediting of Material and 1.8 Contract/Work Plan Deliverables of this manual for guidance on submission of curricula and materials. All curricula, regardless of method of intended delivery, must be reviewed and approved by the BT project manager prior to implementation by the contractor/vendor or subcontractor. Note that curricula and
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 12
materials are confidential work products unless and until reviewed and approved by the BT project manager. 1.5 Evaluation Requirements BT requires training providers to develop, use, and report valid and reliable evaluations of training activities. The primary purposes of the evaluation requirements are (1) for contractors/vendors to develop/apply evaluation methods that will strengthen training content and delivery, and (2) for the timely and reliable reporting of evaluation results to BT. Evaluation reports must comprehensively and objectively assess the effectiveness of the training, and whether the major objectives were met. Reports must also detail what changes, if any, will be made to the training content or delivery based on the evaluation results. Evaluation instruments are considered part of the training curriculum, and are subject to the same prior review and approval process by BT project managers. The basic assessment methodology/instrument, including the proposed plan for implementing it, must be included with the proposed curriculum. For certain activities, some of the evaluation requirements may not be applicable. Alternative evaluation proposals from contractors will be considered; however, requests must be made in writing and approved by BT in writing. Training activities provided by outstationed staff must also adhere to these evaluation requirements. Please note that these are minimum requirements that may be supplemented by either the contractor/vendor or BT. In addition to these requirements, BT may periodically conduct an independent survey of trainees or supervisors to assess the effectiveness of training and its impact on job performance. Participant Reaction The Bureau of Training’s standard Participant Reaction Questionnaire (OCFS-3246) (see Appendix) is required for the following categories of deliverables regardless of the length of the activity: classroom training, virtual classroom (synchronous) training, teleconferences, seminars, forums, meetings, computer-based (asynchronous) training, and technical assistance. Training providers are free to include additional questions once those questions have been approved by the BT project manager. In some instances of technical assistance, a standard Participant Reaction Questionnaire may not be appropriate. If this is the case, the training provider may use an alternate form with BT project manager approval. Conferences must use the standard Participant Reaction Questionnaire (OCFS-3246) (see Appendix) to evaluate individual workshop sessions. The conference as a whole must be evaluated as well, using either the standard participant reaction questionnaire or a customized questionnaire specific to the conference. If a customized questionnaire is used for the overall conference evaluation, it must be reviewed and approved by the BT project manager prior to implementation.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 13
The completed standard questionnaires must be scanned and submitted electronically to [email protected] within 10 business days of the completion of the activity. See the Appendix for Instructions for Electronic Processing of Participant Reaction Questionnaire and the form. Learning Gain Training providers are expected to measure new knowledge and skills gained by participants in training activities they deliver. A pre/post-test of trainee knowledge is required for classroom training or virtual classroom training over 2 hours in length offered three or more times annually. At minimum, a post-test of trainee knowledge is required for any classroom or virtual classroom training 2 hours or less offered 3 or more times, and for teleconferences with a training curriculum. Training providers are encouraged to develop approaches for testing the acquisition and enhancement of skills. Project managers will work with providers to determine when skill testing is feasible. Pre/post-tests must be approved by the BT project manager prior to their use. Any revision or modification to existing, already-approved pre/post-tests must also be approved by the BT project manager prior to their use. In January, 2009, BT is initiating a new automated approach for use by training providers in evaluating learning gain. Prior to the delivery of a course, training providers will enter the course’s standardized test questions and answers into STARS. STARS will then produce customized pre-tests, post-tests, and scan sheets for use by the training provider when the course is delivered. See the “STARS Provider Instructions for Electronic Processing of Evaluation Level II: Learning Gain” document available athttp://stars.bsc-cdhs.org for guidance. Evaluating Deliverables Where Participant Reaction Questionnaires or Pre/PostTests Are Not Used Training providers must formulate their own plan for evaluating the impact and the effectiveness of activities where the BT project manager agreed that participant reaction questionnaires or pre/post-tests cannot be used. Evaluating Outstationed Staff Activities Training providers must formulate their own plan for evaluating the impact and effectiveness of outstationed staff. These plans must be approved by the BT project manager prior to use. Reporting- see part 4.1 Quarterly Reports for Training and Administrative Activities of this manual for guidance on reporting evaluation results to BT. 1.6 Reference Resources BT collects and catalogs its curricula and training resources. Contact the OCFS Materials Resource Center at (518) 473-8072 or at this email address [email protected] for further information about materials available to contractors/vendors. A catalog of materials/resources available for loan will be forwarded upon request.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 14
1.7 Review and Crediting of Material Projects sometimes call for the development of new curricula, evaluation plans, and other materials, or for the revision of existing curricula, evaluation plans, and other materials. All materials and curricula developed or revised, regardless of the training methodology, must be submitted to the BT project manager in draft at least six (6) weeks in advance of their anticipated use. BT will review the materials and curricula and will provide a written response to the contractor/vendor. Materials and curricula may not be used until BT has approved them in writing. Contractors/vendors must acknowledge in their work products that result from their training and administrative services agreements that the material was produced under an agreement with OCFS, and that OCFS has rights to use the material. Work products are those materials developed by the contractor/vendor using project funding. They include, but are not limited to, curricula, manuals, audio-visual materials, software, and publications developed for use in classroom training, distance learning, technical assistance, and seminars/ conferences/ forums/ meetings, or in other training and administrative activities. While contractors/vendors may register the copyrighted material, the copyright does not limit or preclude any of OCFS’s rights to the material. In addition, anyone or any entity, in addition to OCFS and the contractor/vendor, may also reproduce the material for its use, as long as the use is noncommercial and does not result in a financial profit to the individual or the entity. The following acknowledgements must be included by the training provider in the curricula, materials, and publications produced under an agreement with OCFS. Note that certain work products may require additional wording for the acknowledgement, or require an alternative approach to the acknowledgement. The BT project manager will work with the training provider in these instances on the modified language. Required Acknowledgement This material was developed by [insert name of training provider here] under a training and administrative services agreement with the New York State Office of Children and Family Services. License Rights [insert name of training provider here] acknowledges the State of New York’s and the Office of Children and Family Services’ right to a royalty-free, non-exclusive and irrevocable license to reproduce, publish, distribute or otherwise use, in perpetuity, any and all copyrighted and copyrightable material resulting from this agreement and/or activity supported by this agreement. All of the license rights so reserved to the State of New York and the Office of Children and Family Services under this acknowledgement are equally reserved to the United States Department of Health and Human Services and are subject to the provisions on copyrights in 45CFR 92 if the agreement is federally funded.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 15
Limited License and Disclaimer The State of New York and the Office of Children and Family Services grants permission to reproduce these materials to any interested parties solely for noncommercial purposes and uses, provided that the user acknowledge that the materials were developed by [insert the name of the provider here] under a training and administrative services agreement with the Office of Children and Family Services. Under no circumstances or at any time shall anyone or any entity earn a profit from the sale or use of these materials. While every effort has been made to provide accurate and complete information, the Office of Children and Family Services and the State of New York assumes no responsibility for any errors or omissions in the information provided here and makes no representations or warranties about the suitability of the information contained here for any purpose. All information and documents are provided “as is,” without a warranty of any kind. Any modifications in content or delivery to the original material must be expressly delineated as a modification to the original material in the reproduced materials and the user must expressly state that the modification is not sanctioned by the Office of Children and Family Services in any manner. Any modifications in content or delivery are solely the responsibility of the entity or organization making such modifications. Required Acknowledgement for Short-Form Materials (such as brochures and posters) This material was developed by [insert name of training provider here] under a training and administrative services agreement with the New York State Office of Children and Family Services. 1.8 Contract/Work Plan Deliverables Training providers are responsible for understanding the nature and scope of the training deliverables presented in the contract/work plan Training and Administrative Activities List (OCFS-3102-3) and Training/Administrative Activity Summary (OCFS3856), and for successfully completing all those deliverables during the term of the contract/work plan. Your assigned BT project manager can assist you with any questions you may have about the deliverables. Training providers are responsible for immediately informing their assigned BT project manager of any problems encountered in completing deliverables. The form of the communication such as telephone call, email, or meeting depends on the nature and scope of the problem. Problems in completing deliverables must be documented in quarterly reports as discussed in part 4.1 Quarterly Reports for Training and Administrative Activities of this manual. Submission of Contract/Work Plan Curricula and Materials in Digital Format Contractors/vendors should submit final curricula and materials electronically with the Cover Sheet- Final Curriculum/Material Submission (OCFS-4381) (see Appendix). This form must be completed and submitted with all curricula, trainee handouts, brochures, pamphlets, books, videos, CD-ROM’s, slides, and graphics. Contractors/vendors are required to deliver materials to BT immediately following the approval of the materials by OCFS. Contractual obligations will not be considered discharged until all materials
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 16
are delivered to OCFS. Submission requirements for subsequent revisions of curricula and materials may vary depending upon the training activity, and should be discussed with the BT project manager. The process for receiving, storing, and sharing training curricula and materials is a digital system that allows easy online access by OCFS staff and others interested in viewing curricula. Format- curricula and materials must be submitted in a digital form where possible, using both of the following digital file formats: Portable Document Format (.pdf) such as Adobe Acrobat® or comparable applicationfor OCFS use in storing, viewing, and printing documents online; and Word (.doc) such as Microsoft Word® or comparable application compatible with Microsoft Office® 2003- for contractor and OCFS use in making future revisions and updates. Other digital file formats may be used with BT project manager approval depending upon the material. Note: if the curricula/materials submitted for a training activity contain videotapes or DVDs, then the videotapes or DVDs must be fully edited studio master originals. OCFS, as well as the United States Department of Health and Human Services (DHHS), retains an exclusive, royalty-free right to use any original artwork, graphics or mechanicals created under the contract/ work plan. All such materials must be made available to BT or DHHS in a copy-ready, reproducible format. Submission Due to the size of the digital files, digital versions of curricula/materials most often should be submitted on a CD-ROM, including one version of the curricula/materials in a PDF file, and another in a Word (.doc) file. Email may be used to transmit smaller files. Contractors/vendors should submit both digital versions of the final approved training activity curricula/materials to the assigned BT project manager at the project manager’s mailing address. When confirmed as final, the BT project manager will forward a copy of the approved curricula/materials to the BT Materials Resource Center (MRC). Statewide Training Automated Registration System (STARS) Course Management Requirements BT provides contractors/vendors access to an on-line, real-time application where they will enter and maintain all training data. Contractors/vendors are required to use STARS as the system of record for documenting training deliverables. The steps for generating the STARS Actual Attendance Report are as follows:
?
The STARS system provides a report (STARS Enrollee Report) that lists individuals who have pre-registered for training. Contractors/vendors are required to print the report prior to the class offering and use it to verify trainee attendance. Trainees who have pre-registered are required to sign the STARS
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 17
?
?
Enrollee Roster next to their name. Trainees who are walk-ins must provide all the information required on the Training Roster (OCFS-4448) (see Appendix) and then sign the STARS Enrollee Roster. Trainees who are not enrolled in advance of the class will be added to the system during the class closeout. Class Closeout: Each training class must be closed out in STARS within 10 days of delivery. To complete a closeout, contractors/vendors are required to use the completed STARS Enrollee Roster and Training Roster (OCFS-4448) (see Appendix) to update trainee status to indicate actual attendance including trainees who were not pre-enrolled, and to submit the Participant Reaction Questionnaire results for entry into STARS- see part 1.5 Evaluation Requirements of this manual. STARS Actual Attendance Report: The completed STARS Enrollee Roster, including trainee signatures, verifies trainee attendance in calculating training fees charged to local districts. Once the STARS Enrollee Roster and the Training Roster (OCFS-4448) (see Appendix) information are entered, a STARS Actual Attendance Report is created. This report will be reviewed periodically by the BT project manager.
Further information on the STARS system can be found at this website address:http://www.bsc-cdhs.org/stars/. 1.9 Sale of Materials Federal regulations require that any income (after expenses) derived from a federally funded project be credited to the original federal funding source(s). To avoid the complicated federal credit process, OCFS will allow contractors/vendors to make copies of important materials available to trainees, social service agencies, and health agencies at cost only. Under no circumstances may a contractor/vendor sell materials to produce income. The contractor’s/vendor’s costs associated with printing/copying, postage, and staff time may be included in the sale price of the material, provided they are not already being paid for under the contract/work plan by OCFS. Contractors/vendors must keep complete records of all sales and the associated costs. 1.10 Training Space and Equipment Use Contractors/vendors are responsible for obtaining and making arrangements for any training space needed to deliver contracted training programs. BT project managers can sometimes assist in securing space at State or county facilities. If State or county facilities are not available, contractors/vendors should make arrangements for the use or rental of other facilities at a reasonable cost. Contractors/vendors are also responsible for obtaining equipment needed to conduct training. 1.11 Eligible Trainees Due to funding requirements, the training population for OCFS-sponsored training projects is limited to certain eligible groups. These groups are identified in the Training and Administrative Activities List of the project contract/work plan. Contact your BT
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 18
project manager if there are questions on the project’s target population. Projects may train only staff from those groups identified in the contract/ work plan. Voluntary Agency Staff (Non-Direct Care) Voluntary agencies, or provider agencies, are private human service organizations that provide services to local social service districts or OCFS under a contract. For child welfare-related training, these contractual services include foster care, adoption, prevention, and independent living. Human service organizations that do not meet this definition, even if they provide other services to children and families, are generally not eligible to receive child welfare-related training under this training program unless special funding arrangements are in place. In addition, the “Job Type” codes of the Training Roster (OCFS-4448) (see Appendix) distinguish between direct child care workers (for residential child care) and caseworker/case manager/social worker (nondirect care staff in residential child care). Due to differences in Federal training funds for these groups, it is necessary that contractors/vendors distinguish between these two groups of trainees and verify that rosters are coded accurately to track training for nondirect care workers. As necessary, contractor/vendor staff should review training rosters for accuracy and make needed corrections. Child Welfare Stakeholders (Non-IVE Federal Funding) Child welfare stakeholders, also referred to as “non-traditional” trainees or “non-Title IVE eligible” trainees, are individuals who play key roles in the public child welfare system in NYS but are not identified in federal Title IV-E regulations as eligible for the enhanced 75 percent federal financial participation (FFP) rate. They include family court staff such as judges, court clerks and other family court staff, court appointed special advocates (CASAs), county attorneys who may handle child welfare cases but who are not employed by the county department of social services, law guardians, county probation officers, county mental health staff, county public health staff, county youth bureau staff, and other community service providers, as long as they have a role in public child welfare services. In addition, this group includes OCFS staff providing post-residential services for youth (OCFS aftercare services). Title IV-E eligible staff include caseworkers and supervisors employed by county departments of social services who handle foster care or adoption cases as case planners or case managers, social workers and caseworkers in approved agencies (also referred to as voluntary agencies) who handle foster care or adoption cases, and foster and adoptive parents. When registering for training in STARS, child welfare stakeholders should be coded under “Target Population” as code 8 “Employed by public agency (city, county, state, or federal) other than local social services districts, OCFS, OTDA, DOH or DOL.” Use codes as appropriate for “Functional Area” and “Job Type.” For OCFS staff providing post-residential services for youth (OCFS aftercare services), “Target Population” code 1 “Employed by New York State Office of Children and Family Services (OCFS)” is used, with “Functional Area” code 2 “OCFS Rehabilitative
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 19
Services.” Use codes as appropriate for “Job Type.” See Training Roster (OCFS-4448) in the Appendix. Trainees Not Eligible under Federal Funding (Non-Federal Funding) Project specifications may call for training of a limited number of staff outside the typical eligible populations described above. These populations may not be eligible for federal reimbursement and need to be identified separately. Contact the BT project manager assigned to your project to obtain guidance for identifying these trainees on training rosters. 1.12 Training Fees OCFS charges a small fee for participation in OCFS-sponsored training activities. BT collects fees directly from local social services districts based on data that training providers report through STARS. Contractors/vendors are required to use the completed STARS Enrollee Roster and the Training Roster to update trainee status to generate a STARS Actual Attendance Report. The completed STARS Actual Attendance Report verifies trainee attendance and is used to calculate training fees charged to local districts. A full day of training is charged at $14 per local district participant; a half-day is charged at $7. The training fee policy is as follows: “The Office of Children and Family Services provides a wide range of training to benefit local social services districts using federal, state and university matching funds. For most training activities, OCFS assesses a nominal fee of $14 per person per day for local district staff to help offset the federal matching requirements. Individual providers such as foster and adoptive parents or child day care providers are not charged fees. Training fees are assessed on live training programs conducted by training contractors. They are not assessed on teleconferences, technical assistance sessions, and regional meetings. Pilot offerings of new training programs are also excluded from training fee charges, as are the training activities arranged by OCFS Regional Offices through these two training projects: Child Welfare Training and Technical Assistance (Project Code ST06) and Children and Family Services Program Improvement Training (Project Code CC15). Additional activities may be waived at the discretion of the Director of the Bureau of Training.” Training Provider Responsibilities At the beginning of the contract/work plan year, or as training activities are entered into STARS, training providers must confirm with BT project managers those activities where a training fee is to be charged. Training announcements produced by training providers must indicate whether or not a fee is charged. (For example, announcements available through STARS indicate fees charged under “Training Billable.”) While training providers do not collect training fees, they must maintain accurate and up-todate training participant and training fee information in STARS, as BT uses this information to calculate the training fees collected from local districts.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 20
1.13 United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB 1666) BT’s training and administrative programs are funded through a combination of State and Federal funds. Some of these funds have restrictions and/or specific reporting requirements. Title IV-E funding is the most restrictive of the Federal funding sources. Title IV-E funds are used for foster care- and adoption-related training. There are separate reimbursement rates for Title IV-E: 75 percent for training activities and 50 percent for administrative activities. Within each Title IV-E training contract/work plan there is an additional split between training and administrative activities that OCFS is required to track for Federal claiming. For training projects that include Title IV-E funds, both training and administrative deliverables and expenditure records must be segregated by training and administrative activities. As a result, BT has reporting procedures and forms related to proposal development and voucher preparation to promote proper record keeping and documentation. These specific requirements for projects that include Title IV-E funding are outlined in DAB-1666. This decision requires that in order for the State to receive enhanced Federal Financial Participation (FFP) for training costs, such costs must be of the type specified in the federal regulation 45 CFR 235.64. Contractor reimbursement for these costs may be limited to the level of FFP the State receives for these costs. Additional information about the DAB 1666 decision can be found at the United States Department of Health and Human Services website address:http://www.hhs.gov/dab/decisions/dab1666.html. Information on 45 CFR can be found at the following United States Department of Health and Human Services website address:http://www.gpoaccess.gov/cfr/. Administrative activities costs and DAB 1666 costs are based on the sub-budgets contained in the contractors/vendors approved contract/work plan. DAB 1666 requirements only apply to projects that include Title IV-E funds. If a contract/work plan contains both training and administrative activities for projects that include Title IVE funds, contractors/vendors are required to specify administrative activities costs separately. 1.14 Project Staffing Contractors/vendors must identify, in advance, changes in project staffing for BT’s use in processing claims for reimbursement of salary and fringe benefits. Changes that must be identified are those involving any new staff members added to a project, and any twenty (20) percent point change in key personnel’s percentage of time on a project. This is done using a Revised Project Personnel Cost (OCFS-4789) form and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) form, both found in the Appendix, III. Forms for Project Changes. See part 3.1 Budget Modifications for guidance on reporting these changes to BT.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 21
Contractors/vendors will need BT project manager prior approval for staffing changes involving key personnel. The BT project manager and the contractor/vendor will, at the beginning of the contract/work plan year, jointly identify which project personnel are key personnel. No change or substitution of any such key project personnel will be made without prior written approval from the BT project manager. Submit all changes in key project staff to BT using the budget modification forms. 1.15 Affirmative Action OCFS fully supports the efforts of the State of New York to promote equal opportunity for all persons, to promote equality of economic opportunity for minority group members and women who own business enterprises, and to promote, through active programs, that there are no barriers that unreasonably impair access by NYS certified Minority and Women-Owned Business Enterprises (M/WBE) to State contracting opportunities. General Responsibilities and Requirements Contractors/vendors entering into contracts/work plans in excess of $100,000 for construction, and $25,000 for all other services, and subcontractors entering into contracts/work plans in excess of $25,000 for construction, agree that any goal percentages contained in the contract/work plan are subject to the requirements of Article 15-A of the Executive Law and regulations adopted pursuant to it. Additionally, the contractor/vendor and any of its subcontractors shall be bound by the applicable provisions of Article 15-A of the Executive Law, including Section 316 thereof, and any rules or regulations adopted pursuant thereto. Further, the contractor/vendor and any of its subcontractors shall comply with Executive Law of the State of New York, Sections 290-299 thereof, and any rules of regulations promulgated in accordance therewith. (See Appendix under Implementation of Affirmative Action for Summary of Article 15-A Requirements of the Executive Law). In addition, contractors/vendors are also required to submit a description of how they propose to identify and utilize M/WBEs with which they may subcontract or with which they may obtain supplies (and/or equipment, commodities, etc.) under their contract/work plan, as well as the dollar amount, if known, of any such subcontract or purchase. Contractors/vendors are also required to complete both the Subcontracting Utilization Form (OCFS-4631) (see Appendix) and the M/WBE Subcontractors and Suppliers Letter of Intent to Participate (OCFS-4630) (see Appendix) for themselves and for the subcontractors or vendors they intend to utilize. For OCFS contracts/work plans, the combined goal for subcontracting with and purchase of supplies (equipment and/or commodities, etc) from NYS certified Minority and Women-Owned businesses can be obtained from your OCFS project manager or the solicitation document under which your contract/work plan was sponsored. Definitions of Minority and Women-Owned Business Enterprises can also be found in the Appendix. The directory of certified businesses, prepared by the New York State Empire State Development, Division of Minority and Women’s Business Development, for use by contractors/vendors in complying with the provisions of Executive Law, Article 15-A, and the regulations required pursuant to said Law, is included in the Appendix.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 22
The Division of Minority and Women’s Business Development can be contacted by phone at (518) 292-5250 or (212) 803-2414. For additional information call the OCFS Equal Opportunity and Diversity Development office at (518) 474-3715. Specific Guidance and Responsibilities In order to assist contractors/vendors in their attempts to demonstrate effective affirmative action efforts, OCFS suggests that contractors/vendors consider any or all of the following steps: (1) Contact all known M/WBEs that may appropriately serve as subcontractor or a subvendor under the contract/work plan. (2) Keep a “contact” list of M/WBEs contacted along with the name of your contact/work plan and the result of the contact(s). (3) Use the M/WBEs contacted as a possible resource for additional contacts. In the event your firm does not obtain the desired results from step 1-3 above, OCFS suggests that you consider these additional steps (and keep a contact record of the same): (4) Contact area Minority Business Associations, Contractors Associations, Purchase Councils or Professional Organizations serving the area in which the contract/work plan will be performed. (5) Contact the New York State Empire State Development, Division of Minority and Women Business Development for assistance at (518) 292-5250 or (212) 803-2414. (6) Contact OCFS Office of Equal Opportunity and Diversity Development (EODD) at (518) 474-3715 in Rensselaer, NY. (7) Contact area community-based organizations that serve the minority community and local elected, appointed, religious or other acknowledged leaders who also may serve as resources. The above-noted provisions are set forth to aid contractors/vendors who may require assistance in their attempt to comply with OCFS’s affirmative action initiative. However, contractors/vendors are at liberty to propose a course of action of their own that is reasonable and accomplishes the aim of the above provisions. In addition, all (not-for-profit, for-profit, contractors/vendors are responsible for
?
governmental
and
educational)
?
?
Complying with the requirements of the Civil Right Act of 1964 as amended, the Age Discrimination in Employment Act of 1967 as amended, the Federal Rehabilitation Act of 1973 as amended by Executive Order No. 11246 entitled “Equal Employment Opportunity” as amended by Executive Order No. 11375 and as supplemented in Department of Labor Regulations, 41 CFR, Part 60. Contractors/vendors also agree to observe all applicable Federal regulations contained in 45 CFR, Part 84, and 28 CFR, Part 41. Complying with the Rehabilitation Act of 1973, Section 504, as amended; this requires the State and its contractors/vendors to make programs and activities available to persons with disabilities on an equal basis. Designating an executive-level individual to develop and implement an affirmative action plan acceptable to OCFS.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 23
In addition, contractors/vendors entering into contracts/work plans in excess of $100,000 for construction, and $25,000 for all other services, and subcontractors entering into contracts/vendors in excess of $25,000 for construction, are responsible for
?
?
?
Adhering to the OCFS-approved Staffing Plan as set forth in the contract/ work plan, and advising OCFS immediately of any anticipated changes to the Staffing Plan. Contractors/vendors will submit a copy of their current Staffing Plan, if any changes have occurred in the approved Plan, in their contractually mandated quarterly reports. (A copy of the Project Staffing Plan (OCFS-4629) form and related definitions are included in the Appendix). Indicating their progress in achieving the goals for the utilization of NYS certified MBEs and WBEs for contract/work plan related procurement of goods from vendors and subcontracting activities (as specified in the contract/work plan) in their contractually mandated quarterly reports. Progress to date should be stated in terms of percentages and dollar amounts attributed to MBEs and/or WBEs for the contract/work plan period in question, as well as in a narrative detailing how the affirmative action plan submitted with the bid was implemented. Making their best effort to employ, where possible, recipients of public assistance and care, as that term is defined in Section 2 (18) of the Social Service Law of New York State, on the contract/work plan.
1.16 Employee and Consultant Status Training contract/work plan budgets include employees under the Personnel budget page and, in some instances, subcontractors/consultants under the Subcontractor/Consultant budget page. Contractors/vendors need to distinguish between these two categories. Only employees are covered by unemployment and workers’ compensation benefits. Contractors/vendors must be sure that consultants cannot be construed as employees. If a person is being paid as an employee, the employer cannot also pay that person as a consultant. In addition, two people cannot be treated differently while doing the same type of work. A review of each position will determine whether it should be considered for employee status based on: Type of service. If services are ongoing, the person would likely fit into an employee position. If the services are one time or variable (once a month), a consultant position may be more appropriate. Work schedule. If a person follows a fixed work schedule, the status as employee is justified. If not, and they can perform their work within contract /work plan requirement time frames, then they would be considered a consultant.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 24
A consultant provides and pays for his/her own training, staff and supplies. A consultant may do work for several different companies, while an employee typically works for one employer. The distinction between “employee” and “consultant” for unemployment and workers’ compensation is complex. Contractors/vendors should consult the New York State Department of Labor, the New York State Workers Compensation Board, and/or private legal counsel if they have questions in this regard. 1.17 Consultants/Subcontractors Definition A subcontractor is an institution, individual, or organization external to the contractor/vendor that has entered into a written Agreement with the contractor/vendor to provide any service outlined in or associated with the contract/work plan, and whose services are to be funded under the contract/work plan budget. A contractor/vendor is an institution, expert, or organization that has entered into a written training and administrative activities Agreement with OCFS that has been approved by the State Comptroller. The term subcontractor includes consultants. All such Agreements are to be conducted by a bona fide written contract/work plan. General Requirements All subcontracting activities, including selection of subcontractors and contract development, must be conducted in accordance with Article 11 of New York State Finance Law (State Purchasing), Economic Development Law (Contract Reporter Publication) and the Office of the State Comptroller G Bulletins (Procurements). Contractors/vendors must obtain prior written approval from OCFS for any Agreement, or series of Agreements, with a single subcontractor that totals $15,000 or more, including travel, during the contract/ work plan term, and may not implement any activity or expend contract/work plan funds without such approval. All vouchers for reimbursement of expenses must be according to contractual and subcontractual terms, and be directly related to project objectives. Contractors/vendors must identify all subcontracts with Minority and Women-owned Business Enterprises totaling $15,000 or more during the contract/work plan term (period). See part 1.15. Affirmative Action of this manual. Use of consultants (see part 1.16. Employee and Consultant Status of this manual) must be fully explained and justified (for example, identify the services that the consultants will provide, and explain why they must be used). Contractors/vendors must receive BT project manager approval in advance for rates in excess of $750/day. Chapter 10 of the Laws of 2006 requires New York State contractors/vendors to collect and report on consulting services. See part 4.3. Annual State Contractor’s Employment Disclosure of this manual.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 25
Subcontract Requirements Each subcontract, regardless of its monetary value, shall specify:
? ?
?
? ? ? ? ? ?
work objectives that are clearly defined and measurable; work to be performed by the subcontractor in accordance with the terms of the parent contract/work plan, detailing all tasks involved in the performance of the Agreement; curricula, instructional plans, or materials to be developed, incorporating the format, length, content, and delivery date, if applicable, in accordance with parts 1.7 Review and Crediting of Material, 1.8. Submission of Contract/ Work Plan Deliverables, and 1.9 Sale of Materials, of this manual; total number of hours or days of service provided; rate and term of payment; dates of service within the legal term (period) of the prime contract/work plan; consistent dates of service throughout the subcontract and its attachments; whether travel costs are included; reimbursement to the subcontractor upon satisfactory completion of services.
Subcontracts must also include the following additional clauses: "(Insert name of subcontractor here) agrees that all work performed shall be in accordance with the terms of the contract/work plan between the OCFS and the contractor/vendor and that there shall be no contractual relationship between the Subcontractor and the OCFS." "(Insert name of subcontractor here) represents and agrees to comply with the requirements of the Civil Rights Act of 1964 as amended, the Age Discrimination Employment Act of 1967 as amended, the Federal Rehabilitation Act of 1973 as amended, and Executive Order No. 11246 entitled "Equal Employment Opportunity" as amended by Executive Order No. 11375 and as supplemented in Department of Labor Regulations, 41 CFR, Part 60. The subcontractor also agrees to observe all applicable Federal regulations contained in 45 CFR, Part 84, 28 CFR, Part 41 and OMB Circular A-133 Audits of States, Local governments, and Non-Profit organizations.” “The subcontractor agrees that any goal percentages contained in this contract/work plan are subject to the requirements of Article 15-A of the Executive Law and New York State, including Section 316 thereof, and any rules and regulations adopted pursuant to it.” Contractors/vendors will be expected to utilize the services of M/WBEs in their subcontracting activities. Contractors/vendors must also identify any subcontracts with M/WBEs during the contract/work plan term (period). This information should be included in the cover letter accompanying the subcontract when it is submitted for approval. Contractors/vendors shall also include the Subcontracting Utilization Form (OCFS-4631) (see Appendix).
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 26
Subcontract Submission Contractors/vendors must submit draft subcontracts to the following address for BT approval at least three (3) weeks prior to signature by the contractor/vendor and subcontractor: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 1.18 Conference Attendance Training providers, in order to maintain or enhance staff expertise, may find that staff participation in conferences or seminars is useful. Attendance on a limited basis may be reimbursed under the project budget. Training provider Project Directors approve staff attendance at “in-state” conferences, while BT reviews and approves attendance at out-of-state conferences. Project Directors are expected to use careful, professional judgment regarding the use of project funds to allow staff to attend conferences. All conference attendance, in-state and out-of-state, must meet the following conditions:
? ? ? ?
attendance is necessary for the successful completion of project activities; attendance does not interfere with staff’s ability to complete regular project activities; contractors/vendors maintain records as to how staff attendance benefited the project and how the information will be disseminated to other project staff; and the project budget contains sufficient funds in the staff travel category.
Requests for attendance and reimbursement for out-of-state conferences must be submitted to the BT project manager at least three (3) weeks in advance using the Contractor Request to Attend Conference (OCFS-3108) (see Appendix). Signed, completed forms may be submitted in their original paper form by mail, or by email as electronic documents in a Portable Document Format (.pdf) file viewable and printable by BT through Adobe® Reader. All out-of-state conference attendance and travel require prior written approval by the Director of the Bureau of Training. 1.19 Accounting Requirements There are general accounting Contractors/vendors must:
? ? ?
requirements
for
contractors/vendors.
maintain records for each contract/work plan in a manner consistent with Generally Accepted Accounting Practices. have a record keeping system that maintains a separate identity for each project within each contract/work plan. maintain a list of the funds disbursed under the contract/work plan, including the payee and amount. Any payments made after the termination date of a
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 27
?
?
?
?
contract/work plan or the ending date of the program year must be for expenditures incurred during the contract/work plan period. Any costs incurred prior to the starting date of a contract/work plan period will not be reimbursed. maintain complete and accurate documentation to support revenue and expenses (for example, cancelled checks, bank statements and deposit slips, invoices and time sheets) for six years after the end of the contract/work plan period, or as further required by contract/work plan provisions. maintain accurate time records for all employees paid under the contract/work plan. Acceptable records must note time period covered and full signatures of both the employee and supervisor. Timesheets for employees whose salaries are charged to more than one contract/work plan program must reflect an afterthe-fact distribution (comparing records for projects for each employee assigned to multiple projects to verify they each did not work over 100 percent on the combined projects) of the actual activities of the employee. Records must adequately identify the use of funds for contract/work plan activities. Accounting records must be supported by documentation including, but not limited to, purchase and travel receipts, and show a clear audit trail for all funds received and disbursed. The contractor/vendor must retain records, including documentation, for each contract/work plan for six years. Records and documentation may be requested periodically from Contractors/vendors in order to validate accuracy in claiming. the State Finance Law and Generally Accepted Accounting Practices require that any expense incurred over more than one funding source or program is allocated proportionately and the method of allocation be documented. Some examples of these common expenditures are staff, utilities, rent, copy machine usage, and postage. In order to prevent an audit disallowance, justification of each allocation must be maintained along with other records kept by the contractor/vendor for the six-year period. maintain an accurate, complete and current inventory of equipment purchased with project funds (see 1.21. Equipment below.)
1.20 Organizational Changes/Actions Contractors/vendors must notify BT in writing of any significant organizational changes, especially any that might affect their provision of contract/work plan deliverables, such as changes in key staff, project directors, address, as well as mergers, acquisitions, legal actions and bankruptcies. In accordance with Section 138 of the State Finance Law, and in OCFS contract/work plan language, contractors/vendors may not assign their contracts/work plans without OCFS prior written consent. Written notifications of such organizational changes/actions should be made by authorized representatives on contractor/vendor letterhead directed to: Director, Bureau of Training NYS Office of Children and Family Services
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 28
Capital View Office Park North Building Room 234 52 Washington Street Rensselaer, NY 12144-2796 Those contractors/vendors using the OCFS automated Contract Management System (CMS) for electronic contract signature who change individuals authorized to receive or sign contracts online must obtain new CMS user accounts through the OCFS Bureau of Contract Management. See the CMS User’s Manual available electronically at the CMS website for instructions and forms. 1.21 Equipment Definition Equipment is defined as any tangible personal property having a useful life of more than two years and an acquisition cost of $5,000 or more per unit. BT may determine that a series of small purchases taken together are related and form one operational piece of equipment, and reserves the right to classify the items as equipment. Examples of this may include purchasing items for a project activity such as a computer lab, studio, or editing suite. Purchases OCFS strongly encourages contractors/vendors to make purchases of equipment through M/WBEs (Minority and Women-owned Business Enterprises) wherever feasible. Property Requirements Each contract/work plan contains standard language that states that any equipment purchased with project funds remains the property of OCFS. It is understood that equipment purchased with contract/work plan funds must be used solely for work described in the contract/work plan. Equipment Inventory Contractors/vendors must maintain adequate records on all equipment purchases and account for such equipment in accordance with inventory requests from BT. Contractors/vendors must complete and submit a Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS 4795) (see Appendix) with the vouchers that claim reimbursement for purchased equipment. This includes any equipment purchased by subcontractors. BT may request a periodic update of the equipment inventory. Note: Public vendors with multiple projects and with budgeted equipment items charged across multiple accounts are required to compile a single listing of all equipment spanning those multiple projects/accounts, and to submit the list to BT when submitting their proposal. This allows BT to maintain an equipment inventory pertaining to the public vendor that includes all the OCFS-sponsored projects. In order to obtain information on items with an acquisition cost of $500 - $4,999, equipment is defined for
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 29
the purposes of this listing as any tangible personal property having a useful life of more than two years and an acquisition cost of $500 or more per unit. If there are revisions to the list, public vendors must submit another list at the beginning of the year. Adjustments to the inventory must be reconciled by the end of the training year. Responsibility Equipment is the contractors/vendors responsibility, and adequate precautions should be taken to maintain the equipment in good repair and to prevent damage or theft. Contractors/vendors should carry adequate insurance to cover damage and losses. If any equipment is damaged or lost, it is the contractors/vendors responsibility to inform the BT project manager as soon as possible. Disposition of Unneeded Equipment If equipment is no longer necessary for the contract/work plan, if there is no renewal Agreement, or if the equipment is not repairable, has low residual value, or is beyond its useful life as determined under the contractor/vendors’ own equipment policies, the contractor/vendor must account for the equipment and seek determination from the Director of the Bureau of Training in writing on the disposition of the equipment, as provided in Federal regulation 45 CFR Part 95 Subpart G, and OMB Circular A-87 (revised 5/10/04). 1.22 Printing Printing services must be obtained from the most economical and responsible source available. All contractors/vendors and subcontractors must make reasonable efforts to secure the lowest cost source for printing services. In instances where a printing job is $5,000 or more, the contractor/vendor must document that the lowest cost source was used and provide this documentation with the payment claim. Documentation for printing costs must include a brief description of the service provided, the date the service was performed, a list of all responding bidders, the price projected by each bidder, and a rationale for the selection/ rejection. If the lowest responsible bidder is not accepted, then a detailed justification for the acceptance of another bid must be provided. OCFS strongly encourages contractors/vendors to obtain printing services through an M/WBE wherever feasible. For more information on how to obtain printing services through a NYS Certified M/WBE, refer to:http://www.nylovesbiz.com/Small_and_Growing_Businesses/mwbe.asp These requirements are not intended for use when obtaining photocopying services for normal business activities. 1.23 Contractor/Vendor Compliance OCFS has the right to audit and review the contractor’s/vendor’s performance and operations as related to the Agreement and/or to retain the services of qualified independent auditors or investigators to perform such audit and review on the Office’s
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 30
behalf. If the review indicates that the contractor/vendor has violated or is in noncompliance with any of the terms of the Agreement, or has abused or misused the funds paid to the contractor/vendor, the contractor/vendor agrees to pay OCFS any costs associated with the review. If the review indicates that the contractor/vendor has violated or is in non-compliance with any of the terms of the Agreement, or has abused or misused funds paid to the contractor/vendor under any other agreement with OCFS, the rights of OCFS include, but are not limited to:
? ? ? ? ?
recovery of any funds expended in violation of the Agreement; suspension of payments; termination of the Agreement; employment of another entity to fulfill the requirements of the Agreement and/or; the contractor/vendor shall be liable for all reasonable costs incurred on account, including payment of any cost differential for employing such entity.
The contractor/vendor must assist OCFS in transferring the operation of the contract/work plan services to any other entity selected by the OCFS in a manner that will enable OCFS or clients to continue to receive services on an on-going basis. This includes, but is not limited to
? ? ?
notifying clients of the new entity to which the services shall be transferred and the effective date of the transfer; providing the new entity with a copy of the clients’ records necessary to continue the provision of the transferred services; and transferring any equipment purchased with funds provided under that Agreement.
Nothing shall preclude OCFS from taking actions otherwise available to it under law including, but not limited to, the State’s “Set-Off Rights” and “Records” provisions contained in Appendix A (Standard Clauses for all New York State Contracts). The contractor/vendor agrees to cooperate fully with any audit or investigation OCFS or any of its agents may conduct and to provide access during normal business hours to any and all information necessary to perform its audit or investigation. The contractor/vendor shall also allow the State Comptroller, the NYS Attorney General, the Office and any representatives specifically directed by the State Comptroller or OCFS to take possession of all books, records and documents relating to this Agreement without prior notice to the contractor/vendor. OCFS shall return all such books, records and documents to the contractor/vendor upon completing the official purpose for which they were taken. The contractor/vendor agrees that all agreements between the contractor/vendor and a subcontractor or consultant for the performance of any obligations under the Agreement
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 31
shall be written contract/work plan (subcontract) that shall contain provisions including, but not limited to, the above specified rights of the Office. 1.24 Monitoring Contract/work plan monitoring is the assessment by OCFS staff, or staff of other State or local agencies, of a contractor’s/vendor’s performance measured against applicable rules and programmatic, administrative and fiscal criteria. Program Monitoring Program monitoring includes telephone calls, meetings, on-site monitoring of training activities and clearance of training materials by the BT project manager and maintaining clear communication between OCFS and the contractor/vendor. Administrative Monitoring Administrative monitoring includes telephone calls, meetings, and reviewing quarterly reports, budget modifications, contract/work plan changes, and vouchers as necessary. These activities will include BT staff and, where appropriate, other State and local staff. Fiscal Monitoring and Audits OCFS retains the right to inspect supporting documentation for expenditures either through fiscal monitoring or a fiscal audit. Effective January 1, 2004, BT may no longer require contractors/vendors to submit supporting documentation for expenditures with their vouchers. Contractors/vendors will be expected to retain the supporting documentation on-site available for inspection. OCFS reserves the right to inspect these documents, including monthly vouchers at any time; OCFS may require selected contractors/vendors to submit supporting documentation.
?
?
Fiscal monitoring is a limited scope review of an organization’s transactions, accounts, and records made for the purpose of rendering a judgment whether the limited sample of transactions reviewed are consistent with the contract/work plan terms, and represent actual costs, as supported by the books and records of the organization. In this regard, contract monitoring is a risk assessment function that can help determine whether a fiscal audit is necessary. A fiscal audit is a comprehensive and independent examination of the organization’s transactions, accounts, and records, made for the purpose of obtaining reasonable assurance that all material expenditures claimed for reimbursement were consistent with the contract/work plan terms, and represent actual costs, as supported by the books and records of the organization.
1.25 Independent Annual Audits OCFS encourages all contractors/vendors to include an assessment related to the contract or other agreement of the contractor’s/vendor’s compliance with OCFS’s policies in their annual audit, performed by independent auditors and compliant with generally accepted audit standards.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 32
OCFS requires that contractors/vendors: (1) provide copies to the BT Finance and Administration Section of all audits performed by independent auditors; and (2) provide copies to the BT Finance and Administration Unit of audits performed in accordance with all State and Federal requirements (for example, OMB Circular A-133). Although performance of annual independent audits is encouraged, related costs are not allowed for reimbursement by OCFS. 1.26 Data Access Required Under the State Administrative Procedure Act (SAPA) The contractor/vendor agrees that at the completion of any scientific or statistical study, report or analysis prepared pursuant to a contract/work plan, it will provide to OCFS, at no additional cost, a copy of any and all data supporting the scientific or statistical study, report or analysis, together with the name(s) and business address(es) of the principal(s) producing the scientific or statistical study, report or analysis. (SAPA §104) 1.27 Expectation of Insured The contractor/vendor and any and all subcontractors must obtain and maintain in effect a general policy of liability insurance of an appropriate amount. 1.28 OCFS Automated Contract Management System (CMS) OCFS has developed a comprehensive, web-based Contract Management System (CMS) providing technology that automates the contract development process. Vendors awarded contracts under this procurement may develop and electronically sign contracts through CMS. A description of CMS, including benefits to vendors, follows: CMS standardizes the contract development process, automating labor-intensive tasks and providing system edits that reduce common errors. Interactive budget and contract documents streamline the development process. Intuitive screens provide a userfriendly environment. The system facilitates prompt contracting and prompt payment thereby making services available to the children and families of New York State in a timely manner. CMS features will permit vendors to do the following online: Develop, manage and electronically sign a contract online; receive alerts and notifications regarding the status of contract approval: permit correspondence between the vendor and OCFS; upload and download contract documents into CMS; process online budget modifications; and check the status of contracts and payments. CMS has no hardware requirements. Minimum computer requirements for participating are simply Internet access, Explorer 6.0 and Adobe Reader 7.0. Adobe Reader can be obtained free of charge at:http://www.adobe.com. For Macintosh users, Safari 2.0 or higher is recommended and can be obtained free of charge at:http://www.apple.com/support/downloads/safari.html. A CMS User’s Manual is available electronically to CMS account holders on the CMS website, as is a CMS Frequently Asked Questions Page for contractors. OCFS will keep contractors/vendors informed as new functions become available, such as claiming process for vouchers, budget modifications, and quarterly reporting.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 33
2. PROJECT PAYMENTS
This section describes the policies for reimbursement of project expenses, and the procedures and required claim forms for submitting reimbursement claims to OCFS. 2.1 Prompt Payment Legislation Procedures Article 11 of the New York State Finance Law, Prompt Payment, requires the State to pay its contractors/vendors within thirty (30) days of receipt of a proper claim submitted in such form and supported by such other substantiating documentation as required by OCFS or the Office of the State Comptroller (OSC). Not-for-profit and for-profit organizations are eligible for interest on overdue payments under this law. Public entities are not eligible for interest. The following are the BT procedures pursuant to this law. BT staff are available to provide assistance with claim preparation questions. (1) Contractors/vendors must submit vouchers to the New York State Office of Children and Family Services/ Bureau of Training,/ Finance and Administration Section. The prompt payment timeframe will begin only when BT’s Finance and Administration Section receives the completed claim in an acceptable format. (2) Claims submitted by contractors/vendors must be accurate and properly prepared in accordance with this manual, as the prompt payment timeframe does not permit OCFS to make major revisions or corrections to claims. An accurately and properly prepared claim is one which:
? ? ? ?
provides accurate expenses/prices, quantities and descriptions of goods/services delivered; the costs submitted are consistent with the approved budget, latest amendment, or budget modification; is in a form that contains supporting documentation as OCFS and the OSC may reasonably require; and is signed by an individual authorized to sign on behalf of the contractor/vendor.
(3) OCFS may reject claims for payment if there are any issues regarding contract/work plan deliverables or other required information, such as:
? ? ?
lacks original signature or required information; costs are not consistent with the approved budget, latest amendment, or budget modification; or non-compliance with contractual requirements such as late or unacceptable reports or inadequate deliverables.
(4) OCFS must notify the contractor/vendor of such defects or improprieties within fifteen (15) days of receipt of the claim to be consistent with the Prompt Payment requirements. These issues must be resolved before claims can be accepted for payment under the Prompt Payment timeframes.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 34
(5) At the conclusion of the contract/work plan, OCFS may withhold up to ten (10) percent of the contract/work plan payments until receipt and acceptance of all reports and deliverables can be verified. These funds will be released for payment and the prompt payment timeframe will begin upon receipt of all deliverables, reports, and curricula. Curricula must be submitted with a completed Cover Sheet- Final Curriculum/Material Submission (OCFS-4381) - see Appendix under Forms for Project Implementation. See part 1.8 Contract/Work Plan Deliverables of this manual for more information on curriculum submission. 2.2 Advance Payments Most contractors/vendors are eligible to receive advance payments. Details regarding advance payments are included within the OCFS contract/work plan. To receive an advance payment, a contractor/vendor must submit a signed voucher. The advance voucher must be paid within thirty (30) days of the execution of the contract/work plan or receipt of the voucher, whichever is later. The advance payment is part of the total contract/work plan and is not additional funding. The advance payment must be paid back to OCFS through the submission of acceptable claims for allowable expenses under the contract/work plan. OCFS reserves the right to deny requests for additional and/or re-issuance of advance payments if OCFS has determined there is insufficient time or deliverables remaining to allow the contractor/vendor to repay the advance within the terms of the contract/work plan. Should a project fail to operate as anticipated and a claim cannot be made, an advance payment must be repaid to OCFS promptly. OCFS reserves the right to change the payment schedule, including the advance repayment schedule, if necessary. 2.3 Claiming and Reimbursement While contract/work plan budgets are based on estimated costs, claims must be based on actual expenditures clearly in support of the deliverables and must be in sufficient detail to identify the items of expenditure. Contractors/vendors are liable to audit by the NYS Office of the State Comptroller (OSC), OCFS, the United States Department of Health and Human Services (DHHS) or the authorized representatives of any of these agencies. The procedures outlined in this section are designed not only to support reimbursement, but also to help provide readable audit trails of contractor/vendor claims. Contractors/vendors are expected to follow the claiming instructions outlined in this chapter when claiming reimbursement. In addition, contractors/vendors will be required to submit a signed certification contained in the Summary of Costs (OCFS3106, I-VIII) (see Appendix): "We certify that all costs incurred, billed and reported are in accordance with all Federal and State Laws and regulations including, but not limited to, Federal OMB Circulars A21, A-87, A-110, A-122, and A-133, and to State Finance Law as applicable, and there is appropriate supporting documentation for this claim period."
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 35
Effective January 1, 2004, contractors/vendors may no longer be required to submit supporting documentation for expenditures. Contractors/vendors will be expected to retain the supporting documentation on-site, available for inspection (see part 1.19 Accounting Requirements of this manual). OCFS reserves the right to inspect these documents, including monthly vouchers, at any time. Note: BT reserves the right to require selected contractors/vendors to submit the supporting documentation as defined later in this chapter. Contractors/vendors are required to submit the required claim forms as described below: Contractors/vendors must voucher on a monthly or quarterly basis as required by the contract/work plan. Ten (10) percent of the contract/work plan amount may be withheld as determined by the BT project manager until the contractor/vendor submits an approved fourth quarter report documenting full compliance with the terms of the contract/work plan, and disposes of equipment according to OCFS instructions. For contracts/work plans funded under Federal or State appropriations, no claims can be paid if the appropriations lapse; therefore, timely voucher submission is crucial. Failure to meet the terms of the contract/work plan accounting requirements or to submit required reports, including quarterly reports and curricula, will prevent voucher processing and payment. Contractors/vendors must use the latest approved contract/work plan budget when claiming or reclaiming costs. This includes any budget modifications, if applicable. The amounts listed must agree with the Summary of Costs (OCFS-3106, I-VIII) (see Appendix). Contractors/vendors must mail or hand-deliver completed claims to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 2.4 Required Claim Forms OCFS has developed standard forms for use by contractors/vendors to adequately document expenses and to provide the needed information for reimbursement. These forms are located in the Appendix. Below is a list of the required forms. These forms and other forms and procedures are discussed in more detail in the following pages. Budget categories or objects of expense must correspond to those listed in the contract/work plan budget and provide a means to identify cumulative costs. If computer processed documentation is used, the budget categories in this documentation must conform to the contract/work plan budget categories. Significant deviations from the proposed expenditures listed in the back-up pages submitted with the proposal, even though allowable under the contract/work plan budget, must be
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 36
discussed with the BT project manager in advance. See also part 3. Project Changes, of this manual. Contractors/vendors must adhere to OCFS policies on subcontracting, and on the purchase of equipment and printing services, and may not split the related claims among several vouchers to avoid compliance with OCFS policy (see parts 1.21 Equipment and 1.22 Printing of this manual). The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” To avoid rejections and resubmissions, it is important to review all information for accuracy prior to submission. The NYS Office of the State Comptroller will mail payment to the address shown in the contract/work plan unless OCFS has received written notice on agency letterhead of the address change or a written request to mail checks to an alternate address. If the address on the voucher does not agree with the address in the contract/work plan, please notify BT of the change prior to submitting the voucher. Once OCFS has processed the change, all payments will be sent to the new address. An electronic payment option for direct deposit is also available (see part 2.12 Electronic Payments/Direct Deposit of this manual). Address changes should be submitted to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 2.4.1. Forms Required for Private Not-for-Profit Agencies Review the contract Agreement for due dates for claim submission. Any claims or adjustments submitted by the contractor more than thirty (30) days later than the due date required by the contract/work plan or after the termination date of the contract/work plan or period, may not be accepted or paid. The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” Standard Voucher (AC-092) (see Appendix); Summary of Costs (OCFS-3106, I-VIII) (see Appendix) with signed certification; Administrative Summary of Costs (OCFS-3106A) (see Appendix) if project includes Title IV-E funds must be submitted with each claim. See part 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies in this manual for instructions; and Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS 4795) (see Appendix), if applicable. a. Instructions for Completing the Standard Voucher (AC-092) (see Appendix) (Private Not-for-Profit Agencies) Each Standard voucher submission must include:
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 37
? ?
?
? ?
the contractor's Federal Tax Identification Number included in box 3; Payee Name and Address box 4. This information must match the record on file. (See Section D. Required Claim Forms of this Chapter for instructions on address change); the total gross expenditures, less contractor/vendor share (if applicable), minus the administrative charge (TMEF) 5 percent Reimbursement of these claims is based on the reimbursement rate indicated on the approved budget; contract number, project code, and a brief description of services including the expenditure time period in box 6; and original signatures and date in Box 7.
The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” b. Instructions for Completing Summary of Costs Form (OCFS 3106) (see Appendix) for all project agreements For each Standard Voucher (AC-092) (see Appendix) submitted, use the latest approved budget. The following information must be included:
? ? ? ? ?
? ? ? ?
enter the approved budget figures by object of expense; enter costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost calculation in the approved contract/work plan, including direct cost base and applicable rate; calculate and subtract the contractor/vendor share; calculate and subtract the administrative fee; state costs to be reimbursed this period; and signed certification.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an agency proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See part 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies in this manual for Title IV-E required reporting documentation, including instructions for completing the Administrative Summary of Costs (OCFS 3106A).
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 38
c. Instructions for Completing Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable Complete the Bureau of Training-Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix) whenever equipment is purchased at a cost of over $5,000. Attach the form to the voucher or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment if requested. In some cases a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs (OCFS-3106, I-VIII) (see Appendix) that the cost of an individual equipment purchase was under $5,000. 2.4.2 Forms Required for Public Agencies Review the MOU agreement for due dates for claim submission. Any claims or adjustments submitted by the vendor more than thirty (30) days later than the due date as required by the MOU, or after the termination date of the MOU period, may not be accepted or paid at OCFS’s discretion. Final claims must be identified as “final.” Please note: some projects may be combined into multi-project agreements. Multiproject agreements require submission of Summary of Costs (OCFS-3106, I-VIII) (see Appendix) at the project level in addition to the overall Summary of Costs. Only the overall Summary of Costs (OCFS-3106, I-VIII) (see Appendix) requires a signed certification: Journal Transfer/Revenue Transfer (AC-2414) (see Appendix); Summary of Costs (OCFS-3106, I-VIII) (see Appendix), with signed certification; Administrative Summary of Costs (OCFS-3106A) (see Appendix) (if project includes Title IV-E funds must be submitted with each claim. See section 3 for instructions); Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable; and Public Vendor Share Worksheet (OCFS 4798) (see Appendix): Estimated and Actual. a. Instructions for Completing Journal Transfer/ Revenue Transfer (AC-2414) (see Appendix) (Public Agencies) This form is used to transfer funds into the State University of New York (SUNY), City University of New York (CUNY), or other NYS agencies’ collection accounts. It is also used to transfer funds from the SUNY campus collection account to OCFS when necessary (for example, cost sharing reconciliation and advance recoupment). The JT/RT must include the appropriate cost center coding and applicable dollar amount. The justification field must include the following identifying information:
? ? ?
the MOU number or contract number assigned by OCFS for tracking purposes; Research Foundation award number; applicable project code(s) and/or OCFS contract number;
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 39
? ? ? ? ?
net amount of reimbursement due; month of claim period; who prepared the document; authorized signature; and indicate if advance or advance recoupment.
b. Instructions for Completing Summary of Costs (OCFS-3106, I-VIII) (see Appendix) For each Journal Transfer/Revenue Transfer (AC-2414) (see Appendix) submitted, and using the latest approved budget, include the following information in the Summary of Costs (OCFS-3106, I-VIII) (see Appendix):
? ? ? ? ?
?
enter the approved budget figures by object of expense; enter costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost formula, including direct cost base and applicable rate; and signed certification.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an organization proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See 2.7. Match Policy below for more information. c. Instructions for Completing Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable Complete the Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix) whenever equipment is purchased at a cost of over $5,000. Attach the form to the voucher or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment, if requested. In some cases a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs form (OCFS-3106) that the cost of an individual equipment purchase was under $5,000.
d. Instructions for Completing Public Vendor Share Worksheet (OCFS 4798) (see Appendix) (Public Agencies)
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 40
Cost sharing information must be submitted monthly with each monthly expenditure claim both at the work plan and project level. Vendors may use their own supporting forms to report these costs. Reconciliation of estimated costs to actual costs for cost sharing claims must be submitted within 120 days of the end of each semester (May, August, and December). The final cost sharing reconciliation claim must be submitted no later than 180 days after completion or termination of each work plan. Cost sharing must directly relate to services provided under the work plan. See 3. Title IV-E Requirements for Not-for-Profit and Public Agencies below for Title IV-E required reporting documentation, including instructions for completing Administrative Summary of Costs (OCFS 3106A). 2.4.3. Title IV-E Requirements for Not-for-Profit and Public Agencies BT’s training and administrative programs are funded through a combination of State and Federal funds. Some of these funds have restrictions and/or specific reporting requirements. Title IV-E funding is the most restrictive of the Federal Social Security Act funding sources. Typically, Title IV-E funds are used for foster care- and adoptionrelated training. There are separate reimbursement rates for Title IV-E with training at 75 percent and administrative at 50 percent. Within each Title IV-E training contract/work plan there is an additional differentiation between training and administrative activities that OCFS is required to track for Federal claiming. The specific requirements for projects that are supported by Title IV-E funds are outlined in United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB-1666). This decision requires that in order for the State to receive enhanced Federal Financial Participation (FFP) for training costs, such costs must be of the type specified in the federal regulation 45 CFR 235.64. Contractor/vendor reimbursement for these costs may be limited to the level of FFP the State receives for these costs. For projects that are funded through Title IV-E funds, administrative deliverables and expenditure records must be reported separately. As a result, a number of reporting procedures and forms have been developed to facilitate proper record keeping and documentation. If the project includes Title IV-E funds, complete and submit the Administrative Summary of Costs (OCFS-3106A) form (see Appendix): Instructions: Contractors/vendors are required to report costs incurred for administrative activities (that is, deliverables) separately. Examples of training and administrative activities (deliverables) are outlined in part 1.3 Training and Administrative Activities of this manual. The OCFS-3106A form should include all administrative costs that are not of the type specified in 45 CFR 235.64 or 45 CFR 1356.60. Administrative costs are required to be reported by cost category. Please see the website link below for additional information.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 41
For each AC-2414 or AC-092 submitted, and using the latest approved administrative budget the following information must be included:
? ? ? ? ? ? ?
enter the approved administrative budget figures by object of expense; enter administrative costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the DAB 1666 reported for this period in all four columns; provide the calculation used to determine DAB 1666 costs in the space provided; and provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost, including direct cost base and applicable rate.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an organization proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See part 2.7 Match Policy (Public Agencies Only) in this manual for more information. Additional information on the DAB-1666 decision and Federal regulations can be found at the United States Department of Health and Human Services website address:http://www.hhs.gov/dab/decisions/dab1666.html 2.5. Supporting Documentation Submission As stated earlier, selected contractors/vendors may be required to submit supporting documentation with their claims. In those cases the following forms must be submitted. 2.5.1 Project Personnel Cost (OCFS 3106-II) (see Appendix) Personnel and fringe benefit costs must agree with the contract/work plan. If there is a 20 percent or greater change in an individual key personnel percentage of effort or a vacancy is filled, contractors/vendors must submit a Bureau of Training Request for Modification of Project/Work Plan Budget (OCFS-4796) (see Appendix) form and a Revised Project Personnel Cost (OCFS-4789) (see Appendix).
? ? ?
list the full name and title for each staff person in the appropriate columns. The column “costs this period” must be the salary rate for the time period; list the total fringe benefit amount for all staff listed for the time period; and describe how the fringe benefits were calculated. For example, state actual cost or the formula used to arrive at the costs claimed.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 42
2.5.2 Schedule of Equipment Cost (OCFS-3106-III) (see Appendix) Complete the Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS- 4795) (see Appendix) for any purchase over $5,000 and attach to the voucher and/or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment if requested.
?
?
?
equipment is defined as any tangible personal property having a useful life of two years or more and an acquisition cost of $5,000 or more per unit. If BT determines that a series of small purchases taken together are related and form one operational piece of equipment, BT reserves the right to classify the items as equipment. in some cases, a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs form (OCFS-3106) that the cost of each individual equipment purchase was under $5,000. clearly identify rented or purchased items and their costs.
2.5.3 Schedule of Consumable Supplies (OCFS-3106-IV) (see Appendix) Consumables are disposable personal property not meeting the definition of equipment. Items costing more than $5,000 with a useful life of two years or more are considered equipment.
? ?
identify the items purchased by general type (for example, office supplies) and cost. when public vendors’ approved work plan budgets contain both on-campus and off-campus indirect cost rates and they voucher for consumables purchased for off-campus project activities, they may only use the off-campus indirect cost rate for those consumables.
2.5.4 Schedule of Staff Travel, Subcontractor/Consultant and Other Costs (OCFS3106 V-VII) (see Appendix) Staff Travel (OCFS-3106-V) (see Appendix) OCFS will base its travel reimbursements on the policies and latest approved rates set forth by OSC. Information regarding latest OSC policies and rates can be located at the following website:http://www.osc.state.ny.us/agencies/travel/travel.htm. Refer to part 1.18 Conference Attendance in this manual for guidance on staff conference attendance.
? ? ? ? ? ?
enter traveler's name; enter the nature of travel (for example, training, meeting, conference); enter the dates in travel status; enter the location traveled to and from; enter the per diem expense (hotel and meals) detailed by date; and provide an explanation of the use of any special rates.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 43
As sales tax is not a reimbursable expense, contractors/vendors are expected to use tax exempt certificates for both State and City taxes for hotel stays. Under certain very limited circumstances it is possible to have OSC travel reimbursement rates waived. "Blanket" waivers will not be considered. OCFS will only consider written waiver requests when they: (1) specify revised rates to be used in lieu of OSC rates; (2) clearly justify the need for the rates; and (3) define when and where the new rates will be applicable. Waiver requests must be submitted to BT at least a month prior to their anticipated use, in order to provide OCFS sufficient time to consider them. If a waiver is granted, the contractor/vendor must include the BT project manager’s name and the approval date of the new travel rate when submitting the claim. Subcontractor/Consultant Costs (OCFS-3106-VI) (see Appendix) Travel costs for consultants and/or subcontractor agreements must be charged in accordance with OSC Travel Guidelines. Information regarding latest OSC policies and rates can be located at the following website address:http://www.osc.state.ny.us/agencies/travel/travel.htm. As work performed under State contracts is exempt from State/municipal sales tax, and sales tax is not reimbursable under the contract/work plan, contractors/vendors may use tax exempt certificates to waive State and City taxes for hotel stays. In order for a single consultant or subcontract claim more than $15,000 to be processed, it must have prior written approval by the appropriate BT project manager. See part 1.17 Consultants/ Subcontractors in this manual for further information on consultant and subcontract agreements.
? ? ? ?
?
OCFS cannot reimburse contractors for any in-kind services provided by nonpublic subcontractors/consultants; list the type(s) of service, such as curriculum development or training; include name of the consultant; provide dates of service, total cost, and rate per day and term (for example, 5 days @ $500 per day). The BT project manager must approve rates in excess of $750 a day in advance; and provide number of days and daily rate. State if travel, meals and lodging costs are included in daily rate. If not, itemize these costs in the same format as "Staff Travel" for those instances where the project is reimbursing travel costs to the consultants. Separately budgeted consultant travel should be included here and not in the “Staff Travel” category.
Other Costs (OCFS 3106-VII) (see Appendix) Other cost includes items that are directly related to the services to be provided, but that are not specifically included in the above categories. These items could include: telephone and communication; postage, shipping, delivery and messenger services; insurance; maintenance and repair for equipment; reprint permissions, reproduction,
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 44
photocopying; printing and print production; audio-visual materials and materials development; temporary help; advertising for recruiting new hires; books, journals, periodicals, computer time, library services, and audio-visual services; facility rental and off-site rental; and training space rental. See part 1.22 Printing in this manual for further information on printing.
?
? ?
information on these costs, including details on how costs were calculated (for example, cost per hour, cost per page, cost per square foot) should be provided on this page. Contractors/vendors who have questions regarding allocating costs may contact BT for assistance; clearly identify what items were purchased, the number of items, and the unit cost; and for printing services, documentation must be provided that shows the lowest cost source has been used when printing costs are $5,000 or more.
2.5.5 Schedule of Direct Trainee Cost (OCFS-3106-VIII, A, B, C) Trainee Stipends (OCFS-3106-VIII, A) (see Appendix) and Trainee Tuition and Fees (OCFS-3106-VIII, B) (see Appendix) Document costs for trainee stipends and tuition. Stipends are only allowable for persons preparing for employment. Tuition is limited to full-time, short term training of 4-7 consecutive weeks. Include dates and time periods involved. For tuition, include the following:
? ? ? ? ? ?
the semester the course was taken; the course name and number; the student's name; the number of credits and/or cost per credit; and trainee travel, if applicable; provide number of trainees, number of credits per trainee and amount per credit; and clearly justify related fees such as student activities fees.
Tuition and fees may be charged only for credit-bearing college courses, and only if project staff is not paid to present courses. In most cases, project specifications and project budgets would not include tuition costs. Please note: Some employer-provided educational benefits and educational programs may be taxed under 127 of the IRS Tax Code. Example of Trainee Tuition List of students to support tuition charges: Name Date V. Peterson 9/1/XX J. Hernandez 9/1/XX S. Johnson 9/1/XX M. Wallace 9/1/XX # Credits x Cost 3 @ $150 3 @ $150 3 @ $150 3 @ $150 Total $ 450 $ 450 $ 450 $ 450
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 45
G. Jarrett
9/1/XX
3 @ $150
$ 450 $2,250
Trainee Travel and Per Diem (OCFS 3106-VIII, C) (see Appendix) Trainee travel and per diem reimbursements may be provided to trainees only if these funds are included in the project budget and only if the trainee or trainee's employer is not providing these costs. For all trainee costs, rates in excess of the contract-approved rates must have prior written BT approval, a copy of which must be submitted with the claim. Any variances in costs within a group of trainees must be indicated and claimed the same as staff travel, for example where some trainees receive more meals than others. Include a listing of trainee names, dates, and costs per trainee under each category. Note when planning for trainee travel: for courses that are three (3) or more consecutive days in length, consider what percentage of trainees may travel locally each day receiving mileage only and/or which trainees may require overnight with lodging and meals costs. Personal Car Mileage: ? trainee travel mileage rate is 21 cents per mile. If the trainees’ agencies (local social service district or voluntary agency) want to supplement this rate, they may choose to do so. ? local travel less than 35 miles one way is not eligible for reimbursement. Overnight Stay Requirements: in order to be eligible for overnight stay: ? the training program must be 3 or more consecutive days in length; and ? the trainee must travel 50 miles or more one way to the training site, or the trainee must travel one hour or more one way to the training site. Trainees will be eligible for overnight reimbursement the day before a training if the training begins at 9AM (or earlier) the following day and if any of the above criteria apply. ? to avoid overnight stays, contractors/vendors may use a starting time later than 9:30 a.m. with BT approval; ? if a trainee requests a single room, the trainee or local district must pay the difference between single room rate and one half the cost of a double room rate; ? weekend travel during two week or more residence training is subject to mileage and uniform distance rates. OSC lodging rates can be located by at the following website:http://www.osc.state.ny.us/agencies/travel/travel.htm Meals: must be budgeted at no greater than the following rates: ? $5 breakfast and $20 dinner for Rockland, Westchester, Suffolk, and Nassau counties, and New York City;
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 46
?
$5 breakfast and $15 dinner for all other counties.
2.6 Purchases from Contractors/Vendors Contractors/vendors will be expected to utilize the services of Minority Business Enterprises and Women-owned Business Enterprises for the procurement of goods from vendors. See part 1.15 Affirmative Action in this manual. In addition, contractors/vendors who are eligible to receive a NYS Sales Tax exemption are expected to use the exemption for all purchases. 2.7 Match Policy (Public Agencies Only) OCFS training and administrative activities agreements are funded through a combination of Federal funds authorized under the Social Security Act. Most Federal appropriations provide for Federal Financial Participation (FFP) of 50 to 75 percent of the total cost. The remaining non-Federal share of the costs must be paid with State or local monies. Since OCFS does not have sufficient funds available to cover the entire non-Federal share of all necessary training and administrative activities, a portion of the non-Federal share is generally contributed by other public agencies through MOU agreements. This contribution may be in the form of direct costs (out-of-pocket expenses and in-kind contributions), indirect costs as calculated using an approved Federal rate, or some combination of direct and indirect costs. Contributed costs must be State or local in nature. No private funds may be used as match. All contributions must be documented, verifiable, clearly in support of the project and approved by OCFS. The documentation required for all out-of-pocket expenses, as detailed in this manual, is the same, whether or not they are used to fulfill the match requirement. For example, the training provider must maintain staff time records, invoices, receipts, canceled checks, lease agreements, etc. to document that an actual out-of-pocket cash expenditure was made, even if the total amount of the expense is being donated by either the agency itself or by another public entity through a subcontract. For all inkind contributions (those budgeted items where a value is assigned, but no outof-pocket cash expenditure under OCFS Agreement is incurred) the contractor/vendor must fully and properly document both the source and value of the contributed expense items. General information regarding allowable costs can be found throughout the manual. Excluded costs can be found in part 2.8 Excluded Costs in this manual. To determine that all contributed items are allowable, training providers are required to prove that all in-kind contributions are based on the same cost that would be charged whether or not the costs were being contributed. For example, if an individual contributes time and effort to the project, documentation as to the amount of time contributed is required, along with proof of the appropriate value of that time. For a salaried individual, payroll information would be appropriate. For other individuals that
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 47
contribute time, documentation must be provided to demonstrate what that individual normally receives in consideration for the same services. The OCFS policy on match is based on Federal regulation 45 CFR §92.24. The Federal regulations are available on the Internet at:http://www.gpoaccess.gov/cfr/. The following list includes all of the types of contributed in-kind costs that may be used as match for training and administrative activities agreements. Also listed is the documentation that OCFS will require for each type of in-kind cost. The required documentation listed for each type of expense is the only acceptable documentation for in-kind contributed match, unless authorized otherwise in writing by OCFS: Staff Salaries/Overtime: -if the training provider performs the same or similar work: pay stubs or W-2 forms that show that the service being provided is valued at rates consistent with those ordinarily paid for the same or similar work in the training provider; -if the training provider does not have staff who perform the same or similar work: published job announcements or employment agency records that document that the rates are consistent with those ordinarily paid by other employers for the same or similar work in the same labor market; and -in either instance, a written explanation of how the service provided was directly related to the work being done under the agreement. Note: the value of the service must be based on rates for the kind of service being provided, not the kind of work normally performed by the individual. For example, if an attorney provides other than legal services, the value must be based on the salary paid for the services being provided, not the attorney's salary. Fringe Benefits for Staff: -provide invoices, insurance policies or contracts that show the cost of providing the benefit; and -provide a written explanation of how the service provided by the personnel for whom the benefits are being claimed was directly related to the work being done under the Agreement. Consumable Costs: -provide invoices, catalogs, or other evidence of the appropriateness of the value placed on the items. Space: -provide a fee schedule, brochure, prior invoice, or other written evidence of the value of the exact space being used; if the information is not available for the exact space, information for other comparable space may be used. For example, if the contractor/vendor rents an entire floor of a building and one-third of the space is used for our training project, then one-third of the amount of the rental agreement would be acceptable as match.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 48
Other Costs: -provide fee schedules, prior invoices, lease agreements, catalogs, or other documents that show the price(s) of the item(s) to be purchased. 2.8 Excluded Costs The following items are not eligible for reimbursement regardless of their relationship to project activities:
? ? ? ? ?
? ?
advertising costs, except for recruitment of personnel or procurement of scarce items; capital expenditures for improvement or acquisition of facilities; entertainment costs, including social activities or cost of alcoholic beverages; interest cost, including costs incurred to borrow funds; costs of organized fund raising; costs for attendance at conferences or meetings of professional organizations, or workshops, seminars, or other activities not related to the project; costs for preparation of continuation agreements; and costs related to Independent Annual Audits and other proposal development costs.
2.9 Shared Costs State Finance Law and Generally Accepted Accounting Principles require that any expense incurred over more than one funding source or program must be charged proportionately and the method of allocation must be documented. In order to prevent an audit disallowance, justification of each allocation must be maintained along with other records kept by a funded agency. Shared costs are those common expenditures that are incurred as part of the regular operation of a program, such as staff, utilities, rent, copying machine usage, and postage, which are shared by all or some of the funding sources at that site or program. When a cost is shared by more than one funding source, the method for sharing that cost must be documented. 2.10 Overlapping Contracts/Work Plans Contractors/vendors who have more than one Training and Administrative Activities contract/work plan for the same project or work running concurrently are required to track expenditures separately for each Training and Administrative Activities contract/work plan, and submit an Overlapping Contract Certification (OCFS-4793, see Appendix) with their claims. 2.11. Resubmission Contractors/vendors may receive a rejection/adjustment notice for any voucher that is rejected or adjusted to exclude payment for specific items. To reclaim costs for adjusted/rejected vouchers, contractors/vendors must resolve the issue that resulted in the adjustment/rejection and resubmit only those excluded/rejected items on a separate
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 49
voucher with a copy of the adjustment/rejection notice attached. A photocopy of the original adjusted/rejected voucher is not acceptable. 2.12 Electronic Payments/Direct Deposit The NYS Office of the State Comptroller (OSC) offers an electronic payment option to localities, school districts, vendors, contractors, not-for-profits and other payees that employ electronic transfer of funds to payee bank accounts via the Automated Clearing House. Electronic payments replace payment by check with electronic transfer of funds directly to the payee organization’s bank account. This avoids preparing deposits, mail delays, lost checks or time-consuming check handling. Funds are available to the payee immediately. If the contractor/vendor elects the OSC electronic payment option, contact the project manager if the address differs from the address in your contract/work plan. For further information refer to: www.osc.state.ny.us/epay/index.htm.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 50
3. PROJECT CHANGES
This section offers guidance on the policies and procedures for revisions to certain portions of the contract/ work plan, such as budget modifications, cost and time amendments, and programmatic changes. It also references project/ work plan terminations. Under the terms of the contract/work plan, contractors/vendors are required to notify the Bureau of Training in writing of any significant problems or administrative difficulties within ten (10) days of occurrence. For example, a change in the target group of a project could have significant impact on funding and needs to be reported immediately. Communication with BT project managers is extremely important since many problems can be resolved with their assistance. Some problems should more appropriately be dealt with through contract/work plan changes. There are three types of contract/work plan changes: (1) changes that require approval by OCFS through a request for a budget modification; (2) changes that require formal legal amendment; and (3) programmatic changes that may or may not require a change in a Training and Administrative Activities List, Project Budget, or Training/Administrative Activity Summary included in the formal contract/work plan. 3.1 Budget Modifications Budget modifications are major changes in the allocation of project costs to the various budget categories, such as personnel, fringe benefits, equipment purchase or rental, consumable costs, staff travel, subcontractor/consultant cost, other, trainee costs, and indirect costs. Allocations of project costs are developed well in advance of the contract or work plan start date and, as such, are estimates. When training providers incur costs during project implementation, they sometimes find they have underestimated some costs and overestimated others. Depending on the nature and amount of the change in costs from the approved project budget, training providers may be required to request approval from BT for a budget modification in advance of incurring costs and claiming reimbursement under the modified budget. In some instances, a major change in a project’s scope of work will require a budget modification. Budget modifications cannot increase or decrease the total project cost or reimbursed cost (this may only be accomplished through an amendment to the contract or work plan.) When BT receives and approves a budget modification request, the approved budget modification replaces the prior project budget. It becomes the new approved project budget and is the reference budget from that point in time for submitting claims for reimbursement. The following describes the conditions under which a training provider must request and receive BT prior approval for budget modifications, and is applicable at the project-level to the approved project budget consisting of the Project Budget and, in most instances, the All Other Administrative Activities Sub-budget.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 51
3.1.1 General Rule Changes of ten (10) percent or greater in the dollar value of either the A3-Total Personal Services total or the B14-Total Non-Personal Costs total budget amounts in a project require prior approval. Changes of twenty (20) percentage points or greater in an individual key personnel’s percentage of time on the Section II: Project Personnel Cost page require prior approval. Additions of new project staff and changes in toplevel administrative staff require prior approval. The C1 Total Project Cost budget amount and D1 Amount To Be Reimbursed amount remain unchanged in a budget modification. 3.1.2 Applicable Policies Modifications to Total Personal Services/ Total Non-Personal Services a) The contractor/vendor may make revisions to the budget amounts contained in the approved contract/work plan project up to ten (10) percent of the A3-Total Personal Services total or the B14-Total Non-Personal Costs total, without prior approval of OCFS, except when the change is a twenty (20) percentage points or greater change in an individual key personnel’s percentage of time on the project. These ten percent thresholds apply to the A3-Total Personal Services total or the B14-Total Non-Personal Costs total without regard to the changes in the individual amounts of the various budget categories, such as personnel, fringe benefits, equipment purchase or rental, consumable costs, staff travel, subcontractor/consultant cost, other, trainee costs, and indirect costs. Note: these ten (10) percent thresholds for submitting a budget modification are cumulative. That is, an initial five (5) percent change from the original approved budget would not require a budget modification request, but a second five (5) percent change reaches the threshold of ten (10) percent and would require a budget modification request for the entire ten (10) percent. Example: a project has an approved budget with a C1-Total Project Cost of $210,000, consisting of an A3-Total Personal Services amount of $150,000 ($115,000 in Personnel and $35,000 in Fringe Benefits), and a B14-Total Non-Personal Costs amount of $60,000 ($4,000 in Equipment Rental, $6,000 in Consumables, $10,000 in Staff Travel, $5,000 in Other, and $35,000 in Total Indirect Cost.) In the course of implementing the project, the training provider anticipates the need to increase Consumables by $7,000 to a new amount of $13,000, and decrease Staff Travel by $7,000 to a new amount of $3,000. Because the change to the B14-Total Non-Personal Costs total amount would be less than ten percent (in this example there is no change to the total), no prior BT approval is required for the budget changes. b) Budget revisions of ten (10) percent or more to the A3-Total Personal Services total or the B14-Total Non-Personal Costs total require the submission of a completed budget modification request. See 3.1.3 Submitting Budget Modification Requests below for information and instructions on the forms required for submittal and on the submittal time frame. Example: using the approved project budget in the example above, the training provider anticipates the need to increase Equipment Rental by $2,000 to a new amount of $6,000, increase Staff Travel by $5,000 to a new amount of $15,000, and decrease the Personnel and Fringe Benefits by $7,000. These changes would result in a new amount
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 52
of $67,000 for B14-Total Non-Personal Costs and a new amount of $143,000 for A3Total Personal Services. Because the change to the B14-Total Non-Personal Costs amount would be $7,000 and would be ten percent or more than the approved amount of $60,000, the training provider must submit a budget modification request and receive BT approval before expending funds and submitting claims for reimbursement under the modified budget. c) Budget revision changes apply to single project work plans. In some cases, several projects are contained in one work plan. Revisions to multi-project work plans need to be submitted at the project level. d) Increases and decreases to the C1 Total Project Cost budget amount and D1 Amount To Be Reimbursed amount shall require a formal amendment to the contract/work plan rather than a budget modification. Modifications to Project Personnel e) Project Personnel Revisions- a twenty (20) percentage point or greater change in an individual key personnel’s percentage of time on the project shall be submitted in writing for approval, accompanied by a justification and both a Revised Project Personnel Cost (OCFS-4789) (see Appendix) and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix). Example: a training provider anticipates the need to increase one key trainer’s percent of effort on the project from 50 percent to 75 percent, and decrease another key trainer’s percent of effort from 75 percent to 50 percent. There is no change in the Project Personnel cost total. Because the change would increase a key personnel’s percentage of time on the project by 20 percentage points or more, the training provider must submit a budget modification request with the supporting forms and justification, even though the A3-Total Personal Services amount has not changed by ten percent. f) New Staff- a Revised Project Personnel Cost (OCFS-4789) (see Appendix) and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix) must be submitted to modify the personnel category if any new staff members are added, even if the personnel category total remains the same. Start and End dates of both old and new staff members must be clearly noted. A biographical sketch of any newly-hired key project personnel must be attached. g) Changes in Project Director and Other Top-level Administrative Staff- BT must approve, in advance and in writing, anticipated changes in a project director position and top-level project administrative staff. h) Key Personnel- key project personnel are identified at the beginning of the contract/work plan term jointly by the contractor/vendor and the BT project manager. Modifications to Scope of Work Affecting Budget i) Budget revisions that result from major changes in the approved contract/work plan scope of work shall be submitted in writing for approval accompanied by the justification. Major scope changes are generally considered to be fundamental changes
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 53
in the content, target population or methodology from the original Agreement or its subsequent amendments. The contractor/vendor should discuss with the BT project manager whether these revisions can be accomplished by a budget modification, contract/work plan amendment or other solution. See part 3.3 Programmatic Changes below. 3.1.3 Submitting Budget Modification Requests The contractor/vendor is required to submit any and all revisions on a project-by-project basis according to these requirements ten (10) days prior to implementing such revisions. BT will notify the contractor/vendor in writing of OCFS approval of the budget revisions, or will notify the contractor/vendor in writing of OCFS disapproval and identify the reasons for such disapproval. Note that when completing the request, training providers must include an explanation of the changes for each category affected, clearly stating the reason(s) the budget modification is needed and how the funds will be used. When submitting a budget modification request, training providers must be sure that the actual expenses incurred to date under individual budget categories do not exceed the new amounts requested in the budget modification for those categories, or the budget modification request may be returned. Required Forms for Submission Budget modification requests must be submitted with a cover letter and include the following forms: Budget modification request form: ? A Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix) signed, with amounts and explanations completed. Supporting documentation forms: ? A Training and Administrative Activities List (OCFS-3102-3) (see Appendix), for all budget modification requests where the project is funded in part or in whole with Title IV-E funds; ? A Revised Project Personnel Cost (OCFS-4789) (see Appendix) only if there are changes to personnel as described above (new staff or a 20 percentage point increase or decrease change in key personnel); ? A revised All Other Administrative Activities Sub-Budget (OCFS 3104B, I) (see Appendix), for all budget modification requests where the project is funded in part or in whole with Title IV-E funds; and ? A Public Vendor Share Worksheet (OCFS 4798) (see Appendix), for all budget modification requests where the project budget includes public match. BT project managers may request additional supporting documentation as they review budget modification requests. In contracts/work plans with multiple projects, a combined or roll-up budget modification will be required at the work plan level. In addition, individual project budgets are required to be submitted.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 54
Instructions for Completing Bureau of Training Request for Modification of Project/Work Plan Budget (OCFS-4796) (see Appendix) Contractors/vendors shall use the most current information contained in the approved or amended contract/work plan or latest approved budget modification as a reference when completing this form:
?
?
?
? ?
?
Complete the top section of the form to reflect the most recent budget contained in the approved or amended contract/work plan or latest approved budget modification; Column 2, Current Approved Budget: Insert the figures shown on the Budget Summary Page in the most recent budget contained in the approved or amended contract/work plan or latest approved budget modification; Column 3, Revision Requested: Insert the amount of funds to be added (+) or subtracted (-) from each of the categories. If no change is required, insert a zero (0) for that category; Column 4, Proposed Revised Budget: Add or subtract the figures in column 3 from the figures in Column 2; Column 5, Explanation: Include a narrative explanation in each category affected. Clearly state the reason(s) a budget modification is needed and how the funds will be used; and The person who signs the request form must have the authority in the organization to request the modification.
Budget modification requests should be submitted with a cover letter that clearly supports and justifies all changes requested to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 3.2 Contract/Work Plan Amendments Any situation requiring a potential contract/work plan amendment should be brought to the attention of the BT project manager as early as possible. Staff from BT will review the situation with the training provider, determine whether an amendment is warranted, identify which amendment approach and forms are necessary in those instances where an amendment is warranted, and contact the training provider with specific guidance on how to proceed. The most common types of amendments to contracts/work plans are: No-cost Extension (time extension); Amendment with Cost; and Amendment with Cost and Time.
3.2.1 No-cost Extension (time extension) A No-cost Extension may be provided at OCFS’s discretion as a result of delays that have prevented the timely commencement or completion of a contract/work plan. A No-
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 55
cost Extension involves extending the operational dates of the contract/work plan with no increase in the total project budget. 3.2.2 Amendment with Cost OCFS, at its discretion, may occasionally increase the costs and deliverables of a contract/work plan. This usually occurs within the term of the current contract/work plan. Cost may be increased when OCFS requests additional activities or a modification of existing project activities. Cost increase amendments need to be clearly justified and will not be approved for "higher than anticipated costs." 3.2.3 Amendment with Cost and Time Occasionally, OCFS will use its discretion to increase the cost and deliverables of a contract/work plan and extend the term of the contract/work plan beyond the closing date. 3.3 Programmatic Changes It is BT’s policy to track all training deliverables and require training providers to completely and satisfactorily deliver all the training services as specified in the Training and Administrative Activities List and the Training/Administrative Activity Summary. However, in some instances OCFS re-considers the deliverables contained in a project and effects formal changes in the scope of work of a work plan or contract to allow agreed-upon revisions. The need for a programmatic change may be based on unforeseen changes in training needs or in training delivery, and may be identified as a result of the project manager’s observations of current training delivered in the field, or from observations by program divisions, local districts, or the training provider. Planned changes in program content, nature, or scope of activities may require the submission and approval of a revised Training and Administrative Activities List (OCFS3102-3). Such changes may also require a budget modification or contract/work plan amendment. In all instances, programmatic changes must be discussed with the BT project manager in advance. Programmatic changes must be approved by OCFS in writing. In addition, any other change must be discussed and approved by the BT project manager, who will provide guidance as to whether a contract/work plan amendment may be appropriate. Contractors/vendors must identify, in writing, the person(s) who will be responsible for directing the work to be done under the contract/work plan. Some of the information required may be name, title, annual project salary, percent of project effort, and resume. No change or substitution of the responsible person(s) will be made without prior approval in writing by the BT project manager. 3.4 Project/ Work Plan Terminations For public providers of training services under a MOU, a work plan or project may be terminated by either party within thirty (30) days after providing written notice pursuant
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 56
to Sections 4.2 Modifications of Program Work Plans and Program Budgets, 5.1 Advance Payments, 7.5 Cessation of Program Activities, 7.6 Close out in the Event of Termination, and 8.4 Notices of the MOU. For private, not-for-profit organizations providing services under a contract, the contract and its appendices specify the circumstances and timeframes under which the agreement may be terminated.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 57
4. REPORTING
Required quarterly reports have a twofold purpose: to provide an official means for documenting the activities each contractor/vendor has performed and who participated in them; and to allow contractors/vendors to provide a historical record regarding the outcome of deliverables, including the success of the activities, identification of problems, and actions taken to resolve problems. This section covers requirements for preparing and submitting quarterly reports to BT on the progress in delivering the training services contained in the contract or work plan. While quarterly reports are a necessary part of documenting deliverables, it is critical that contractors/vendors maintain timely and on-going communication with their Bureau of Training project managers. Any problems should be reported promptly as they are encountered, and should be included in the quarterly report. As such, even if the contractor/vendor communicated with the BT project manager during the quarter by email, by letter, or in person on progress of activities, and problems that arose during the quarter and actions taken, the contractor/vendor should include those actions and activities in the quarterly report. Note: While this section describes the required information and forms for quarterly reports for all training and administrative activities projects, BT, in some instances, may need additional quarterly reporting in areas specific to particular projects. For example, projects that address the federal Child and Family Services Review (CFSR) through training support may require certain information to be reported for OCFS’s use in documenting its Program Improvement Plan. Other reporting areas, such as information required to comply with legal actions, cannot be identified in advance but may be required nonetheless. In these instances, the BT project manager will work with the training provider to establish the nature, scope, and format for the required information. Time Periods: Quarterly reports cover the periods of January-March, April-June, JulySeptember, and October-December. Submission: BT requires quarterly reports, including the fourth quarter report, to be submitted within thirty (30) days of the close of the quarter. Authorization for voucher payments may be withheld from all contractors/vendors who are thirty (30) or more days late in submission. Contractors/vendors must submit their quarterly reports electronically to this email address: [email protected]. Forms and Format: Most quarterly reports should follow the format as described below under 4.1 Quarterly Reports for Training and Administrative Activities. When reporting on Outstationed Staff projects, follow the format described below under 4.2 Outstationed Staff Quarterly Reporting.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 58
4.1 Quarterly Reports for Training and Administrative Activities Quarterly reports for training and administrative activities consist of the following parts: 4.1.1 Quarterly Report Summary, 4.1.2 Affirmative Action Quarterly Report, 4.1.3 Quarterly Evaluation Report, and 4.1.4 Final Summary (include only with the 4th quarter report). 4.1.1 Quarterly Report Summary Use Bureau of Training- Training and Administrative Activities Quarterly Report Summary (OCFS-4799) (see Appendix) to provide the following information: Identifying Information for the Contract/Work Plan Summary of Deliverables- list, for both contracted and actually completed deliverables for the quarter (include all the training and administrative activities identified in the Training and Administrative Activities List - OCFS-3102-3), the name of the deliverable, the number of training days, and the number of trainees. Narrative Section A. Training and Administrative Deliveries- describe the project's progress in meeting training and administrative deliverables for the quarter, including any difficulties in achieving objectives and actions taken to resolve these difficulties. Discuss known reasons for trainee dropouts. List canceled courses with the reasons for their cancellation and the rescheduled date. Discuss unusual or unexpected results including why courses did not meet the established learning expectations. B. Technical Assistance- describe technical assistance efforts and results. Report any issues that have developed. C. Conferences- report on number of trainees, suitability of conference location, keynote speakers, seminars, and workshops. D. Curriculum Development- report on progress with curriculum and material development. E. Distance Learning/Computer Based Instruction- report on progress of distance learning activities and computer-based instruction. F. Project Administration- report on project administration and on any issues, including staffing changes, and actions regarding budget modifications, no-cost extension amendments, and cost-increase amendments. See part 3. Project Changes of this manual for guidance on policies and procedures regarding changes to the contract/ work plan. G. Other Program Activities- report on other project activities not listed above. Include requests from potential trainees for training or related activities funded by NYS OCFS, particularly in cases where the need cannot be readily met through scheduled activities. If not discussed elsewhere in the report, include a discussion of plans for key initiatives that will take place later in the project term, such as planned pilot course offerings, planned curricula and materials development activities, or planned noteworthy activities of project staff. In the Narrative Section, include under the appropriate categories of A through G the progress and results of activities produced through any public vendor share contained in
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 59
the project budget, if applicable. Examples of such services include services and work products provided through college or university faculty. Note for those training agreements that are amended through no-cost amendments or cost and time amendments to be longer than 12 months and extend beyond the 4th quarter: the Bureau of Training- Training and Administration Activities Quarterly Report Summary (OCFS 4799) form is designed for the majority of training agreements that are four calendar quarters in length. The “Completed by Quarter” columns of this form contain only quarters 1 – 4. For those agreements that extend beyond four quarters, use a second form to document deliverables and re-name the “Completed by Quarter” columns to “5,” “6,” as needed. 4.1.2 Affirmative Action Quarterly Report Refer to part 1.15 Affirmative Action in this manual for relevant requirements. These requirements include a copy of the current staffing plan (Project Staffing Plan OCFS4629) (see Appendix) if there have been changes, and a report on progress made in utilizing M/WBEs (M/WBE Subcontractors and Suppliers Letter of Intent to Participate Form OCFS-4630) (see Appendix) for the procurement of contract/work plan related goods and subcontracting services. If there have been no changes in the Project Staffing Plan during the quarter, then the Affirmative Action Quarterly Report section should state this. 4.1.3 Quarterly Evaluation Report The Quarterly Evaluation Report, completed by the training provider as part of the overall quarterly report submission for a particular training project, summarizes by training activity title all the results of evaluation efforts for the quarter. Using the Bureau of Training- Training and Administrative Activities Quarterly Evaluation Report (OCFS-4734) (see Appendix) form, training providers report on the following aspects of training activity evaluation: demographics, evaluation findings and conclusions, training activity enhancements, and recommendations for future enhancements. For those training activity titles that had deliveries during the quarter, include: A. Demographics Provide a description of the trainees who participated in the training activity deliveries during the quarter, covering job titles, type of agency in which employed, and years of experience in present job. Include the number of trainees completing the training activity and the number completing the evaluation instruments. B. Evaluation Findings and Conclusions This section must comprehensively and objectively assess the effectiveness of the training activities delivered during the quarter. It must include a description of the evaluation results for participant reactions, learning gain, and impact on participants’ job performance, and explain any evaluation standards used and discuss the interpretation of the results. It must also explain any instances where the project’s evaluation
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 60
requirements were not adhered to and why, and any evaluation methodologies used beyond what is required (for example, added questions to the Participant Response Questionnaire). See part 1.5 Evaluation Requirements in this manual for required and recommended evaluation methodologies. Section B. has four parts: Participant Reactions; Pre/Post-tests; Impact on Job Performance; and Conclusions: Participant Reactions- summarize results of participant reaction questionnaire ratings and open-ended questions. Comment on lower than expected or unusual ratings. Note that participants’ open-ended responses are already available in STARS for each course delivered, so there is no need to compile them as part of this summary. Pre/ Post-tests- summarize the pre- and post-tests administered, with the pre- and posttest results comparison, mastery results, and skill development if measured. Comment on deliveries showing a less than a significant learning gain or where results are less than expected. Submission of Pre-tests and Answer Keys: for the first quarterly report of each contract/ work plan year, include a list of all courses for which pre/post-tests are used with the date the tests were approved by the BT project manager and the quarterly report time period for which copies of the pre-test and answer key were last submitted. Whenever there is a new pre/post-test or a revision to a pre/post-test that has been approved by a BT project manager during the quarter, submit a copy of the test and answer key with the approval date with the quarterly report. These pre-tests, answer keys, and lists should be included with the quarterly reports specific to the project. Impact on Job Performance- summarize the transfer of learning and impact on job performance, if measured. Conclusions- analyze the evaluation results for each training activity title and provide conclusions as to the training activities’ effectiveness in developing and maintaining participants’ job-related knowledge and skills, and in enhancing job performance. C. Summary of Training Activity Enhancements Describe how the evaluation findings and conclusions, including participant reaction questions, pre- and post-tests, skill development measurements, and impact on job performance, have been used to enhance training content, training design, and training delivery during the quarter. D. Recommendations for Future Enhancements Based on evaluation results and any formative evaluation that has occurred, discuss any recommendations for OCFS consideration on training activity changes that may enhance participants’ learning in the classroom and learning gains on the job. Unless otherwise specified, supporting data on participants’ evaluations (that is, individual responses to Participant Reaction Questionnaires and to pre- and post-tests), need not be submitted to the Bureau of Training as part of the Quarterly Evaluation Report. Completed Participant Reaction Questionnaires must, however, be entered into STARS as training activities are delivered and closed out as described in part 1.5 Evaluation Requirements of this manual. The contractor/vendor must also keep evaluation results data on file and available to OCFS for the records retention period of
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 61
six years. OCFS reserves the right to require contractors to retain records for a longer period of time. Training providers must formulate their own plan for evaluating the impact and the effectiveness of outstationed staff and receive prior BT project manager approval. 4.1.4 Final Summary (include with 4th quarter report) The fourth quarter report serves as the final report and must include the Final Summary. The Final Summary provides a summary of the effectiveness/ impact/ outcome for each training activity during the contract/work plan period, and highlights successes and difficulties. Include by activity an aggregate of evaluation results for learning gain, such as pre- post-test results, and progress achieved in meeting OCFS’s priorities. Special Notes Statewide Training Automated Registration System (STARS)- BT provides contractors/vendors access to an on-line, real-time application where they will enter and maintain all training data. STARS is the system of record for documenting training deliverables. Contractors/vendors are required to use it as such. Although STARS is not part of the quarterly report process, BT project managers rely on up-to-date data within STARS to monitor the progress of training programs and evaluation results. See part 1.8 Contract/Work Plan Deliverables in this manual for more information. Eligible Trainees- due to funding requirements, the training population for OCFSsponsored training projects is limited to certain eligible groups as described in part 1.11 Eligible Trainees of this manual. Although reporting on participation in training of voluntary agency staff and child welfare stakeholder staff is not part of the quarterly report requirements, trainers should review Training and STARS Enrollee Rosters to determine if trainees have completed rosters accurately. Project managers will review this information periodically to monitor voluntary reporting status. 4.2 Outstationed Staff Quarterly Reporting Outstationed staff are project staff specifically hired to perform training or trainingrelated activities under a training contract or work plan and assigned to work off-site or off-campus at State-owned locations. Quarterly reports for outstationed staff consist of the following parts: 4.2.1 Outstationed Staff Quarterly Report Summary, 4.2.2 Individual Outstationed Staff Quarterly Report(s), and 4.2.3 Final Summary (include only with the 4th quarter report). 4.2.1 Outstationed Staff Quarterly Report Summary Use the Bureau of Training Outstationed Staff Quarterly Report Summary (OCFS 4876) (see Appendix) to provide the following information: A. Outstationed Staff Listing For each outstationed staff position, include staff name, job title, and office location. As applicable, include any change in status and the effective dates that occurred during the
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 62
quarter, such as new hire, resignation, out on leave, change to part-time or full-time status, temporary hires, and change in salary. B. Project Administration Report on overall project administration issues, such as searches to fill vacant positions, personnel changes or issues for key staff other than outstationed staff, and changes to the project such as amendments, budget modifications, and programmatic changes. C. Evaluation Training providers must formulate their own plan for evaluating the impact and effectiveness of outstationed staff, and include a summary of these results in the Outstationed Staff Quarterly Report. Under “Process of Outstationed Staff Evaluation,” discuss the status of outstationed staff performance evaluations. Under “Evaluation of Training Delivered by Outstationed Staff,” discuss the results of any Participant Reaction Questionnaires for activities such as Classroom Training and Distance Learning. In addition, training providers may use the Bureau of Training- Training and Administrative Activities Quarterly Evaluation Report (OCFS-4734) (see Appendix) to report on evaluation of training activities. D. Narrative to Affirmative Action Report Refer to the requirements described in 4.2.1 Affirmative Action Quarterly Report above. Under “Staffing Changes,” include a copy of a revised staffing plan (Project Staffing Plan OCFS-4629) (see Appendix) if there have been changes in staffing such as new hires, resignations, or significant changes in percentages of effort from the approved Project Staffing Plan or from the previous quarter. If there have been no changes in the Project Staffing Plan, then state this. Complete the section entitled “Progress in Utilizing M/WBEs in Subcontracted Goods and Services.” 4.2.2 Individual Outstationed Staff Quarterly Report(s) Use the Bureau of Training Individual Outstationed Staff Quarterly Report (OCFS 4797) (see Appendix) to report project activities for each outstationed staff person. In addition, contractors/vendors must report on the percentage of time for training and administrative activities of outstationed staff for projects that include Title IV-E funding. The contractor/vendor must contact the BT project manager immediately if the training or administrative percentage changes from the approved work plan. Each outstationed staff person should review their individual report with their program area NYS supervisor prior to submission of the report to BT. 4.2.3 Final Summary (include with 4th quarter report) Refer to the requirements described in 4.1.4 Final Summary above. 4.3 Annual State Contractor’s Employment Disclosure (for private, not-for-profit contractors/vendors) NYS legislation has provided for greater public disclosure of consulting services under contracts with State agencies. Under this legislation, State contractors are required to disclose certain information pertaining to employees and consultants/subcontracts. Chapter 10 of the Laws of 2006 require that contractors annually report, to the contracting agency (OCFS), the NYS Department of Civil Service, and the NYS Office of the State Comptroller (OSC), the number of persons employed to provide services
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 63
under the contract, the number of hours worked, and the amount paid to the contractor by the State as compensation. This includes information on both contractor employees and persons working under any consultant/subcontractor agreements. For BT-sponsored training, these requirements apply directly to contracts and amendments with private, not-for-profit training providers. The State Consultant Services- Contractor’s Annual Employment Report (OCFS-4843 Form B) (see Appendix) is used to report the information. This form is submitted each year the contract is in effect and captures historical information, detailing actual employment data for the most recently concluded State fiscal year (April 1- March 31). Reports are due no later than April 30 of each year for the previous fiscal year that ends March 31. See the Appendix for State Consultant Services Contractor’s Annual Employment Report (OCFS-4843 Form B). For background information, OSC’s Bulletin No. G-226 may be accessed on the Internet at:http://www.osc.state.ny.us/agencies/gbull/g-226.htm The contractor must submit a completed original signed Form B to OCFS, Attention Kevin Sweet, at the below address, and a copy directly to the NYS Office of the State Comptroller and to the NYS Department of Civil Service at the addresses below: OCFS by mail only: NYS Office of Children and Family Services Bureau of Contract Management Capital View Office Park- Room 202 South Building 52 Washington Street Rensselaer, NY 12144 Attn: Mr. Kevin Sweet NYS Office of the State Comptroller by mail: NYS Office of the State Comptroller Bureau of Contracts 110 State Street, 11th Floor Albany, NY 12236 Attn: Consultant Reporting By fax: (518) 474-8030 or (518) 473-8808 NYS Department of Civil Service by mail only: NYS Department of Civil Service Alfred E. Smith State Office Building Counsel’s Office 80 South Swan Street Albany, NY 12239
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 64
doc_878648746.pdf
Training means practicing to gain more skills. Somebody who plays football practices for the football games against other teams so that his team gets good and wins. The word "training" is usually used when talking about sports, but it is also used for training for a job or in "basic training".
TRAINING AND ADMINISTRATIVE ACTIVITIES
PROJECT OPERATIONS MANUAL
NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES DIVISION OF ADMINISTRATION BUREAU OF TRAINING January 2009
TRAINING AND ADMINISTRATIVE ACTIVITIES PROJECT OPERATIONS MANUAL
Table of Contents PREFACE INTRODUCTION 1. PROJECT IMPLEMENTATION 1.1 Communication Protocol 1.2 Definitions of Training and Training Related Categories 1.3 Training and Administrative Activities 1.4 Curriculum Development 1.5 Evaluation Requirements 1.6 Reference Resources 1.7 Review and Crediting of Material 1.8 Contract/Work Plan Deliverables 1.9 Sale of Materials 1.10 Training Space and Equipment Use 1.11 Eligible Trainees 1.12 Training Fees 1.13 United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB 1666) 1.14 Project Staffing 1.15 Affirmative Action 1.16 Employee and Consultant Status 1.17 Consultants/Subcontractors 1.18 Conference Attendance 1.19 Accounting Requirements 1.20 Organizational Changes/Actions 1.21 Equipment 1.22 Printing 1.23 Contractor/Vendor Compliance 1.24 Monitoring 1.25 Independent Annual Audits 1.26 Data Access Required Under the State Administrative Procedure Act (SAPA) 1.27 Expectation of Insured 1.28 OCFS Automated Contract Management System (CMS) 2. PROJECT PAYMENTS 2.1 Prompt Payment Legislation Procedures 2.2 Advance Payments 2.3 Claiming and Reimbursement 2.4 Required Claim Forms Page 4 5 7 7 7 10 11 13 14 15 16 18 18 18 20 21 21 22 24 25 27 27 28 29 30 30 32 32 33 33 33 34 34 35 35 36
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 2
2.4.1 Forms Required for Private Not-For Profit Agencies 2.4.2 Forms Required for Public Agencies 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies 41 2.5 Supporting Documentation Submission 2.5.1 Project Personnel Cost (OCFS-3106-II) 2.5.2 Schedule of Equipment Cost (OCFS-3106-III) 2.5.3 Schedule of Consumable Supplies (OCFS 3106-IV) 2.5.4 Schedule of Staff Travel, Subcontractor/Consultant and Other Costs (OCFS 3106 V-VII) 2.5.5 Schedule of Direct Trainee Cost (OCFS 3106-VIII, A, B, C) 2.6 Purchases from Contractors/Vendors 2.7 Match Policy (Public Agencies Only) 2.8 Excluded Costs 2.9 Shared Costs 2.10 Overlapping Contracts/Work Plans 2.11 Resubmission 2.12 Electronic Payments/ Direct Deposit 3. PROJECT CHANGES 3.1 Budget Modifications 3.1.1 General Rule 3.1.2 Applicable Policies 3.1.3 Submitting Budget Modification Requests 3.2. Contract/Work Plan Amendments 3.2.1 No-Cost Extension (time extension) 3.2.2 Amendment with Cost 3.2.3 Amendment with Cost and Time 3.3 Programmatic Changes 3.4 Project/ Work Plan Terminations 4. REPORTING 4.1 Quarterly Reports for Training and Administrative Activities 4.1.1 Quarterly Report Summary 4.1.2 Affirmative Action Quarterly Report 4.1.3 Quarterly Evaluation Report 4.1.4 Final Summary (include with 4th quarter report) 4.2 Outstationed Staff Quarterly Reporting 4.2.1 Outstationed Staff Quarterly Report Summary 4.2.2 Individual Outstationed Staff Quarterly Report(s) 4.2.3 Final Summary (include with 4th quarter report) 4.3 Annual State Contractor’s Employment Disclosure APPENDIX- Forms I. Forms for Project Implementation II. Forms for Project Payments III. Forms for Project Changes IV. Forms for Reporting
37 39 42 42 43 43 43 45 47 47 49 49 49 49 50 51 51 52 52 54 55 56 56 56 56 57 58 59 59 60 60 62 62 62 63 63 63
Appendix
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 3
New York State Office of Children and Family Services Division of Administration Bureau of Training
TRAINING AND ADMINISTRATIVE ACTIVITIES PROJECT OPERATIONS MANUAL
This Training and Administrative Activities Project Operations Manual provides detailed information and instructions to assist training providers in effectively administering a training (or administrative services) project awarded by the New York State Office of Children and Family Services (OCFS) through its Bureau of Training (BT). It contains four parts and an appendix. Part 1. Project Implementation describes the responsibilities of the contractor/vendor in developing and delivering the training services contained in the training contract or work plan. Part 2. Project Payments describes the policies for reimbursement of project expenses, and the procedures and required claim forms for submitting reimbursement claims to OCFS. Part 3. Project Changes offers guidance on the policies and procedures for requesting revisions to certain portions of the contract/ work plan, such as budget modifications, cost and time amendments, and programmatic changes. Part 4. Reporting covers requirements for preparing and submitting quarterly reports to OCFS on the progress in delivering the training services contained in the contract or work plan. The Appendix contains the forms referenced in the Operations Manual. Terms Used in this Manual This manual contains references to “projects,” “work plans,” and “contracts.” Both contracts and work plans are agreements between OCFS and training providers for the development and delivery of training and administrative services. Contracts are written agreements between OCFS and training providers other than State entities, enforceable by law. Work plans are written agreements provided for by memoranda of understanding (MOUs) between OCFS and other State entities, enforceable through administrative means. Contracts and work plans contain one or more projects. Each project is free-standing, consists of a set of related training or other administrative activities designed to achieve a specific training outcome and which can generally be funded with the same funding sources, and contains a project budget and related documents. The terms “contractors/vendors” and “training providers” refer to the organizations providing services under a training contract or work plan through OCFS. The terms “training” and “training services” include “training and administrative services.” When this manual uses “days” in reference to due dates or timeframes, the term “days” is defined as calendar days unless otherwise indicated.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 4
INTRODUCTION The contracts and work plans sponsored by OCFS cover a major portion of training for the public human services system. These contracts and work plans provide training and other administrative services to the staff of the 58 county departments of social services, the staff of OCFS, employees of child caring agencies, day care centers, family day care homes, and foster and adoptive parents. The success of the training program requires that contractors/vendors work closely with OCFS throughout the life of the contract or work plan. Each contract or work plan is assigned a BT project manager who will guide training providers through the details of contract/work plan administration. Training projects awarded to organizations other than State entities are administered through contracts between OCFS and the organization, and projects awarded to elements of the public university system (State or City University of New York) are administered through work plans under MOUs. The funding requirements of the contractual training program are complex. There are numerous Federal and State sources of funds OCFS uses to support this work, and those sources have special reporting and accounting requirements - in particular, programs supported by Title IV-E of the Federal Social Security Act. Title IV-E provides different rates of Federal reimbursement for different types of activities and for different training participants. Activities designated as “training” receive a higher rate of reimbursement (75 percent Federal funding) than those designated as “administrative,” which receive only 50 percent reimbursement. In order to verify that OCFS properly claims the funds from the Federal government, contractors/vendors are required to maintain detailed records regarding these types of activities. Other Federal and State funding sources have other requirements, which are detailed in this manual. A key factor in establishing that the Federal and State funds are properly expended is the intended target group for the training or administrative services to be provided. Contractors/vendors are required to verify that only eligible target groups are included in the activities funded under the contracts or work plans. The contract or work plan provides this important information on eligible target groups. The details associated with budgeting, claiming, and reporting can be found within the body of this manual. Bureau of Training Expectations of Training Providers BT expects that training providers will follow these five statements listed below as they develop and deliver the training activities contained in their contracts/work plans:
? ? ? ?
?
Support the mission of OCFS in promoting the well-being and safety of New York State’s children, families and communities. Be fiscally and ethically responsible. Evaluate training services objectively. Be responsible for communicating directly with BT staff as the primary contact for OCFS, while working collaboratively with the BT’s partners and training stakeholders. Strive for continual growth and improvement.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 5
If training providers have any questions regarding the material contained in this manual, the first point of contact is the BT project manager assigned to the project. The BT project manager can answer questions or obtain the necessary information.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 6
1. PROJECT IMPLEMENTATION
This section describes the responsibilities of the contractor/vendor while developing and delivering the training activities contained in the training contract or work plan. These include requirements and procedures for curriculum submission, resources, staff, affirmative action, subcontracting and consultants, and accounting. The BT project manager assigned to the project can provide essential guidance in all aspects of project implementation. 1.1. Communication Protocol It is the responsibility of contractors/vendors to maintain contact with the BT project manager assigned to their training projects to promote effective communication and to obtain prior approval for certain actions. Training providers should maintain contact and communication in such areas as curriculum development and curriculum review; scheduling and canceling contract/work plan training activities; delivering training activities; planning and implementing evaluation; acting on evaluation results; problems encountered in the delivery of training; actions planned in response to problems encountered; meetings with local social services districts to discuss training needs or training delivery; meetings with other OCFS staff; and significant organizational changes and actions. Training providers must obtain prior approval from BT for the following:
? ? ? ?
? ? ?
certain subcontract/consultant agreements (see part 1.17 Consultants/ Subcontractors); certain contractor/vendor staff conference attendance (see part 1.18 Conference Attendance); disposition of unneeded equipment (see part 1.21 Equipment); curricula and other deliverables (see parts 1.4 Curriculum Development, 1.5 Evaluation Requirements, 1.7 Review and Crediting of Material, and 1.8 Contract/Work Plan Deliverables); certain changes to budget categories (see part 3.1 Budget Modifications); hiring or transferring of key project staff (see part 3.1 Budget Modifications); and changes to contracts/work plans and to training deliverables (see parts 3.2 Contract/Work Plan Amendments and 3.3 Programmatic Changes).
1.2 Definitions of Training and Training Related Categories These definitions of training and training-related categories are used by the Bureau of Training in developing the training activities identified in a project’s Training and Administrative Activities List (OCFS-3102). Classroom Training: A face-to-face session in a classroom with an instructor(s) teaching a specified curriculum to a group of participants. This can include workshops and courses. Costs for activities under this category should include those costs associated with scheduling, announcing, and delivering the training, materials production and distribution, securing training space, use of audio/visual equipment, staff
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 7
travel and per diem, and trainee travel and per diem when applicable, as well as for minor updates to and maintenance of existing curriculum. Distance Learning: Virtual Classroom, Teleconferences, and Computer-Based Training: Virtual Classroom Training: Synchronous, or real-time, online or web-based learning programs accessed on personal computers. This training is generally conducted in twoto three-hour segments with each segment reported as a half-day of training. Two halfday virtual classroom programs are reported as one training day. An example of virtual classroom training is the iLinc/LearnLinc software package licensed to BT. LearnLinc is a real-time, two-way audio virtual training environment that allows instructors and trainees from across the state to join together in a live audio training session using their desktop computers. Participants speak to each other using headsets and microphones while viewing common content on their computer screens. Most aspects of a face-toface classroom experience are replicated. Available tools include PowerPoint, text chat, application sharing, an interactive whiteboard, synchronized web-browsing, recording and remote desktop glimpse capacity. Currently, OCFS state, local social service district, and residential facility staffs have access to LearnLinc. OCFS pays for both the instructors’ and trainees’ license fees associated with the use of the LearnLinc software package, and can provide training and technical assistance to training providers on using LearnLinc in developing and delivering training. While BT has some virtual classroom facilities available in OCFS space for use by instructors, a training provider’s own business-class internet connection and personal computer would be needed for LearnLinc deliveries originating from the training provider’s location. Video Conference “Smart Classrooms:” Synchronous, or real-time, interactive training delivered between two or more geographically-dispersed classroom sites. The technology involves the use of multiple cameras and an array of microphones that capture the activity of the trainers and participants located at each site, utilizing large screen monitors at the distant sites via high-speed Internet connections. This live audio/video technology creates the experience for the participants of “being there,” while saving the time and expense of travel to a central location. Teleconferences: Conferences or workshops transmitted live via satellite to multiple geographically-dispersed downlink sites with one-way audio/visual from the home site. Teleconference formats can range from simple meetings that require little or no preproduction work to more involved programs that include pre-produced video shot on location or in a studio. Most teleconferences are two hours in length. OCFS maintains a statewide satellite network of downlink (receive) sites and a production facility/studio for use in developing and delivering teleconferences. Typically, the training provider is responsible to budget for costs associated with content expertise and the work in support of the content. Such costs may vary depending on the nature and scope of the teleconference and include, but are not limited to, providing a program outline, script development, handout and PowerPoint development, roll-in video development if required, and presenters/ panel members. Additional specific requirements are included in the individual project specifications. Computer-Based Training: Asynchronous CBTs or web-based computer training programs that can be accessed by the trainee without the presence of a live instructor
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 8
and used at the trainee’s convenience in terms of time and location. Programs may vary in length and complexity. Seminars, Conferences, Forums, and Meetings: Activities in this category provide the costs, logistical coordination, and support to OCFS required for planning, developing, and delivering events such as training conferences, regional meetings, and forums. Costs and tasks typically include event announcements and participant pre-registration; procurement of event site/facility; arrangements for participant meals and lodging; arrangements for eligible participant travel reimbursement; arrangements for event speakers, panel members, and presenters; preparation, graphic design, and reproduction of event materials; coordination of audiovisual equipment; onsite event coordination; onsite participant registration; coordination of vendor payment; and event evaluation. Seminars, conferences, and forums are structured events that bring together participants and content experts for an exchange of ideas. Meetings include only those meetings that bring individuals together around a specific training related deliverable to facilitate learning of job-related knowledge, skills, or attitudes. Work groups are not included as they are considered a part of the work process and not ordinarily a deliverable. Advisory groups may be included if activities facilitate learning as defined above. Curriculum, Materials, Public Service Campaigns, and Video Development: Curriculum and or Materials Development: Developing new or substantially revised curricula or materials required for the presentation of a specific training program. Public Service Campaigns: Developing materials to promote a statewide initiative. Materials can include brochures, posters, or announcements for video, television, radio, web-based, or print media. Video Development: Developing videos to enhance a training program, or those requested to promote a specific statewide initiative. Technical Assistance: Providing assistance or support to one or more people in a specified target audience by providing special skills or practical knowledge in response to a particular need that is related to the project’s objectives. Technical assistance may include consultation, facilitation, or assistance with an operational process. Technical assistance is provided and reported in units of at least a half-day (3.5 hours). Intermittent telephone calls and questions are part of a trainer’s routine job expectations and are not considered technical assistance for purposes of reporting. When technical assistance activities are difficult to quantify, such as when project staff are assigned to provide technical assistance for a portion of their time, their costs should be included in the Other Activities category. Other Activities: Activities that do not easily fit into the preceding categories. Technical Assistance activities that cannot be quantified such as those previously described above and some administrative activities should be entered here. Full Time Equivalent (FTEs) of project or consultant staff who are not listed under the Outstationed Staff category, if their activities cannot be measured by “days” in any of the preceding categories, should be entered here. Each activity should be further
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 9
identified as either training or administrative as described below. Specifications for guidance.
Refer to Project
Outstationed Staff: Staff specifically hired to perform training or training-related activities under a training contract or work plan and assigned to work off-site or offcampus at State-owned locations. 1.3 Training and Administrative Activities The following examples have been developed to assist in distinguishing between training deliverables and administrative deliverables for all activities regardless of Federal funding. These deliverables are included in the following training and administrative activity categories as discussed above: Classroom Training; Distance Learning; Seminars, Conferences, Forums, and Meetings; Technical Assistance; and Curriculum, Materials, Public Service Campaigns, and Video Development. Examples of Training Activities (Deliverables): Instruction ? stand-up training; ? computer-based training (CBT) that provides training; ? satellite teleconferences that provide training; ? one-to-one training in person or telephone by a hired training specialist for the express purpose of training; ? training technical assistance following a training presentation; ? delivery of training conferences; ? evaluation of training; ? monitoring of training; and ? clerical support for staff above. Curriculum Development ? training needs assessment; ? development, production and distribution of curricula; ? development, production and distribution of training manuals and materials; ? development of computer-based training (CBT); ? development of Satellite teleconferences; ? planning and organizing training conferences; ? planning and organizing forums to provide information on best practices; ? evaluation of training; ? monitoring training deliverables; and ? clerical support for staff above. Other Tasks Legitimately Related to Training Objectives ? announcement, recruitment and scheduling training programs; ? equipment used solely for training, such as computers used for training on the Welfare Management (WMS) system or computer-based instruction; ? development and publication of newsletters that provide training information only; and
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 10
?
clerical support for staff above.
Examples of Administrative Activities (Deliverables): ? planning/organizing regional meetings of NYS OCFS agency staff; ? planning/organizing forums to provide information on new policies; ? developing, writing, assessing and evaluating policies/procedures; ? development of policy or procedure manuals; ? assessment of local district organizational and programmatic needs; ? development and modification of computer system programs; ? meeting facilitation; and ? clerical and support staff for the above. 1.4 Curriculum Development A curriculum must be a fully developed written document that can be used and understood by other professionals. It must fully explain specific topical knowledge that the contractor/vendor will be communicating to the trainees. Curricula outlines or meeting agendas are not sufficient. Each curriculum must begin with an introduction. This portion of the curriculum must address the need for, and purpose of, the course. The course's relationship to any other course should also be explained. The introduction must include a brief overview of the concepts that will be taught in the course. The goals and objectives of the course must be presented in behavioral and measurable terminology. All curricula intended for delivery by training providers must instruct the trainer(s) to clearly identify the training provider organization and that they are providing the training under agreement with OCFS. For curricula developed by project staff or project consultants, the curricula must be presented in the following format: Purpose: Discuss, in one or two sentences, the key concepts that will be taught. Rationale: Include a short paragraph that describes why the concepts are being taught and why the trainees need to know them. Objectives: The learning objectives should be phrased in behavioral and measurable terms, stating what new skills, knowledge or abilities trainees will be able to demonstrate by the end of the session, and how they will be demonstrated. Materials: Provide a list of materials needed by the trainer and trainees. Specific handouts, videos, flip charts, Power Point slides, and other electronic media such as CD-ROMs should be titled and copies of each should be included with the curriculum and clearly labeled. Time: The total presentation time should be provided for each activity.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 11
Process: Provide a detailed and complete description of the presentation process and methodology. This should be a step-by-step description of the tasks and activities the trainer will take the class through. If lectures are used, a narrative of the entire lecture must be included. Group activities or individual activities must be explained. Time estimates for activities must be included. Trainer's 'Notes' should be included to point out topics that should be highlighted, or to otherwise instruct the trainer. If videos, DVDs, PowerPoints or handouts are used, focusing questions must be provided. The BT project manager must approve all media materials used by the contractor/vendor in advance. Conclusion: Include a review of the entire course and its intent. This section can also be used to offer presentation variations. Resources: Include a bibliography of resources utilized during the course development, including names of consultants when appropriate. Evaluation: Provide a copy of the evaluation instruments to be used in conjunction with the training following the BT evaluation guidelines. For curricula purchased from third-party vendors “as is,” the curricula may vary from the format described above. For training activities that produce web-based intranet and/or Internet information and applications: Any web-based intranet and Internet information and applications development, or programming delivered pursuant to the contract or procurement will comply with New York State Enterprise IT Policy NYS-P08-005, Accessibility WebBased Information and Applications, and New York State Enterprise IT Standard NYSS08-005, Accessibility of Web-Based Information Applications, as such policy or standard may be amended, modified or superseded, which requires that state agency web-based intranet and Internet information and applications are accessible to person with disabilities. Web content must conform to New York State Enterprise IT Standards NYS-S08-005, as determined by quality assurance testing. Such quality assurance testing will be conducted by OCFS and the results of such testing must be satisfactory to OCFS before web content will be considered a qualified deliverable under the contract or procurement. See policies on the NYS Office for Technology website athttp://www.oft.state.ny.us/Policy/NYS-P08-005.pdf andhttp://www.oft.state.ny.us/Policy/NYS-S08-005.pdf. For all curricula and materials: See part 1.7 Review and Crediting of Material for requirements and wording of the required acknowledgement. See parts 1.7 Review and Crediting of Material and 1.8 Contract/Work Plan Deliverables of this manual for guidance on submission of curricula and materials. All curricula, regardless of method of intended delivery, must be reviewed and approved by the BT project manager prior to implementation by the contractor/vendor or subcontractor. Note that curricula and
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 12
materials are confidential work products unless and until reviewed and approved by the BT project manager. 1.5 Evaluation Requirements BT requires training providers to develop, use, and report valid and reliable evaluations of training activities. The primary purposes of the evaluation requirements are (1) for contractors/vendors to develop/apply evaluation methods that will strengthen training content and delivery, and (2) for the timely and reliable reporting of evaluation results to BT. Evaluation reports must comprehensively and objectively assess the effectiveness of the training, and whether the major objectives were met. Reports must also detail what changes, if any, will be made to the training content or delivery based on the evaluation results. Evaluation instruments are considered part of the training curriculum, and are subject to the same prior review and approval process by BT project managers. The basic assessment methodology/instrument, including the proposed plan for implementing it, must be included with the proposed curriculum. For certain activities, some of the evaluation requirements may not be applicable. Alternative evaluation proposals from contractors will be considered; however, requests must be made in writing and approved by BT in writing. Training activities provided by outstationed staff must also adhere to these evaluation requirements. Please note that these are minimum requirements that may be supplemented by either the contractor/vendor or BT. In addition to these requirements, BT may periodically conduct an independent survey of trainees or supervisors to assess the effectiveness of training and its impact on job performance. Participant Reaction The Bureau of Training’s standard Participant Reaction Questionnaire (OCFS-3246) (see Appendix) is required for the following categories of deliverables regardless of the length of the activity: classroom training, virtual classroom (synchronous) training, teleconferences, seminars, forums, meetings, computer-based (asynchronous) training, and technical assistance. Training providers are free to include additional questions once those questions have been approved by the BT project manager. In some instances of technical assistance, a standard Participant Reaction Questionnaire may not be appropriate. If this is the case, the training provider may use an alternate form with BT project manager approval. Conferences must use the standard Participant Reaction Questionnaire (OCFS-3246) (see Appendix) to evaluate individual workshop sessions. The conference as a whole must be evaluated as well, using either the standard participant reaction questionnaire or a customized questionnaire specific to the conference. If a customized questionnaire is used for the overall conference evaluation, it must be reviewed and approved by the BT project manager prior to implementation.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 13
The completed standard questionnaires must be scanned and submitted electronically to [email protected] within 10 business days of the completion of the activity. See the Appendix for Instructions for Electronic Processing of Participant Reaction Questionnaire and the form. Learning Gain Training providers are expected to measure new knowledge and skills gained by participants in training activities they deliver. A pre/post-test of trainee knowledge is required for classroom training or virtual classroom training over 2 hours in length offered three or more times annually. At minimum, a post-test of trainee knowledge is required for any classroom or virtual classroom training 2 hours or less offered 3 or more times, and for teleconferences with a training curriculum. Training providers are encouraged to develop approaches for testing the acquisition and enhancement of skills. Project managers will work with providers to determine when skill testing is feasible. Pre/post-tests must be approved by the BT project manager prior to their use. Any revision or modification to existing, already-approved pre/post-tests must also be approved by the BT project manager prior to their use. In January, 2009, BT is initiating a new automated approach for use by training providers in evaluating learning gain. Prior to the delivery of a course, training providers will enter the course’s standardized test questions and answers into STARS. STARS will then produce customized pre-tests, post-tests, and scan sheets for use by the training provider when the course is delivered. See the “STARS Provider Instructions for Electronic Processing of Evaluation Level II: Learning Gain” document available athttp://stars.bsc-cdhs.org for guidance. Evaluating Deliverables Where Participant Reaction Questionnaires or Pre/PostTests Are Not Used Training providers must formulate their own plan for evaluating the impact and the effectiveness of activities where the BT project manager agreed that participant reaction questionnaires or pre/post-tests cannot be used. Evaluating Outstationed Staff Activities Training providers must formulate their own plan for evaluating the impact and effectiveness of outstationed staff. These plans must be approved by the BT project manager prior to use. Reporting- see part 4.1 Quarterly Reports for Training and Administrative Activities of this manual for guidance on reporting evaluation results to BT. 1.6 Reference Resources BT collects and catalogs its curricula and training resources. Contact the OCFS Materials Resource Center at (518) 473-8072 or at this email address [email protected] for further information about materials available to contractors/vendors. A catalog of materials/resources available for loan will be forwarded upon request.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 14
1.7 Review and Crediting of Material Projects sometimes call for the development of new curricula, evaluation plans, and other materials, or for the revision of existing curricula, evaluation plans, and other materials. All materials and curricula developed or revised, regardless of the training methodology, must be submitted to the BT project manager in draft at least six (6) weeks in advance of their anticipated use. BT will review the materials and curricula and will provide a written response to the contractor/vendor. Materials and curricula may not be used until BT has approved them in writing. Contractors/vendors must acknowledge in their work products that result from their training and administrative services agreements that the material was produced under an agreement with OCFS, and that OCFS has rights to use the material. Work products are those materials developed by the contractor/vendor using project funding. They include, but are not limited to, curricula, manuals, audio-visual materials, software, and publications developed for use in classroom training, distance learning, technical assistance, and seminars/ conferences/ forums/ meetings, or in other training and administrative activities. While contractors/vendors may register the copyrighted material, the copyright does not limit or preclude any of OCFS’s rights to the material. In addition, anyone or any entity, in addition to OCFS and the contractor/vendor, may also reproduce the material for its use, as long as the use is noncommercial and does not result in a financial profit to the individual or the entity. The following acknowledgements must be included by the training provider in the curricula, materials, and publications produced under an agreement with OCFS. Note that certain work products may require additional wording for the acknowledgement, or require an alternative approach to the acknowledgement. The BT project manager will work with the training provider in these instances on the modified language. Required Acknowledgement This material was developed by [insert name of training provider here] under a training and administrative services agreement with the New York State Office of Children and Family Services. License Rights [insert name of training provider here] acknowledges the State of New York’s and the Office of Children and Family Services’ right to a royalty-free, non-exclusive and irrevocable license to reproduce, publish, distribute or otherwise use, in perpetuity, any and all copyrighted and copyrightable material resulting from this agreement and/or activity supported by this agreement. All of the license rights so reserved to the State of New York and the Office of Children and Family Services under this acknowledgement are equally reserved to the United States Department of Health and Human Services and are subject to the provisions on copyrights in 45CFR 92 if the agreement is federally funded.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 15
Limited License and Disclaimer The State of New York and the Office of Children and Family Services grants permission to reproduce these materials to any interested parties solely for noncommercial purposes and uses, provided that the user acknowledge that the materials were developed by [insert the name of the provider here] under a training and administrative services agreement with the Office of Children and Family Services. Under no circumstances or at any time shall anyone or any entity earn a profit from the sale or use of these materials. While every effort has been made to provide accurate and complete information, the Office of Children and Family Services and the State of New York assumes no responsibility for any errors or omissions in the information provided here and makes no representations or warranties about the suitability of the information contained here for any purpose. All information and documents are provided “as is,” without a warranty of any kind. Any modifications in content or delivery to the original material must be expressly delineated as a modification to the original material in the reproduced materials and the user must expressly state that the modification is not sanctioned by the Office of Children and Family Services in any manner. Any modifications in content or delivery are solely the responsibility of the entity or organization making such modifications. Required Acknowledgement for Short-Form Materials (such as brochures and posters) This material was developed by [insert name of training provider here] under a training and administrative services agreement with the New York State Office of Children and Family Services. 1.8 Contract/Work Plan Deliverables Training providers are responsible for understanding the nature and scope of the training deliverables presented in the contract/work plan Training and Administrative Activities List (OCFS-3102-3) and Training/Administrative Activity Summary (OCFS3856), and for successfully completing all those deliverables during the term of the contract/work plan. Your assigned BT project manager can assist you with any questions you may have about the deliverables. Training providers are responsible for immediately informing their assigned BT project manager of any problems encountered in completing deliverables. The form of the communication such as telephone call, email, or meeting depends on the nature and scope of the problem. Problems in completing deliverables must be documented in quarterly reports as discussed in part 4.1 Quarterly Reports for Training and Administrative Activities of this manual. Submission of Contract/Work Plan Curricula and Materials in Digital Format Contractors/vendors should submit final curricula and materials electronically with the Cover Sheet- Final Curriculum/Material Submission (OCFS-4381) (see Appendix). This form must be completed and submitted with all curricula, trainee handouts, brochures, pamphlets, books, videos, CD-ROM’s, slides, and graphics. Contractors/vendors are required to deliver materials to BT immediately following the approval of the materials by OCFS. Contractual obligations will not be considered discharged until all materials
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 16
are delivered to OCFS. Submission requirements for subsequent revisions of curricula and materials may vary depending upon the training activity, and should be discussed with the BT project manager. The process for receiving, storing, and sharing training curricula and materials is a digital system that allows easy online access by OCFS staff and others interested in viewing curricula. Format- curricula and materials must be submitted in a digital form where possible, using both of the following digital file formats: Portable Document Format (.pdf) such as Adobe Acrobat® or comparable applicationfor OCFS use in storing, viewing, and printing documents online; and Word (.doc) such as Microsoft Word® or comparable application compatible with Microsoft Office® 2003- for contractor and OCFS use in making future revisions and updates. Other digital file formats may be used with BT project manager approval depending upon the material. Note: if the curricula/materials submitted for a training activity contain videotapes or DVDs, then the videotapes or DVDs must be fully edited studio master originals. OCFS, as well as the United States Department of Health and Human Services (DHHS), retains an exclusive, royalty-free right to use any original artwork, graphics or mechanicals created under the contract/ work plan. All such materials must be made available to BT or DHHS in a copy-ready, reproducible format. Submission Due to the size of the digital files, digital versions of curricula/materials most often should be submitted on a CD-ROM, including one version of the curricula/materials in a PDF file, and another in a Word (.doc) file. Email may be used to transmit smaller files. Contractors/vendors should submit both digital versions of the final approved training activity curricula/materials to the assigned BT project manager at the project manager’s mailing address. When confirmed as final, the BT project manager will forward a copy of the approved curricula/materials to the BT Materials Resource Center (MRC). Statewide Training Automated Registration System (STARS) Course Management Requirements BT provides contractors/vendors access to an on-line, real-time application where they will enter and maintain all training data. Contractors/vendors are required to use STARS as the system of record for documenting training deliverables. The steps for generating the STARS Actual Attendance Report are as follows:
?
The STARS system provides a report (STARS Enrollee Report) that lists individuals who have pre-registered for training. Contractors/vendors are required to print the report prior to the class offering and use it to verify trainee attendance. Trainees who have pre-registered are required to sign the STARS
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 17
?
?
Enrollee Roster next to their name. Trainees who are walk-ins must provide all the information required on the Training Roster (OCFS-4448) (see Appendix) and then sign the STARS Enrollee Roster. Trainees who are not enrolled in advance of the class will be added to the system during the class closeout. Class Closeout: Each training class must be closed out in STARS within 10 days of delivery. To complete a closeout, contractors/vendors are required to use the completed STARS Enrollee Roster and Training Roster (OCFS-4448) (see Appendix) to update trainee status to indicate actual attendance including trainees who were not pre-enrolled, and to submit the Participant Reaction Questionnaire results for entry into STARS- see part 1.5 Evaluation Requirements of this manual. STARS Actual Attendance Report: The completed STARS Enrollee Roster, including trainee signatures, verifies trainee attendance in calculating training fees charged to local districts. Once the STARS Enrollee Roster and the Training Roster (OCFS-4448) (see Appendix) information are entered, a STARS Actual Attendance Report is created. This report will be reviewed periodically by the BT project manager.
Further information on the STARS system can be found at this website address:http://www.bsc-cdhs.org/stars/. 1.9 Sale of Materials Federal regulations require that any income (after expenses) derived from a federally funded project be credited to the original federal funding source(s). To avoid the complicated federal credit process, OCFS will allow contractors/vendors to make copies of important materials available to trainees, social service agencies, and health agencies at cost only. Under no circumstances may a contractor/vendor sell materials to produce income. The contractor’s/vendor’s costs associated with printing/copying, postage, and staff time may be included in the sale price of the material, provided they are not already being paid for under the contract/work plan by OCFS. Contractors/vendors must keep complete records of all sales and the associated costs. 1.10 Training Space and Equipment Use Contractors/vendors are responsible for obtaining and making arrangements for any training space needed to deliver contracted training programs. BT project managers can sometimes assist in securing space at State or county facilities. If State or county facilities are not available, contractors/vendors should make arrangements for the use or rental of other facilities at a reasonable cost. Contractors/vendors are also responsible for obtaining equipment needed to conduct training. 1.11 Eligible Trainees Due to funding requirements, the training population for OCFS-sponsored training projects is limited to certain eligible groups. These groups are identified in the Training and Administrative Activities List of the project contract/work plan. Contact your BT
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 18
project manager if there are questions on the project’s target population. Projects may train only staff from those groups identified in the contract/ work plan. Voluntary Agency Staff (Non-Direct Care) Voluntary agencies, or provider agencies, are private human service organizations that provide services to local social service districts or OCFS under a contract. For child welfare-related training, these contractual services include foster care, adoption, prevention, and independent living. Human service organizations that do not meet this definition, even if they provide other services to children and families, are generally not eligible to receive child welfare-related training under this training program unless special funding arrangements are in place. In addition, the “Job Type” codes of the Training Roster (OCFS-4448) (see Appendix) distinguish between direct child care workers (for residential child care) and caseworker/case manager/social worker (nondirect care staff in residential child care). Due to differences in Federal training funds for these groups, it is necessary that contractors/vendors distinguish between these two groups of trainees and verify that rosters are coded accurately to track training for nondirect care workers. As necessary, contractor/vendor staff should review training rosters for accuracy and make needed corrections. Child Welfare Stakeholders (Non-IVE Federal Funding) Child welfare stakeholders, also referred to as “non-traditional” trainees or “non-Title IVE eligible” trainees, are individuals who play key roles in the public child welfare system in NYS but are not identified in federal Title IV-E regulations as eligible for the enhanced 75 percent federal financial participation (FFP) rate. They include family court staff such as judges, court clerks and other family court staff, court appointed special advocates (CASAs), county attorneys who may handle child welfare cases but who are not employed by the county department of social services, law guardians, county probation officers, county mental health staff, county public health staff, county youth bureau staff, and other community service providers, as long as they have a role in public child welfare services. In addition, this group includes OCFS staff providing post-residential services for youth (OCFS aftercare services). Title IV-E eligible staff include caseworkers and supervisors employed by county departments of social services who handle foster care or adoption cases as case planners or case managers, social workers and caseworkers in approved agencies (also referred to as voluntary agencies) who handle foster care or adoption cases, and foster and adoptive parents. When registering for training in STARS, child welfare stakeholders should be coded under “Target Population” as code 8 “Employed by public agency (city, county, state, or federal) other than local social services districts, OCFS, OTDA, DOH or DOL.” Use codes as appropriate for “Functional Area” and “Job Type.” For OCFS staff providing post-residential services for youth (OCFS aftercare services), “Target Population” code 1 “Employed by New York State Office of Children and Family Services (OCFS)” is used, with “Functional Area” code 2 “OCFS Rehabilitative
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 19
Services.” Use codes as appropriate for “Job Type.” See Training Roster (OCFS-4448) in the Appendix. Trainees Not Eligible under Federal Funding (Non-Federal Funding) Project specifications may call for training of a limited number of staff outside the typical eligible populations described above. These populations may not be eligible for federal reimbursement and need to be identified separately. Contact the BT project manager assigned to your project to obtain guidance for identifying these trainees on training rosters. 1.12 Training Fees OCFS charges a small fee for participation in OCFS-sponsored training activities. BT collects fees directly from local social services districts based on data that training providers report through STARS. Contractors/vendors are required to use the completed STARS Enrollee Roster and the Training Roster to update trainee status to generate a STARS Actual Attendance Report. The completed STARS Actual Attendance Report verifies trainee attendance and is used to calculate training fees charged to local districts. A full day of training is charged at $14 per local district participant; a half-day is charged at $7. The training fee policy is as follows: “The Office of Children and Family Services provides a wide range of training to benefit local social services districts using federal, state and university matching funds. For most training activities, OCFS assesses a nominal fee of $14 per person per day for local district staff to help offset the federal matching requirements. Individual providers such as foster and adoptive parents or child day care providers are not charged fees. Training fees are assessed on live training programs conducted by training contractors. They are not assessed on teleconferences, technical assistance sessions, and regional meetings. Pilot offerings of new training programs are also excluded from training fee charges, as are the training activities arranged by OCFS Regional Offices through these two training projects: Child Welfare Training and Technical Assistance (Project Code ST06) and Children and Family Services Program Improvement Training (Project Code CC15). Additional activities may be waived at the discretion of the Director of the Bureau of Training.” Training Provider Responsibilities At the beginning of the contract/work plan year, or as training activities are entered into STARS, training providers must confirm with BT project managers those activities where a training fee is to be charged. Training announcements produced by training providers must indicate whether or not a fee is charged. (For example, announcements available through STARS indicate fees charged under “Training Billable.”) While training providers do not collect training fees, they must maintain accurate and up-todate training participant and training fee information in STARS, as BT uses this information to calculate the training fees collected from local districts.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 20
1.13 United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB 1666) BT’s training and administrative programs are funded through a combination of State and Federal funds. Some of these funds have restrictions and/or specific reporting requirements. Title IV-E funding is the most restrictive of the Federal funding sources. Title IV-E funds are used for foster care- and adoption-related training. There are separate reimbursement rates for Title IV-E: 75 percent for training activities and 50 percent for administrative activities. Within each Title IV-E training contract/work plan there is an additional split between training and administrative activities that OCFS is required to track for Federal claiming. For training projects that include Title IV-E funds, both training and administrative deliverables and expenditure records must be segregated by training and administrative activities. As a result, BT has reporting procedures and forms related to proposal development and voucher preparation to promote proper record keeping and documentation. These specific requirements for projects that include Title IV-E funding are outlined in DAB-1666. This decision requires that in order for the State to receive enhanced Federal Financial Participation (FFP) for training costs, such costs must be of the type specified in the federal regulation 45 CFR 235.64. Contractor reimbursement for these costs may be limited to the level of FFP the State receives for these costs. Additional information about the DAB 1666 decision can be found at the United States Department of Health and Human Services website address:http://www.hhs.gov/dab/decisions/dab1666.html. Information on 45 CFR can be found at the following United States Department of Health and Human Services website address:http://www.gpoaccess.gov/cfr/. Administrative activities costs and DAB 1666 costs are based on the sub-budgets contained in the contractors/vendors approved contract/work plan. DAB 1666 requirements only apply to projects that include Title IV-E funds. If a contract/work plan contains both training and administrative activities for projects that include Title IVE funds, contractors/vendors are required to specify administrative activities costs separately. 1.14 Project Staffing Contractors/vendors must identify, in advance, changes in project staffing for BT’s use in processing claims for reimbursement of salary and fringe benefits. Changes that must be identified are those involving any new staff members added to a project, and any twenty (20) percent point change in key personnel’s percentage of time on a project. This is done using a Revised Project Personnel Cost (OCFS-4789) form and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) form, both found in the Appendix, III. Forms for Project Changes. See part 3.1 Budget Modifications for guidance on reporting these changes to BT.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 21
Contractors/vendors will need BT project manager prior approval for staffing changes involving key personnel. The BT project manager and the contractor/vendor will, at the beginning of the contract/work plan year, jointly identify which project personnel are key personnel. No change or substitution of any such key project personnel will be made without prior written approval from the BT project manager. Submit all changes in key project staff to BT using the budget modification forms. 1.15 Affirmative Action OCFS fully supports the efforts of the State of New York to promote equal opportunity for all persons, to promote equality of economic opportunity for minority group members and women who own business enterprises, and to promote, through active programs, that there are no barriers that unreasonably impair access by NYS certified Minority and Women-Owned Business Enterprises (M/WBE) to State contracting opportunities. General Responsibilities and Requirements Contractors/vendors entering into contracts/work plans in excess of $100,000 for construction, and $25,000 for all other services, and subcontractors entering into contracts/work plans in excess of $25,000 for construction, agree that any goal percentages contained in the contract/work plan are subject to the requirements of Article 15-A of the Executive Law and regulations adopted pursuant to it. Additionally, the contractor/vendor and any of its subcontractors shall be bound by the applicable provisions of Article 15-A of the Executive Law, including Section 316 thereof, and any rules or regulations adopted pursuant thereto. Further, the contractor/vendor and any of its subcontractors shall comply with Executive Law of the State of New York, Sections 290-299 thereof, and any rules of regulations promulgated in accordance therewith. (See Appendix under Implementation of Affirmative Action for Summary of Article 15-A Requirements of the Executive Law). In addition, contractors/vendors are also required to submit a description of how they propose to identify and utilize M/WBEs with which they may subcontract or with which they may obtain supplies (and/or equipment, commodities, etc.) under their contract/work plan, as well as the dollar amount, if known, of any such subcontract or purchase. Contractors/vendors are also required to complete both the Subcontracting Utilization Form (OCFS-4631) (see Appendix) and the M/WBE Subcontractors and Suppliers Letter of Intent to Participate (OCFS-4630) (see Appendix) for themselves and for the subcontractors or vendors they intend to utilize. For OCFS contracts/work plans, the combined goal for subcontracting with and purchase of supplies (equipment and/or commodities, etc) from NYS certified Minority and Women-Owned businesses can be obtained from your OCFS project manager or the solicitation document under which your contract/work plan was sponsored. Definitions of Minority and Women-Owned Business Enterprises can also be found in the Appendix. The directory of certified businesses, prepared by the New York State Empire State Development, Division of Minority and Women’s Business Development, for use by contractors/vendors in complying with the provisions of Executive Law, Article 15-A, and the regulations required pursuant to said Law, is included in the Appendix.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 22
The Division of Minority and Women’s Business Development can be contacted by phone at (518) 292-5250 or (212) 803-2414. For additional information call the OCFS Equal Opportunity and Diversity Development office at (518) 474-3715. Specific Guidance and Responsibilities In order to assist contractors/vendors in their attempts to demonstrate effective affirmative action efforts, OCFS suggests that contractors/vendors consider any or all of the following steps: (1) Contact all known M/WBEs that may appropriately serve as subcontractor or a subvendor under the contract/work plan. (2) Keep a “contact” list of M/WBEs contacted along with the name of your contact/work plan and the result of the contact(s). (3) Use the M/WBEs contacted as a possible resource for additional contacts. In the event your firm does not obtain the desired results from step 1-3 above, OCFS suggests that you consider these additional steps (and keep a contact record of the same): (4) Contact area Minority Business Associations, Contractors Associations, Purchase Councils or Professional Organizations serving the area in which the contract/work plan will be performed. (5) Contact the New York State Empire State Development, Division of Minority and Women Business Development for assistance at (518) 292-5250 or (212) 803-2414. (6) Contact OCFS Office of Equal Opportunity and Diversity Development (EODD) at (518) 474-3715 in Rensselaer, NY. (7) Contact area community-based organizations that serve the minority community and local elected, appointed, religious or other acknowledged leaders who also may serve as resources. The above-noted provisions are set forth to aid contractors/vendors who may require assistance in their attempt to comply with OCFS’s affirmative action initiative. However, contractors/vendors are at liberty to propose a course of action of their own that is reasonable and accomplishes the aim of the above provisions. In addition, all (not-for-profit, for-profit, contractors/vendors are responsible for
?
governmental
and
educational)
?
?
Complying with the requirements of the Civil Right Act of 1964 as amended, the Age Discrimination in Employment Act of 1967 as amended, the Federal Rehabilitation Act of 1973 as amended by Executive Order No. 11246 entitled “Equal Employment Opportunity” as amended by Executive Order No. 11375 and as supplemented in Department of Labor Regulations, 41 CFR, Part 60. Contractors/vendors also agree to observe all applicable Federal regulations contained in 45 CFR, Part 84, and 28 CFR, Part 41. Complying with the Rehabilitation Act of 1973, Section 504, as amended; this requires the State and its contractors/vendors to make programs and activities available to persons with disabilities on an equal basis. Designating an executive-level individual to develop and implement an affirmative action plan acceptable to OCFS.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 23
In addition, contractors/vendors entering into contracts/work plans in excess of $100,000 for construction, and $25,000 for all other services, and subcontractors entering into contracts/vendors in excess of $25,000 for construction, are responsible for
?
?
?
Adhering to the OCFS-approved Staffing Plan as set forth in the contract/ work plan, and advising OCFS immediately of any anticipated changes to the Staffing Plan. Contractors/vendors will submit a copy of their current Staffing Plan, if any changes have occurred in the approved Plan, in their contractually mandated quarterly reports. (A copy of the Project Staffing Plan (OCFS-4629) form and related definitions are included in the Appendix). Indicating their progress in achieving the goals for the utilization of NYS certified MBEs and WBEs for contract/work plan related procurement of goods from vendors and subcontracting activities (as specified in the contract/work plan) in their contractually mandated quarterly reports. Progress to date should be stated in terms of percentages and dollar amounts attributed to MBEs and/or WBEs for the contract/work plan period in question, as well as in a narrative detailing how the affirmative action plan submitted with the bid was implemented. Making their best effort to employ, where possible, recipients of public assistance and care, as that term is defined in Section 2 (18) of the Social Service Law of New York State, on the contract/work plan.
1.16 Employee and Consultant Status Training contract/work plan budgets include employees under the Personnel budget page and, in some instances, subcontractors/consultants under the Subcontractor/Consultant budget page. Contractors/vendors need to distinguish between these two categories. Only employees are covered by unemployment and workers’ compensation benefits. Contractors/vendors must be sure that consultants cannot be construed as employees. If a person is being paid as an employee, the employer cannot also pay that person as a consultant. In addition, two people cannot be treated differently while doing the same type of work. A review of each position will determine whether it should be considered for employee status based on: Type of service. If services are ongoing, the person would likely fit into an employee position. If the services are one time or variable (once a month), a consultant position may be more appropriate. Work schedule. If a person follows a fixed work schedule, the status as employee is justified. If not, and they can perform their work within contract /work plan requirement time frames, then they would be considered a consultant.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 24
A consultant provides and pays for his/her own training, staff and supplies. A consultant may do work for several different companies, while an employee typically works for one employer. The distinction between “employee” and “consultant” for unemployment and workers’ compensation is complex. Contractors/vendors should consult the New York State Department of Labor, the New York State Workers Compensation Board, and/or private legal counsel if they have questions in this regard. 1.17 Consultants/Subcontractors Definition A subcontractor is an institution, individual, or organization external to the contractor/vendor that has entered into a written Agreement with the contractor/vendor to provide any service outlined in or associated with the contract/work plan, and whose services are to be funded under the contract/work plan budget. A contractor/vendor is an institution, expert, or organization that has entered into a written training and administrative activities Agreement with OCFS that has been approved by the State Comptroller. The term subcontractor includes consultants. All such Agreements are to be conducted by a bona fide written contract/work plan. General Requirements All subcontracting activities, including selection of subcontractors and contract development, must be conducted in accordance with Article 11 of New York State Finance Law (State Purchasing), Economic Development Law (Contract Reporter Publication) and the Office of the State Comptroller G Bulletins (Procurements). Contractors/vendors must obtain prior written approval from OCFS for any Agreement, or series of Agreements, with a single subcontractor that totals $15,000 or more, including travel, during the contract/ work plan term, and may not implement any activity or expend contract/work plan funds without such approval. All vouchers for reimbursement of expenses must be according to contractual and subcontractual terms, and be directly related to project objectives. Contractors/vendors must identify all subcontracts with Minority and Women-owned Business Enterprises totaling $15,000 or more during the contract/work plan term (period). See part 1.15. Affirmative Action of this manual. Use of consultants (see part 1.16. Employee and Consultant Status of this manual) must be fully explained and justified (for example, identify the services that the consultants will provide, and explain why they must be used). Contractors/vendors must receive BT project manager approval in advance for rates in excess of $750/day. Chapter 10 of the Laws of 2006 requires New York State contractors/vendors to collect and report on consulting services. See part 4.3. Annual State Contractor’s Employment Disclosure of this manual.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 25
Subcontract Requirements Each subcontract, regardless of its monetary value, shall specify:
? ?
?
? ? ? ? ? ?
work objectives that are clearly defined and measurable; work to be performed by the subcontractor in accordance with the terms of the parent contract/work plan, detailing all tasks involved in the performance of the Agreement; curricula, instructional plans, or materials to be developed, incorporating the format, length, content, and delivery date, if applicable, in accordance with parts 1.7 Review and Crediting of Material, 1.8. Submission of Contract/ Work Plan Deliverables, and 1.9 Sale of Materials, of this manual; total number of hours or days of service provided; rate and term of payment; dates of service within the legal term (period) of the prime contract/work plan; consistent dates of service throughout the subcontract and its attachments; whether travel costs are included; reimbursement to the subcontractor upon satisfactory completion of services.
Subcontracts must also include the following additional clauses: "(Insert name of subcontractor here) agrees that all work performed shall be in accordance with the terms of the contract/work plan between the OCFS and the contractor/vendor and that there shall be no contractual relationship between the Subcontractor and the OCFS." "(Insert name of subcontractor here) represents and agrees to comply with the requirements of the Civil Rights Act of 1964 as amended, the Age Discrimination Employment Act of 1967 as amended, the Federal Rehabilitation Act of 1973 as amended, and Executive Order No. 11246 entitled "Equal Employment Opportunity" as amended by Executive Order No. 11375 and as supplemented in Department of Labor Regulations, 41 CFR, Part 60. The subcontractor also agrees to observe all applicable Federal regulations contained in 45 CFR, Part 84, 28 CFR, Part 41 and OMB Circular A-133 Audits of States, Local governments, and Non-Profit organizations.” “The subcontractor agrees that any goal percentages contained in this contract/work plan are subject to the requirements of Article 15-A of the Executive Law and New York State, including Section 316 thereof, and any rules and regulations adopted pursuant to it.” Contractors/vendors will be expected to utilize the services of M/WBEs in their subcontracting activities. Contractors/vendors must also identify any subcontracts with M/WBEs during the contract/work plan term (period). This information should be included in the cover letter accompanying the subcontract when it is submitted for approval. Contractors/vendors shall also include the Subcontracting Utilization Form (OCFS-4631) (see Appendix).
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 26
Subcontract Submission Contractors/vendors must submit draft subcontracts to the following address for BT approval at least three (3) weeks prior to signature by the contractor/vendor and subcontractor: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 1.18 Conference Attendance Training providers, in order to maintain or enhance staff expertise, may find that staff participation in conferences or seminars is useful. Attendance on a limited basis may be reimbursed under the project budget. Training provider Project Directors approve staff attendance at “in-state” conferences, while BT reviews and approves attendance at out-of-state conferences. Project Directors are expected to use careful, professional judgment regarding the use of project funds to allow staff to attend conferences. All conference attendance, in-state and out-of-state, must meet the following conditions:
? ? ? ?
attendance is necessary for the successful completion of project activities; attendance does not interfere with staff’s ability to complete regular project activities; contractors/vendors maintain records as to how staff attendance benefited the project and how the information will be disseminated to other project staff; and the project budget contains sufficient funds in the staff travel category.
Requests for attendance and reimbursement for out-of-state conferences must be submitted to the BT project manager at least three (3) weeks in advance using the Contractor Request to Attend Conference (OCFS-3108) (see Appendix). Signed, completed forms may be submitted in their original paper form by mail, or by email as electronic documents in a Portable Document Format (.pdf) file viewable and printable by BT through Adobe® Reader. All out-of-state conference attendance and travel require prior written approval by the Director of the Bureau of Training. 1.19 Accounting Requirements There are general accounting Contractors/vendors must:
? ? ?
requirements
for
contractors/vendors.
maintain records for each contract/work plan in a manner consistent with Generally Accepted Accounting Practices. have a record keeping system that maintains a separate identity for each project within each contract/work plan. maintain a list of the funds disbursed under the contract/work plan, including the payee and amount. Any payments made after the termination date of a
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 27
?
?
?
?
contract/work plan or the ending date of the program year must be for expenditures incurred during the contract/work plan period. Any costs incurred prior to the starting date of a contract/work plan period will not be reimbursed. maintain complete and accurate documentation to support revenue and expenses (for example, cancelled checks, bank statements and deposit slips, invoices and time sheets) for six years after the end of the contract/work plan period, or as further required by contract/work plan provisions. maintain accurate time records for all employees paid under the contract/work plan. Acceptable records must note time period covered and full signatures of both the employee and supervisor. Timesheets for employees whose salaries are charged to more than one contract/work plan program must reflect an afterthe-fact distribution (comparing records for projects for each employee assigned to multiple projects to verify they each did not work over 100 percent on the combined projects) of the actual activities of the employee. Records must adequately identify the use of funds for contract/work plan activities. Accounting records must be supported by documentation including, but not limited to, purchase and travel receipts, and show a clear audit trail for all funds received and disbursed. The contractor/vendor must retain records, including documentation, for each contract/work plan for six years. Records and documentation may be requested periodically from Contractors/vendors in order to validate accuracy in claiming. the State Finance Law and Generally Accepted Accounting Practices require that any expense incurred over more than one funding source or program is allocated proportionately and the method of allocation be documented. Some examples of these common expenditures are staff, utilities, rent, copy machine usage, and postage. In order to prevent an audit disallowance, justification of each allocation must be maintained along with other records kept by the contractor/vendor for the six-year period. maintain an accurate, complete and current inventory of equipment purchased with project funds (see 1.21. Equipment below.)
1.20 Organizational Changes/Actions Contractors/vendors must notify BT in writing of any significant organizational changes, especially any that might affect their provision of contract/work plan deliverables, such as changes in key staff, project directors, address, as well as mergers, acquisitions, legal actions and bankruptcies. In accordance with Section 138 of the State Finance Law, and in OCFS contract/work plan language, contractors/vendors may not assign their contracts/work plans without OCFS prior written consent. Written notifications of such organizational changes/actions should be made by authorized representatives on contractor/vendor letterhead directed to: Director, Bureau of Training NYS Office of Children and Family Services
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 28
Capital View Office Park North Building Room 234 52 Washington Street Rensselaer, NY 12144-2796 Those contractors/vendors using the OCFS automated Contract Management System (CMS) for electronic contract signature who change individuals authorized to receive or sign contracts online must obtain new CMS user accounts through the OCFS Bureau of Contract Management. See the CMS User’s Manual available electronically at the CMS website for instructions and forms. 1.21 Equipment Definition Equipment is defined as any tangible personal property having a useful life of more than two years and an acquisition cost of $5,000 or more per unit. BT may determine that a series of small purchases taken together are related and form one operational piece of equipment, and reserves the right to classify the items as equipment. Examples of this may include purchasing items for a project activity such as a computer lab, studio, or editing suite. Purchases OCFS strongly encourages contractors/vendors to make purchases of equipment through M/WBEs (Minority and Women-owned Business Enterprises) wherever feasible. Property Requirements Each contract/work plan contains standard language that states that any equipment purchased with project funds remains the property of OCFS. It is understood that equipment purchased with contract/work plan funds must be used solely for work described in the contract/work plan. Equipment Inventory Contractors/vendors must maintain adequate records on all equipment purchases and account for such equipment in accordance with inventory requests from BT. Contractors/vendors must complete and submit a Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS 4795) (see Appendix) with the vouchers that claim reimbursement for purchased equipment. This includes any equipment purchased by subcontractors. BT may request a periodic update of the equipment inventory. Note: Public vendors with multiple projects and with budgeted equipment items charged across multiple accounts are required to compile a single listing of all equipment spanning those multiple projects/accounts, and to submit the list to BT when submitting their proposal. This allows BT to maintain an equipment inventory pertaining to the public vendor that includes all the OCFS-sponsored projects. In order to obtain information on items with an acquisition cost of $500 - $4,999, equipment is defined for
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 29
the purposes of this listing as any tangible personal property having a useful life of more than two years and an acquisition cost of $500 or more per unit. If there are revisions to the list, public vendors must submit another list at the beginning of the year. Adjustments to the inventory must be reconciled by the end of the training year. Responsibility Equipment is the contractors/vendors responsibility, and adequate precautions should be taken to maintain the equipment in good repair and to prevent damage or theft. Contractors/vendors should carry adequate insurance to cover damage and losses. If any equipment is damaged or lost, it is the contractors/vendors responsibility to inform the BT project manager as soon as possible. Disposition of Unneeded Equipment If equipment is no longer necessary for the contract/work plan, if there is no renewal Agreement, or if the equipment is not repairable, has low residual value, or is beyond its useful life as determined under the contractor/vendors’ own equipment policies, the contractor/vendor must account for the equipment and seek determination from the Director of the Bureau of Training in writing on the disposition of the equipment, as provided in Federal regulation 45 CFR Part 95 Subpart G, and OMB Circular A-87 (revised 5/10/04). 1.22 Printing Printing services must be obtained from the most economical and responsible source available. All contractors/vendors and subcontractors must make reasonable efforts to secure the lowest cost source for printing services. In instances where a printing job is $5,000 or more, the contractor/vendor must document that the lowest cost source was used and provide this documentation with the payment claim. Documentation for printing costs must include a brief description of the service provided, the date the service was performed, a list of all responding bidders, the price projected by each bidder, and a rationale for the selection/ rejection. If the lowest responsible bidder is not accepted, then a detailed justification for the acceptance of another bid must be provided. OCFS strongly encourages contractors/vendors to obtain printing services through an M/WBE wherever feasible. For more information on how to obtain printing services through a NYS Certified M/WBE, refer to:http://www.nylovesbiz.com/Small_and_Growing_Businesses/mwbe.asp These requirements are not intended for use when obtaining photocopying services for normal business activities. 1.23 Contractor/Vendor Compliance OCFS has the right to audit and review the contractor’s/vendor’s performance and operations as related to the Agreement and/or to retain the services of qualified independent auditors or investigators to perform such audit and review on the Office’s
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 30
behalf. If the review indicates that the contractor/vendor has violated or is in noncompliance with any of the terms of the Agreement, or has abused or misused the funds paid to the contractor/vendor, the contractor/vendor agrees to pay OCFS any costs associated with the review. If the review indicates that the contractor/vendor has violated or is in non-compliance with any of the terms of the Agreement, or has abused or misused funds paid to the contractor/vendor under any other agreement with OCFS, the rights of OCFS include, but are not limited to:
? ? ? ? ?
recovery of any funds expended in violation of the Agreement; suspension of payments; termination of the Agreement; employment of another entity to fulfill the requirements of the Agreement and/or; the contractor/vendor shall be liable for all reasonable costs incurred on account, including payment of any cost differential for employing such entity.
The contractor/vendor must assist OCFS in transferring the operation of the contract/work plan services to any other entity selected by the OCFS in a manner that will enable OCFS or clients to continue to receive services on an on-going basis. This includes, but is not limited to
? ? ?
notifying clients of the new entity to which the services shall be transferred and the effective date of the transfer; providing the new entity with a copy of the clients’ records necessary to continue the provision of the transferred services; and transferring any equipment purchased with funds provided under that Agreement.
Nothing shall preclude OCFS from taking actions otherwise available to it under law including, but not limited to, the State’s “Set-Off Rights” and “Records” provisions contained in Appendix A (Standard Clauses for all New York State Contracts). The contractor/vendor agrees to cooperate fully with any audit or investigation OCFS or any of its agents may conduct and to provide access during normal business hours to any and all information necessary to perform its audit or investigation. The contractor/vendor shall also allow the State Comptroller, the NYS Attorney General, the Office and any representatives specifically directed by the State Comptroller or OCFS to take possession of all books, records and documents relating to this Agreement without prior notice to the contractor/vendor. OCFS shall return all such books, records and documents to the contractor/vendor upon completing the official purpose for which they were taken. The contractor/vendor agrees that all agreements between the contractor/vendor and a subcontractor or consultant for the performance of any obligations under the Agreement
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 31
shall be written contract/work plan (subcontract) that shall contain provisions including, but not limited to, the above specified rights of the Office. 1.24 Monitoring Contract/work plan monitoring is the assessment by OCFS staff, or staff of other State or local agencies, of a contractor’s/vendor’s performance measured against applicable rules and programmatic, administrative and fiscal criteria. Program Monitoring Program monitoring includes telephone calls, meetings, on-site monitoring of training activities and clearance of training materials by the BT project manager and maintaining clear communication between OCFS and the contractor/vendor. Administrative Monitoring Administrative monitoring includes telephone calls, meetings, and reviewing quarterly reports, budget modifications, contract/work plan changes, and vouchers as necessary. These activities will include BT staff and, where appropriate, other State and local staff. Fiscal Monitoring and Audits OCFS retains the right to inspect supporting documentation for expenditures either through fiscal monitoring or a fiscal audit. Effective January 1, 2004, BT may no longer require contractors/vendors to submit supporting documentation for expenditures with their vouchers. Contractors/vendors will be expected to retain the supporting documentation on-site available for inspection. OCFS reserves the right to inspect these documents, including monthly vouchers at any time; OCFS may require selected contractors/vendors to submit supporting documentation.
?
?
Fiscal monitoring is a limited scope review of an organization’s transactions, accounts, and records made for the purpose of rendering a judgment whether the limited sample of transactions reviewed are consistent with the contract/work plan terms, and represent actual costs, as supported by the books and records of the organization. In this regard, contract monitoring is a risk assessment function that can help determine whether a fiscal audit is necessary. A fiscal audit is a comprehensive and independent examination of the organization’s transactions, accounts, and records, made for the purpose of obtaining reasonable assurance that all material expenditures claimed for reimbursement were consistent with the contract/work plan terms, and represent actual costs, as supported by the books and records of the organization.
1.25 Independent Annual Audits OCFS encourages all contractors/vendors to include an assessment related to the contract or other agreement of the contractor’s/vendor’s compliance with OCFS’s policies in their annual audit, performed by independent auditors and compliant with generally accepted audit standards.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 32
OCFS requires that contractors/vendors: (1) provide copies to the BT Finance and Administration Section of all audits performed by independent auditors; and (2) provide copies to the BT Finance and Administration Unit of audits performed in accordance with all State and Federal requirements (for example, OMB Circular A-133). Although performance of annual independent audits is encouraged, related costs are not allowed for reimbursement by OCFS. 1.26 Data Access Required Under the State Administrative Procedure Act (SAPA) The contractor/vendor agrees that at the completion of any scientific or statistical study, report or analysis prepared pursuant to a contract/work plan, it will provide to OCFS, at no additional cost, a copy of any and all data supporting the scientific or statistical study, report or analysis, together with the name(s) and business address(es) of the principal(s) producing the scientific or statistical study, report or analysis. (SAPA §104) 1.27 Expectation of Insured The contractor/vendor and any and all subcontractors must obtain and maintain in effect a general policy of liability insurance of an appropriate amount. 1.28 OCFS Automated Contract Management System (CMS) OCFS has developed a comprehensive, web-based Contract Management System (CMS) providing technology that automates the contract development process. Vendors awarded contracts under this procurement may develop and electronically sign contracts through CMS. A description of CMS, including benefits to vendors, follows: CMS standardizes the contract development process, automating labor-intensive tasks and providing system edits that reduce common errors. Interactive budget and contract documents streamline the development process. Intuitive screens provide a userfriendly environment. The system facilitates prompt contracting and prompt payment thereby making services available to the children and families of New York State in a timely manner. CMS features will permit vendors to do the following online: Develop, manage and electronically sign a contract online; receive alerts and notifications regarding the status of contract approval: permit correspondence between the vendor and OCFS; upload and download contract documents into CMS; process online budget modifications; and check the status of contracts and payments. CMS has no hardware requirements. Minimum computer requirements for participating are simply Internet access, Explorer 6.0 and Adobe Reader 7.0. Adobe Reader can be obtained free of charge at:http://www.adobe.com. For Macintosh users, Safari 2.0 or higher is recommended and can be obtained free of charge at:http://www.apple.com/support/downloads/safari.html. A CMS User’s Manual is available electronically to CMS account holders on the CMS website, as is a CMS Frequently Asked Questions Page for contractors. OCFS will keep contractors/vendors informed as new functions become available, such as claiming process for vouchers, budget modifications, and quarterly reporting.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 33
2. PROJECT PAYMENTS
This section describes the policies for reimbursement of project expenses, and the procedures and required claim forms for submitting reimbursement claims to OCFS. 2.1 Prompt Payment Legislation Procedures Article 11 of the New York State Finance Law, Prompt Payment, requires the State to pay its contractors/vendors within thirty (30) days of receipt of a proper claim submitted in such form and supported by such other substantiating documentation as required by OCFS or the Office of the State Comptroller (OSC). Not-for-profit and for-profit organizations are eligible for interest on overdue payments under this law. Public entities are not eligible for interest. The following are the BT procedures pursuant to this law. BT staff are available to provide assistance with claim preparation questions. (1) Contractors/vendors must submit vouchers to the New York State Office of Children and Family Services/ Bureau of Training,/ Finance and Administration Section. The prompt payment timeframe will begin only when BT’s Finance and Administration Section receives the completed claim in an acceptable format. (2) Claims submitted by contractors/vendors must be accurate and properly prepared in accordance with this manual, as the prompt payment timeframe does not permit OCFS to make major revisions or corrections to claims. An accurately and properly prepared claim is one which:
? ? ? ?
provides accurate expenses/prices, quantities and descriptions of goods/services delivered; the costs submitted are consistent with the approved budget, latest amendment, or budget modification; is in a form that contains supporting documentation as OCFS and the OSC may reasonably require; and is signed by an individual authorized to sign on behalf of the contractor/vendor.
(3) OCFS may reject claims for payment if there are any issues regarding contract/work plan deliverables or other required information, such as:
? ? ?
lacks original signature or required information; costs are not consistent with the approved budget, latest amendment, or budget modification; or non-compliance with contractual requirements such as late or unacceptable reports or inadequate deliverables.
(4) OCFS must notify the contractor/vendor of such defects or improprieties within fifteen (15) days of receipt of the claim to be consistent with the Prompt Payment requirements. These issues must be resolved before claims can be accepted for payment under the Prompt Payment timeframes.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 34
(5) At the conclusion of the contract/work plan, OCFS may withhold up to ten (10) percent of the contract/work plan payments until receipt and acceptance of all reports and deliverables can be verified. These funds will be released for payment and the prompt payment timeframe will begin upon receipt of all deliverables, reports, and curricula. Curricula must be submitted with a completed Cover Sheet- Final Curriculum/Material Submission (OCFS-4381) - see Appendix under Forms for Project Implementation. See part 1.8 Contract/Work Plan Deliverables of this manual for more information on curriculum submission. 2.2 Advance Payments Most contractors/vendors are eligible to receive advance payments. Details regarding advance payments are included within the OCFS contract/work plan. To receive an advance payment, a contractor/vendor must submit a signed voucher. The advance voucher must be paid within thirty (30) days of the execution of the contract/work plan or receipt of the voucher, whichever is later. The advance payment is part of the total contract/work plan and is not additional funding. The advance payment must be paid back to OCFS through the submission of acceptable claims for allowable expenses under the contract/work plan. OCFS reserves the right to deny requests for additional and/or re-issuance of advance payments if OCFS has determined there is insufficient time or deliverables remaining to allow the contractor/vendor to repay the advance within the terms of the contract/work plan. Should a project fail to operate as anticipated and a claim cannot be made, an advance payment must be repaid to OCFS promptly. OCFS reserves the right to change the payment schedule, including the advance repayment schedule, if necessary. 2.3 Claiming and Reimbursement While contract/work plan budgets are based on estimated costs, claims must be based on actual expenditures clearly in support of the deliverables and must be in sufficient detail to identify the items of expenditure. Contractors/vendors are liable to audit by the NYS Office of the State Comptroller (OSC), OCFS, the United States Department of Health and Human Services (DHHS) or the authorized representatives of any of these agencies. The procedures outlined in this section are designed not only to support reimbursement, but also to help provide readable audit trails of contractor/vendor claims. Contractors/vendors are expected to follow the claiming instructions outlined in this chapter when claiming reimbursement. In addition, contractors/vendors will be required to submit a signed certification contained in the Summary of Costs (OCFS3106, I-VIII) (see Appendix): "We certify that all costs incurred, billed and reported are in accordance with all Federal and State Laws and regulations including, but not limited to, Federal OMB Circulars A21, A-87, A-110, A-122, and A-133, and to State Finance Law as applicable, and there is appropriate supporting documentation for this claim period."
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 35
Effective January 1, 2004, contractors/vendors may no longer be required to submit supporting documentation for expenditures. Contractors/vendors will be expected to retain the supporting documentation on-site, available for inspection (see part 1.19 Accounting Requirements of this manual). OCFS reserves the right to inspect these documents, including monthly vouchers, at any time. Note: BT reserves the right to require selected contractors/vendors to submit the supporting documentation as defined later in this chapter. Contractors/vendors are required to submit the required claim forms as described below: Contractors/vendors must voucher on a monthly or quarterly basis as required by the contract/work plan. Ten (10) percent of the contract/work plan amount may be withheld as determined by the BT project manager until the contractor/vendor submits an approved fourth quarter report documenting full compliance with the terms of the contract/work plan, and disposes of equipment according to OCFS instructions. For contracts/work plans funded under Federal or State appropriations, no claims can be paid if the appropriations lapse; therefore, timely voucher submission is crucial. Failure to meet the terms of the contract/work plan accounting requirements or to submit required reports, including quarterly reports and curricula, will prevent voucher processing and payment. Contractors/vendors must use the latest approved contract/work plan budget when claiming or reclaiming costs. This includes any budget modifications, if applicable. The amounts listed must agree with the Summary of Costs (OCFS-3106, I-VIII) (see Appendix). Contractors/vendors must mail or hand-deliver completed claims to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 2.4 Required Claim Forms OCFS has developed standard forms for use by contractors/vendors to adequately document expenses and to provide the needed information for reimbursement. These forms are located in the Appendix. Below is a list of the required forms. These forms and other forms and procedures are discussed in more detail in the following pages. Budget categories or objects of expense must correspond to those listed in the contract/work plan budget and provide a means to identify cumulative costs. If computer processed documentation is used, the budget categories in this documentation must conform to the contract/work plan budget categories. Significant deviations from the proposed expenditures listed in the back-up pages submitted with the proposal, even though allowable under the contract/work plan budget, must be
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 36
discussed with the BT project manager in advance. See also part 3. Project Changes, of this manual. Contractors/vendors must adhere to OCFS policies on subcontracting, and on the purchase of equipment and printing services, and may not split the related claims among several vouchers to avoid compliance with OCFS policy (see parts 1.21 Equipment and 1.22 Printing of this manual). The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” To avoid rejections and resubmissions, it is important to review all information for accuracy prior to submission. The NYS Office of the State Comptroller will mail payment to the address shown in the contract/work plan unless OCFS has received written notice on agency letterhead of the address change or a written request to mail checks to an alternate address. If the address on the voucher does not agree with the address in the contract/work plan, please notify BT of the change prior to submitting the voucher. Once OCFS has processed the change, all payments will be sent to the new address. An electronic payment option for direct deposit is also available (see part 2.12 Electronic Payments/Direct Deposit of this manual). Address changes should be submitted to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 2.4.1. Forms Required for Private Not-for-Profit Agencies Review the contract Agreement for due dates for claim submission. Any claims or adjustments submitted by the contractor more than thirty (30) days later than the due date required by the contract/work plan or after the termination date of the contract/work plan or period, may not be accepted or paid. The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” Standard Voucher (AC-092) (see Appendix); Summary of Costs (OCFS-3106, I-VIII) (see Appendix) with signed certification; Administrative Summary of Costs (OCFS-3106A) (see Appendix) if project includes Title IV-E funds must be submitted with each claim. See part 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies in this manual for instructions; and Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS 4795) (see Appendix), if applicable. a. Instructions for Completing the Standard Voucher (AC-092) (see Appendix) (Private Not-for-Profit Agencies) Each Standard voucher submission must include:
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 37
? ?
?
? ?
the contractor's Federal Tax Identification Number included in box 3; Payee Name and Address box 4. This information must match the record on file. (See Section D. Required Claim Forms of this Chapter for instructions on address change); the total gross expenditures, less contractor/vendor share (if applicable), minus the administrative charge (TMEF) 5 percent Reimbursement of these claims is based on the reimbursement rate indicated on the approved budget; contract number, project code, and a brief description of services including the expenditure time period in box 6; and original signatures and date in Box 7.
The last and final claim for reimbursement in a contract/work plan year should be clearly identified as a “final voucher.” b. Instructions for Completing Summary of Costs Form (OCFS 3106) (see Appendix) for all project agreements For each Standard Voucher (AC-092) (see Appendix) submitted, use the latest approved budget. The following information must be included:
? ? ? ? ?
? ? ? ?
enter the approved budget figures by object of expense; enter costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost calculation in the approved contract/work plan, including direct cost base and applicable rate; calculate and subtract the contractor/vendor share; calculate and subtract the administrative fee; state costs to be reimbursed this period; and signed certification.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an agency proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See part 2.4.3 Title IV-E Requirements for Not-for-Profit and Public Agencies in this manual for Title IV-E required reporting documentation, including instructions for completing the Administrative Summary of Costs (OCFS 3106A).
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 38
c. Instructions for Completing Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable Complete the Bureau of Training-Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix) whenever equipment is purchased at a cost of over $5,000. Attach the form to the voucher or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment if requested. In some cases a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs (OCFS-3106, I-VIII) (see Appendix) that the cost of an individual equipment purchase was under $5,000. 2.4.2 Forms Required for Public Agencies Review the MOU agreement for due dates for claim submission. Any claims or adjustments submitted by the vendor more than thirty (30) days later than the due date as required by the MOU, or after the termination date of the MOU period, may not be accepted or paid at OCFS’s discretion. Final claims must be identified as “final.” Please note: some projects may be combined into multi-project agreements. Multiproject agreements require submission of Summary of Costs (OCFS-3106, I-VIII) (see Appendix) at the project level in addition to the overall Summary of Costs. Only the overall Summary of Costs (OCFS-3106, I-VIII) (see Appendix) requires a signed certification: Journal Transfer/Revenue Transfer (AC-2414) (see Appendix); Summary of Costs (OCFS-3106, I-VIII) (see Appendix), with signed certification; Administrative Summary of Costs (OCFS-3106A) (see Appendix) (if project includes Title IV-E funds must be submitted with each claim. See section 3 for instructions); Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable; and Public Vendor Share Worksheet (OCFS 4798) (see Appendix): Estimated and Actual. a. Instructions for Completing Journal Transfer/ Revenue Transfer (AC-2414) (see Appendix) (Public Agencies) This form is used to transfer funds into the State University of New York (SUNY), City University of New York (CUNY), or other NYS agencies’ collection accounts. It is also used to transfer funds from the SUNY campus collection account to OCFS when necessary (for example, cost sharing reconciliation and advance recoupment). The JT/RT must include the appropriate cost center coding and applicable dollar amount. The justification field must include the following identifying information:
? ? ?
the MOU number or contract number assigned by OCFS for tracking purposes; Research Foundation award number; applicable project code(s) and/or OCFS contract number;
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 39
? ? ? ? ?
net amount of reimbursement due; month of claim period; who prepared the document; authorized signature; and indicate if advance or advance recoupment.
b. Instructions for Completing Summary of Costs (OCFS-3106, I-VIII) (see Appendix) For each Journal Transfer/Revenue Transfer (AC-2414) (see Appendix) submitted, and using the latest approved budget, include the following information in the Summary of Costs (OCFS-3106, I-VIII) (see Appendix):
? ? ? ? ?
?
enter the approved budget figures by object of expense; enter costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost formula, including direct cost base and applicable rate; and signed certification.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an organization proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See 2.7. Match Policy below for more information. c. Instructions for Completing Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix), if applicable Complete the Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS-4795) (see Appendix) whenever equipment is purchased at a cost of over $5,000. Attach the form to the voucher or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment, if requested. In some cases a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs form (OCFS-3106) that the cost of an individual equipment purchase was under $5,000.
d. Instructions for Completing Public Vendor Share Worksheet (OCFS 4798) (see Appendix) (Public Agencies)
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 40
Cost sharing information must be submitted monthly with each monthly expenditure claim both at the work plan and project level. Vendors may use their own supporting forms to report these costs. Reconciliation of estimated costs to actual costs for cost sharing claims must be submitted within 120 days of the end of each semester (May, August, and December). The final cost sharing reconciliation claim must be submitted no later than 180 days after completion or termination of each work plan. Cost sharing must directly relate to services provided under the work plan. See 3. Title IV-E Requirements for Not-for-Profit and Public Agencies below for Title IV-E required reporting documentation, including instructions for completing Administrative Summary of Costs (OCFS 3106A). 2.4.3. Title IV-E Requirements for Not-for-Profit and Public Agencies BT’s training and administrative programs are funded through a combination of State and Federal funds. Some of these funds have restrictions and/or specific reporting requirements. Title IV-E funding is the most restrictive of the Federal Social Security Act funding sources. Typically, Title IV-E funds are used for foster care- and adoptionrelated training. There are separate reimbursement rates for Title IV-E with training at 75 percent and administrative at 50 percent. Within each Title IV-E training contract/work plan there is an additional differentiation between training and administrative activities that OCFS is required to track for Federal claiming. The specific requirements for projects that are supported by Title IV-E funds are outlined in United States Health and Human Services Departmental Appeals Board Decision Number 1666 (DAB-1666). This decision requires that in order for the State to receive enhanced Federal Financial Participation (FFP) for training costs, such costs must be of the type specified in the federal regulation 45 CFR 235.64. Contractor/vendor reimbursement for these costs may be limited to the level of FFP the State receives for these costs. For projects that are funded through Title IV-E funds, administrative deliverables and expenditure records must be reported separately. As a result, a number of reporting procedures and forms have been developed to facilitate proper record keeping and documentation. If the project includes Title IV-E funds, complete and submit the Administrative Summary of Costs (OCFS-3106A) form (see Appendix): Instructions: Contractors/vendors are required to report costs incurred for administrative activities (that is, deliverables) separately. Examples of training and administrative activities (deliverables) are outlined in part 1.3 Training and Administrative Activities of this manual. The OCFS-3106A form should include all administrative costs that are not of the type specified in 45 CFR 235.64 or 45 CFR 1356.60. Administrative costs are required to be reported by cost category. Please see the website link below for additional information.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 41
For each AC-2414 or AC-092 submitted, and using the latest approved administrative budget the following information must be included:
? ? ? ? ? ? ?
enter the approved administrative budget figures by object of expense; enter administrative costs this period for each object of expense; enter costs to date for each object of expense for the period; enter the balance by each object of expense for the period; provide the DAB 1666 reported for this period in all four columns; provide the calculation used to determine DAB 1666 costs in the space provided; and provide the calculation used to determine indirect costs. Include the formula used to reach the indirect cost, including direct cost base and applicable rate.
Costs that are normally considered part of general administration or overhead should be included in the indirect/overhead category, unless they will be directly related to the provision of services under the project. For example, general office space would normally be considered an overhead expense; however, if an organization proposes to rent space that will be used exclusively by staff who will work directly on the project, depending on the terms of the organization’s indirect rate agreement, the cost of this space may be included in the “other” category. Under no circumstances can any cost that is budgeted completely or partially as a direct cost be fully claimed as part of the budgeted indirect costs. See part 2.7 Match Policy (Public Agencies Only) in this manual for more information. Additional information on the DAB-1666 decision and Federal regulations can be found at the United States Department of Health and Human Services website address:http://www.hhs.gov/dab/decisions/dab1666.html 2.5. Supporting Documentation Submission As stated earlier, selected contractors/vendors may be required to submit supporting documentation with their claims. In those cases the following forms must be submitted. 2.5.1 Project Personnel Cost (OCFS 3106-II) (see Appendix) Personnel and fringe benefit costs must agree with the contract/work plan. If there is a 20 percent or greater change in an individual key personnel percentage of effort or a vacancy is filled, contractors/vendors must submit a Bureau of Training Request for Modification of Project/Work Plan Budget (OCFS-4796) (see Appendix) form and a Revised Project Personnel Cost (OCFS-4789) (see Appendix).
? ? ?
list the full name and title for each staff person in the appropriate columns. The column “costs this period” must be the salary rate for the time period; list the total fringe benefit amount for all staff listed for the time period; and describe how the fringe benefits were calculated. For example, state actual cost or the formula used to arrive at the costs claimed.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 42
2.5.2 Schedule of Equipment Cost (OCFS-3106-III) (see Appendix) Complete the Bureau of Training- Training & Administrative Activities Contract Equipment Inventory Form (OCFS- 4795) (see Appendix) for any purchase over $5,000 and attach to the voucher and/or claim. Specify a contact person at the contractor site who could provide additional detail on the equipment if requested.
?
?
?
equipment is defined as any tangible personal property having a useful life of two years or more and an acquisition cost of $5,000 or more per unit. If BT determines that a series of small purchases taken together are related and form one operational piece of equipment, BT reserves the right to classify the items as equipment. in some cases, a voucher may have a total equipment purchase over $5,000, but the individual equipment item cost is under $5,000. To avoid confusion in this case, please note on the Summary of Costs form (OCFS-3106) that the cost of each individual equipment purchase was under $5,000. clearly identify rented or purchased items and their costs.
2.5.3 Schedule of Consumable Supplies (OCFS-3106-IV) (see Appendix) Consumables are disposable personal property not meeting the definition of equipment. Items costing more than $5,000 with a useful life of two years or more are considered equipment.
? ?
identify the items purchased by general type (for example, office supplies) and cost. when public vendors’ approved work plan budgets contain both on-campus and off-campus indirect cost rates and they voucher for consumables purchased for off-campus project activities, they may only use the off-campus indirect cost rate for those consumables.
2.5.4 Schedule of Staff Travel, Subcontractor/Consultant and Other Costs (OCFS3106 V-VII) (see Appendix) Staff Travel (OCFS-3106-V) (see Appendix) OCFS will base its travel reimbursements on the policies and latest approved rates set forth by OSC. Information regarding latest OSC policies and rates can be located at the following website:http://www.osc.state.ny.us/agencies/travel/travel.htm. Refer to part 1.18 Conference Attendance in this manual for guidance on staff conference attendance.
? ? ? ? ? ?
enter traveler's name; enter the nature of travel (for example, training, meeting, conference); enter the dates in travel status; enter the location traveled to and from; enter the per diem expense (hotel and meals) detailed by date; and provide an explanation of the use of any special rates.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 43
As sales tax is not a reimbursable expense, contractors/vendors are expected to use tax exempt certificates for both State and City taxes for hotel stays. Under certain very limited circumstances it is possible to have OSC travel reimbursement rates waived. "Blanket" waivers will not be considered. OCFS will only consider written waiver requests when they: (1) specify revised rates to be used in lieu of OSC rates; (2) clearly justify the need for the rates; and (3) define when and where the new rates will be applicable. Waiver requests must be submitted to BT at least a month prior to their anticipated use, in order to provide OCFS sufficient time to consider them. If a waiver is granted, the contractor/vendor must include the BT project manager’s name and the approval date of the new travel rate when submitting the claim. Subcontractor/Consultant Costs (OCFS-3106-VI) (see Appendix) Travel costs for consultants and/or subcontractor agreements must be charged in accordance with OSC Travel Guidelines. Information regarding latest OSC policies and rates can be located at the following website address:http://www.osc.state.ny.us/agencies/travel/travel.htm. As work performed under State contracts is exempt from State/municipal sales tax, and sales tax is not reimbursable under the contract/work plan, contractors/vendors may use tax exempt certificates to waive State and City taxes for hotel stays. In order for a single consultant or subcontract claim more than $15,000 to be processed, it must have prior written approval by the appropriate BT project manager. See part 1.17 Consultants/ Subcontractors in this manual for further information on consultant and subcontract agreements.
? ? ? ?
?
OCFS cannot reimburse contractors for any in-kind services provided by nonpublic subcontractors/consultants; list the type(s) of service, such as curriculum development or training; include name of the consultant; provide dates of service, total cost, and rate per day and term (for example, 5 days @ $500 per day). The BT project manager must approve rates in excess of $750 a day in advance; and provide number of days and daily rate. State if travel, meals and lodging costs are included in daily rate. If not, itemize these costs in the same format as "Staff Travel" for those instances where the project is reimbursing travel costs to the consultants. Separately budgeted consultant travel should be included here and not in the “Staff Travel” category.
Other Costs (OCFS 3106-VII) (see Appendix) Other cost includes items that are directly related to the services to be provided, but that are not specifically included in the above categories. These items could include: telephone and communication; postage, shipping, delivery and messenger services; insurance; maintenance and repair for equipment; reprint permissions, reproduction,
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 44
photocopying; printing and print production; audio-visual materials and materials development; temporary help; advertising for recruiting new hires; books, journals, periodicals, computer time, library services, and audio-visual services; facility rental and off-site rental; and training space rental. See part 1.22 Printing in this manual for further information on printing.
?
? ?
information on these costs, including details on how costs were calculated (for example, cost per hour, cost per page, cost per square foot) should be provided on this page. Contractors/vendors who have questions regarding allocating costs may contact BT for assistance; clearly identify what items were purchased, the number of items, and the unit cost; and for printing services, documentation must be provided that shows the lowest cost source has been used when printing costs are $5,000 or more.
2.5.5 Schedule of Direct Trainee Cost (OCFS-3106-VIII, A, B, C) Trainee Stipends (OCFS-3106-VIII, A) (see Appendix) and Trainee Tuition and Fees (OCFS-3106-VIII, B) (see Appendix) Document costs for trainee stipends and tuition. Stipends are only allowable for persons preparing for employment. Tuition is limited to full-time, short term training of 4-7 consecutive weeks. Include dates and time periods involved. For tuition, include the following:
? ? ? ? ? ?
the semester the course was taken; the course name and number; the student's name; the number of credits and/or cost per credit; and trainee travel, if applicable; provide number of trainees, number of credits per trainee and amount per credit; and clearly justify related fees such as student activities fees.
Tuition and fees may be charged only for credit-bearing college courses, and only if project staff is not paid to present courses. In most cases, project specifications and project budgets would not include tuition costs. Please note: Some employer-provided educational benefits and educational programs may be taxed under 127 of the IRS Tax Code. Example of Trainee Tuition List of students to support tuition charges: Name Date V. Peterson 9/1/XX J. Hernandez 9/1/XX S. Johnson 9/1/XX M. Wallace 9/1/XX # Credits x Cost 3 @ $150 3 @ $150 3 @ $150 3 @ $150 Total $ 450 $ 450 $ 450 $ 450
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 45
G. Jarrett
9/1/XX
3 @ $150
$ 450 $2,250
Trainee Travel and Per Diem (OCFS 3106-VIII, C) (see Appendix) Trainee travel and per diem reimbursements may be provided to trainees only if these funds are included in the project budget and only if the trainee or trainee's employer is not providing these costs. For all trainee costs, rates in excess of the contract-approved rates must have prior written BT approval, a copy of which must be submitted with the claim. Any variances in costs within a group of trainees must be indicated and claimed the same as staff travel, for example where some trainees receive more meals than others. Include a listing of trainee names, dates, and costs per trainee under each category. Note when planning for trainee travel: for courses that are three (3) or more consecutive days in length, consider what percentage of trainees may travel locally each day receiving mileage only and/or which trainees may require overnight with lodging and meals costs. Personal Car Mileage: ? trainee travel mileage rate is 21 cents per mile. If the trainees’ agencies (local social service district or voluntary agency) want to supplement this rate, they may choose to do so. ? local travel less than 35 miles one way is not eligible for reimbursement. Overnight Stay Requirements: in order to be eligible for overnight stay: ? the training program must be 3 or more consecutive days in length; and ? the trainee must travel 50 miles or more one way to the training site, or the trainee must travel one hour or more one way to the training site. Trainees will be eligible for overnight reimbursement the day before a training if the training begins at 9AM (or earlier) the following day and if any of the above criteria apply. ? to avoid overnight stays, contractors/vendors may use a starting time later than 9:30 a.m. with BT approval; ? if a trainee requests a single room, the trainee or local district must pay the difference between single room rate and one half the cost of a double room rate; ? weekend travel during two week or more residence training is subject to mileage and uniform distance rates. OSC lodging rates can be located by at the following website:http://www.osc.state.ny.us/agencies/travel/travel.htm Meals: must be budgeted at no greater than the following rates: ? $5 breakfast and $20 dinner for Rockland, Westchester, Suffolk, and Nassau counties, and New York City;
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 46
?
$5 breakfast and $15 dinner for all other counties.
2.6 Purchases from Contractors/Vendors Contractors/vendors will be expected to utilize the services of Minority Business Enterprises and Women-owned Business Enterprises for the procurement of goods from vendors. See part 1.15 Affirmative Action in this manual. In addition, contractors/vendors who are eligible to receive a NYS Sales Tax exemption are expected to use the exemption for all purchases. 2.7 Match Policy (Public Agencies Only) OCFS training and administrative activities agreements are funded through a combination of Federal funds authorized under the Social Security Act. Most Federal appropriations provide for Federal Financial Participation (FFP) of 50 to 75 percent of the total cost. The remaining non-Federal share of the costs must be paid with State or local monies. Since OCFS does not have sufficient funds available to cover the entire non-Federal share of all necessary training and administrative activities, a portion of the non-Federal share is generally contributed by other public agencies through MOU agreements. This contribution may be in the form of direct costs (out-of-pocket expenses and in-kind contributions), indirect costs as calculated using an approved Federal rate, or some combination of direct and indirect costs. Contributed costs must be State or local in nature. No private funds may be used as match. All contributions must be documented, verifiable, clearly in support of the project and approved by OCFS. The documentation required for all out-of-pocket expenses, as detailed in this manual, is the same, whether or not they are used to fulfill the match requirement. For example, the training provider must maintain staff time records, invoices, receipts, canceled checks, lease agreements, etc. to document that an actual out-of-pocket cash expenditure was made, even if the total amount of the expense is being donated by either the agency itself or by another public entity through a subcontract. For all inkind contributions (those budgeted items where a value is assigned, but no outof-pocket cash expenditure under OCFS Agreement is incurred) the contractor/vendor must fully and properly document both the source and value of the contributed expense items. General information regarding allowable costs can be found throughout the manual. Excluded costs can be found in part 2.8 Excluded Costs in this manual. To determine that all contributed items are allowable, training providers are required to prove that all in-kind contributions are based on the same cost that would be charged whether or not the costs were being contributed. For example, if an individual contributes time and effort to the project, documentation as to the amount of time contributed is required, along with proof of the appropriate value of that time. For a salaried individual, payroll information would be appropriate. For other individuals that
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 47
contribute time, documentation must be provided to demonstrate what that individual normally receives in consideration for the same services. The OCFS policy on match is based on Federal regulation 45 CFR §92.24. The Federal regulations are available on the Internet at:http://www.gpoaccess.gov/cfr/. The following list includes all of the types of contributed in-kind costs that may be used as match for training and administrative activities agreements. Also listed is the documentation that OCFS will require for each type of in-kind cost. The required documentation listed for each type of expense is the only acceptable documentation for in-kind contributed match, unless authorized otherwise in writing by OCFS: Staff Salaries/Overtime: -if the training provider performs the same or similar work: pay stubs or W-2 forms that show that the service being provided is valued at rates consistent with those ordinarily paid for the same or similar work in the training provider; -if the training provider does not have staff who perform the same or similar work: published job announcements or employment agency records that document that the rates are consistent with those ordinarily paid by other employers for the same or similar work in the same labor market; and -in either instance, a written explanation of how the service provided was directly related to the work being done under the agreement. Note: the value of the service must be based on rates for the kind of service being provided, not the kind of work normally performed by the individual. For example, if an attorney provides other than legal services, the value must be based on the salary paid for the services being provided, not the attorney's salary. Fringe Benefits for Staff: -provide invoices, insurance policies or contracts that show the cost of providing the benefit; and -provide a written explanation of how the service provided by the personnel for whom the benefits are being claimed was directly related to the work being done under the Agreement. Consumable Costs: -provide invoices, catalogs, or other evidence of the appropriateness of the value placed on the items. Space: -provide a fee schedule, brochure, prior invoice, or other written evidence of the value of the exact space being used; if the information is not available for the exact space, information for other comparable space may be used. For example, if the contractor/vendor rents an entire floor of a building and one-third of the space is used for our training project, then one-third of the amount of the rental agreement would be acceptable as match.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 48
Other Costs: -provide fee schedules, prior invoices, lease agreements, catalogs, or other documents that show the price(s) of the item(s) to be purchased. 2.8 Excluded Costs The following items are not eligible for reimbursement regardless of their relationship to project activities:
? ? ? ? ?
? ?
advertising costs, except for recruitment of personnel or procurement of scarce items; capital expenditures for improvement or acquisition of facilities; entertainment costs, including social activities or cost of alcoholic beverages; interest cost, including costs incurred to borrow funds; costs of organized fund raising; costs for attendance at conferences or meetings of professional organizations, or workshops, seminars, or other activities not related to the project; costs for preparation of continuation agreements; and costs related to Independent Annual Audits and other proposal development costs.
2.9 Shared Costs State Finance Law and Generally Accepted Accounting Principles require that any expense incurred over more than one funding source or program must be charged proportionately and the method of allocation must be documented. In order to prevent an audit disallowance, justification of each allocation must be maintained along with other records kept by a funded agency. Shared costs are those common expenditures that are incurred as part of the regular operation of a program, such as staff, utilities, rent, copying machine usage, and postage, which are shared by all or some of the funding sources at that site or program. When a cost is shared by more than one funding source, the method for sharing that cost must be documented. 2.10 Overlapping Contracts/Work Plans Contractors/vendors who have more than one Training and Administrative Activities contract/work plan for the same project or work running concurrently are required to track expenditures separately for each Training and Administrative Activities contract/work plan, and submit an Overlapping Contract Certification (OCFS-4793, see Appendix) with their claims. 2.11. Resubmission Contractors/vendors may receive a rejection/adjustment notice for any voucher that is rejected or adjusted to exclude payment for specific items. To reclaim costs for adjusted/rejected vouchers, contractors/vendors must resolve the issue that resulted in the adjustment/rejection and resubmit only those excluded/rejected items on a separate
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 49
voucher with a copy of the adjustment/rejection notice attached. A photocopy of the original adjusted/rejected voucher is not acceptable. 2.12 Electronic Payments/Direct Deposit The NYS Office of the State Comptroller (OSC) offers an electronic payment option to localities, school districts, vendors, contractors, not-for-profits and other payees that employ electronic transfer of funds to payee bank accounts via the Automated Clearing House. Electronic payments replace payment by check with electronic transfer of funds directly to the payee organization’s bank account. This avoids preparing deposits, mail delays, lost checks or time-consuming check handling. Funds are available to the payee immediately. If the contractor/vendor elects the OSC electronic payment option, contact the project manager if the address differs from the address in your contract/work plan. For further information refer to: www.osc.state.ny.us/epay/index.htm.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 50
3. PROJECT CHANGES
This section offers guidance on the policies and procedures for revisions to certain portions of the contract/ work plan, such as budget modifications, cost and time amendments, and programmatic changes. It also references project/ work plan terminations. Under the terms of the contract/work plan, contractors/vendors are required to notify the Bureau of Training in writing of any significant problems or administrative difficulties within ten (10) days of occurrence. For example, a change in the target group of a project could have significant impact on funding and needs to be reported immediately. Communication with BT project managers is extremely important since many problems can be resolved with their assistance. Some problems should more appropriately be dealt with through contract/work plan changes. There are three types of contract/work plan changes: (1) changes that require approval by OCFS through a request for a budget modification; (2) changes that require formal legal amendment; and (3) programmatic changes that may or may not require a change in a Training and Administrative Activities List, Project Budget, or Training/Administrative Activity Summary included in the formal contract/work plan. 3.1 Budget Modifications Budget modifications are major changes in the allocation of project costs to the various budget categories, such as personnel, fringe benefits, equipment purchase or rental, consumable costs, staff travel, subcontractor/consultant cost, other, trainee costs, and indirect costs. Allocations of project costs are developed well in advance of the contract or work plan start date and, as such, are estimates. When training providers incur costs during project implementation, they sometimes find they have underestimated some costs and overestimated others. Depending on the nature and amount of the change in costs from the approved project budget, training providers may be required to request approval from BT for a budget modification in advance of incurring costs and claiming reimbursement under the modified budget. In some instances, a major change in a project’s scope of work will require a budget modification. Budget modifications cannot increase or decrease the total project cost or reimbursed cost (this may only be accomplished through an amendment to the contract or work plan.) When BT receives and approves a budget modification request, the approved budget modification replaces the prior project budget. It becomes the new approved project budget and is the reference budget from that point in time for submitting claims for reimbursement. The following describes the conditions under which a training provider must request and receive BT prior approval for budget modifications, and is applicable at the project-level to the approved project budget consisting of the Project Budget and, in most instances, the All Other Administrative Activities Sub-budget.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 51
3.1.1 General Rule Changes of ten (10) percent or greater in the dollar value of either the A3-Total Personal Services total or the B14-Total Non-Personal Costs total budget amounts in a project require prior approval. Changes of twenty (20) percentage points or greater in an individual key personnel’s percentage of time on the Section II: Project Personnel Cost page require prior approval. Additions of new project staff and changes in toplevel administrative staff require prior approval. The C1 Total Project Cost budget amount and D1 Amount To Be Reimbursed amount remain unchanged in a budget modification. 3.1.2 Applicable Policies Modifications to Total Personal Services/ Total Non-Personal Services a) The contractor/vendor may make revisions to the budget amounts contained in the approved contract/work plan project up to ten (10) percent of the A3-Total Personal Services total or the B14-Total Non-Personal Costs total, without prior approval of OCFS, except when the change is a twenty (20) percentage points or greater change in an individual key personnel’s percentage of time on the project. These ten percent thresholds apply to the A3-Total Personal Services total or the B14-Total Non-Personal Costs total without regard to the changes in the individual amounts of the various budget categories, such as personnel, fringe benefits, equipment purchase or rental, consumable costs, staff travel, subcontractor/consultant cost, other, trainee costs, and indirect costs. Note: these ten (10) percent thresholds for submitting a budget modification are cumulative. That is, an initial five (5) percent change from the original approved budget would not require a budget modification request, but a second five (5) percent change reaches the threshold of ten (10) percent and would require a budget modification request for the entire ten (10) percent. Example: a project has an approved budget with a C1-Total Project Cost of $210,000, consisting of an A3-Total Personal Services amount of $150,000 ($115,000 in Personnel and $35,000 in Fringe Benefits), and a B14-Total Non-Personal Costs amount of $60,000 ($4,000 in Equipment Rental, $6,000 in Consumables, $10,000 in Staff Travel, $5,000 in Other, and $35,000 in Total Indirect Cost.) In the course of implementing the project, the training provider anticipates the need to increase Consumables by $7,000 to a new amount of $13,000, and decrease Staff Travel by $7,000 to a new amount of $3,000. Because the change to the B14-Total Non-Personal Costs total amount would be less than ten percent (in this example there is no change to the total), no prior BT approval is required for the budget changes. b) Budget revisions of ten (10) percent or more to the A3-Total Personal Services total or the B14-Total Non-Personal Costs total require the submission of a completed budget modification request. See 3.1.3 Submitting Budget Modification Requests below for information and instructions on the forms required for submittal and on the submittal time frame. Example: using the approved project budget in the example above, the training provider anticipates the need to increase Equipment Rental by $2,000 to a new amount of $6,000, increase Staff Travel by $5,000 to a new amount of $15,000, and decrease the Personnel and Fringe Benefits by $7,000. These changes would result in a new amount
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 52
of $67,000 for B14-Total Non-Personal Costs and a new amount of $143,000 for A3Total Personal Services. Because the change to the B14-Total Non-Personal Costs amount would be $7,000 and would be ten percent or more than the approved amount of $60,000, the training provider must submit a budget modification request and receive BT approval before expending funds and submitting claims for reimbursement under the modified budget. c) Budget revision changes apply to single project work plans. In some cases, several projects are contained in one work plan. Revisions to multi-project work plans need to be submitted at the project level. d) Increases and decreases to the C1 Total Project Cost budget amount and D1 Amount To Be Reimbursed amount shall require a formal amendment to the contract/work plan rather than a budget modification. Modifications to Project Personnel e) Project Personnel Revisions- a twenty (20) percentage point or greater change in an individual key personnel’s percentage of time on the project shall be submitted in writing for approval, accompanied by a justification and both a Revised Project Personnel Cost (OCFS-4789) (see Appendix) and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix). Example: a training provider anticipates the need to increase one key trainer’s percent of effort on the project from 50 percent to 75 percent, and decrease another key trainer’s percent of effort from 75 percent to 50 percent. There is no change in the Project Personnel cost total. Because the change would increase a key personnel’s percentage of time on the project by 20 percentage points or more, the training provider must submit a budget modification request with the supporting forms and justification, even though the A3-Total Personal Services amount has not changed by ten percent. f) New Staff- a Revised Project Personnel Cost (OCFS-4789) (see Appendix) and a Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix) must be submitted to modify the personnel category if any new staff members are added, even if the personnel category total remains the same. Start and End dates of both old and new staff members must be clearly noted. A biographical sketch of any newly-hired key project personnel must be attached. g) Changes in Project Director and Other Top-level Administrative Staff- BT must approve, in advance and in writing, anticipated changes in a project director position and top-level project administrative staff. h) Key Personnel- key project personnel are identified at the beginning of the contract/work plan term jointly by the contractor/vendor and the BT project manager. Modifications to Scope of Work Affecting Budget i) Budget revisions that result from major changes in the approved contract/work plan scope of work shall be submitted in writing for approval accompanied by the justification. Major scope changes are generally considered to be fundamental changes
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 53
in the content, target population or methodology from the original Agreement or its subsequent amendments. The contractor/vendor should discuss with the BT project manager whether these revisions can be accomplished by a budget modification, contract/work plan amendment or other solution. See part 3.3 Programmatic Changes below. 3.1.3 Submitting Budget Modification Requests The contractor/vendor is required to submit any and all revisions on a project-by-project basis according to these requirements ten (10) days prior to implementing such revisions. BT will notify the contractor/vendor in writing of OCFS approval of the budget revisions, or will notify the contractor/vendor in writing of OCFS disapproval and identify the reasons for such disapproval. Note that when completing the request, training providers must include an explanation of the changes for each category affected, clearly stating the reason(s) the budget modification is needed and how the funds will be used. When submitting a budget modification request, training providers must be sure that the actual expenses incurred to date under individual budget categories do not exceed the new amounts requested in the budget modification for those categories, or the budget modification request may be returned. Required Forms for Submission Budget modification requests must be submitted with a cover letter and include the following forms: Budget modification request form: ? A Bureau of Training Request for Modification of Project/ Work Plan Budget (OCFS-4796) (see Appendix) signed, with amounts and explanations completed. Supporting documentation forms: ? A Training and Administrative Activities List (OCFS-3102-3) (see Appendix), for all budget modification requests where the project is funded in part or in whole with Title IV-E funds; ? A Revised Project Personnel Cost (OCFS-4789) (see Appendix) only if there are changes to personnel as described above (new staff or a 20 percentage point increase or decrease change in key personnel); ? A revised All Other Administrative Activities Sub-Budget (OCFS 3104B, I) (see Appendix), for all budget modification requests where the project is funded in part or in whole with Title IV-E funds; and ? A Public Vendor Share Worksheet (OCFS 4798) (see Appendix), for all budget modification requests where the project budget includes public match. BT project managers may request additional supporting documentation as they review budget modification requests. In contracts/work plans with multiple projects, a combined or roll-up budget modification will be required at the work plan level. In addition, individual project budgets are required to be submitted.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 54
Instructions for Completing Bureau of Training Request for Modification of Project/Work Plan Budget (OCFS-4796) (see Appendix) Contractors/vendors shall use the most current information contained in the approved or amended contract/work plan or latest approved budget modification as a reference when completing this form:
?
?
?
? ?
?
Complete the top section of the form to reflect the most recent budget contained in the approved or amended contract/work plan or latest approved budget modification; Column 2, Current Approved Budget: Insert the figures shown on the Budget Summary Page in the most recent budget contained in the approved or amended contract/work plan or latest approved budget modification; Column 3, Revision Requested: Insert the amount of funds to be added (+) or subtracted (-) from each of the categories. If no change is required, insert a zero (0) for that category; Column 4, Proposed Revised Budget: Add or subtract the figures in column 3 from the figures in Column 2; Column 5, Explanation: Include a narrative explanation in each category affected. Clearly state the reason(s) a budget modification is needed and how the funds will be used; and The person who signs the request form must have the authority in the organization to request the modification.
Budget modification requests should be submitted with a cover letter that clearly supports and justifies all changes requested to: NYS Office of Children and Family Services Bureau of Training/ Finance and Administration Unit Capital View Office Park North Building Room 227 52 Washington Street Rensselaer, NY 12144-2796 3.2 Contract/Work Plan Amendments Any situation requiring a potential contract/work plan amendment should be brought to the attention of the BT project manager as early as possible. Staff from BT will review the situation with the training provider, determine whether an amendment is warranted, identify which amendment approach and forms are necessary in those instances where an amendment is warranted, and contact the training provider with specific guidance on how to proceed. The most common types of amendments to contracts/work plans are: No-cost Extension (time extension); Amendment with Cost; and Amendment with Cost and Time.
3.2.1 No-cost Extension (time extension) A No-cost Extension may be provided at OCFS’s discretion as a result of delays that have prevented the timely commencement or completion of a contract/work plan. A No-
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 55
cost Extension involves extending the operational dates of the contract/work plan with no increase in the total project budget. 3.2.2 Amendment with Cost OCFS, at its discretion, may occasionally increase the costs and deliverables of a contract/work plan. This usually occurs within the term of the current contract/work plan. Cost may be increased when OCFS requests additional activities or a modification of existing project activities. Cost increase amendments need to be clearly justified and will not be approved for "higher than anticipated costs." 3.2.3 Amendment with Cost and Time Occasionally, OCFS will use its discretion to increase the cost and deliverables of a contract/work plan and extend the term of the contract/work plan beyond the closing date. 3.3 Programmatic Changes It is BT’s policy to track all training deliverables and require training providers to completely and satisfactorily deliver all the training services as specified in the Training and Administrative Activities List and the Training/Administrative Activity Summary. However, in some instances OCFS re-considers the deliverables contained in a project and effects formal changes in the scope of work of a work plan or contract to allow agreed-upon revisions. The need for a programmatic change may be based on unforeseen changes in training needs or in training delivery, and may be identified as a result of the project manager’s observations of current training delivered in the field, or from observations by program divisions, local districts, or the training provider. Planned changes in program content, nature, or scope of activities may require the submission and approval of a revised Training and Administrative Activities List (OCFS3102-3). Such changes may also require a budget modification or contract/work plan amendment. In all instances, programmatic changes must be discussed with the BT project manager in advance. Programmatic changes must be approved by OCFS in writing. In addition, any other change must be discussed and approved by the BT project manager, who will provide guidance as to whether a contract/work plan amendment may be appropriate. Contractors/vendors must identify, in writing, the person(s) who will be responsible for directing the work to be done under the contract/work plan. Some of the information required may be name, title, annual project salary, percent of project effort, and resume. No change or substitution of the responsible person(s) will be made without prior approval in writing by the BT project manager. 3.4 Project/ Work Plan Terminations For public providers of training services under a MOU, a work plan or project may be terminated by either party within thirty (30) days after providing written notice pursuant
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 56
to Sections 4.2 Modifications of Program Work Plans and Program Budgets, 5.1 Advance Payments, 7.5 Cessation of Program Activities, 7.6 Close out in the Event of Termination, and 8.4 Notices of the MOU. For private, not-for-profit organizations providing services under a contract, the contract and its appendices specify the circumstances and timeframes under which the agreement may be terminated.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 57
4. REPORTING
Required quarterly reports have a twofold purpose: to provide an official means for documenting the activities each contractor/vendor has performed and who participated in them; and to allow contractors/vendors to provide a historical record regarding the outcome of deliverables, including the success of the activities, identification of problems, and actions taken to resolve problems. This section covers requirements for preparing and submitting quarterly reports to BT on the progress in delivering the training services contained in the contract or work plan. While quarterly reports are a necessary part of documenting deliverables, it is critical that contractors/vendors maintain timely and on-going communication with their Bureau of Training project managers. Any problems should be reported promptly as they are encountered, and should be included in the quarterly report. As such, even if the contractor/vendor communicated with the BT project manager during the quarter by email, by letter, or in person on progress of activities, and problems that arose during the quarter and actions taken, the contractor/vendor should include those actions and activities in the quarterly report. Note: While this section describes the required information and forms for quarterly reports for all training and administrative activities projects, BT, in some instances, may need additional quarterly reporting in areas specific to particular projects. For example, projects that address the federal Child and Family Services Review (CFSR) through training support may require certain information to be reported for OCFS’s use in documenting its Program Improvement Plan. Other reporting areas, such as information required to comply with legal actions, cannot be identified in advance but may be required nonetheless. In these instances, the BT project manager will work with the training provider to establish the nature, scope, and format for the required information. Time Periods: Quarterly reports cover the periods of January-March, April-June, JulySeptember, and October-December. Submission: BT requires quarterly reports, including the fourth quarter report, to be submitted within thirty (30) days of the close of the quarter. Authorization for voucher payments may be withheld from all contractors/vendors who are thirty (30) or more days late in submission. Contractors/vendors must submit their quarterly reports electronically to this email address: [email protected]. Forms and Format: Most quarterly reports should follow the format as described below under 4.1 Quarterly Reports for Training and Administrative Activities. When reporting on Outstationed Staff projects, follow the format described below under 4.2 Outstationed Staff Quarterly Reporting.
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 58
4.1 Quarterly Reports for Training and Administrative Activities Quarterly reports for training and administrative activities consist of the following parts: 4.1.1 Quarterly Report Summary, 4.1.2 Affirmative Action Quarterly Report, 4.1.3 Quarterly Evaluation Report, and 4.1.4 Final Summary (include only with the 4th quarter report). 4.1.1 Quarterly Report Summary Use Bureau of Training- Training and Administrative Activities Quarterly Report Summary (OCFS-4799) (see Appendix) to provide the following information: Identifying Information for the Contract/Work Plan Summary of Deliverables- list, for both contracted and actually completed deliverables for the quarter (include all the training and administrative activities identified in the Training and Administrative Activities List - OCFS-3102-3), the name of the deliverable, the number of training days, and the number of trainees. Narrative Section A. Training and Administrative Deliveries- describe the project's progress in meeting training and administrative deliverables for the quarter, including any difficulties in achieving objectives and actions taken to resolve these difficulties. Discuss known reasons for trainee dropouts. List canceled courses with the reasons for their cancellation and the rescheduled date. Discuss unusual or unexpected results including why courses did not meet the established learning expectations. B. Technical Assistance- describe technical assistance efforts and results. Report any issues that have developed. C. Conferences- report on number of trainees, suitability of conference location, keynote speakers, seminars, and workshops. D. Curriculum Development- report on progress with curriculum and material development. E. Distance Learning/Computer Based Instruction- report on progress of distance learning activities and computer-based instruction. F. Project Administration- report on project administration and on any issues, including staffing changes, and actions regarding budget modifications, no-cost extension amendments, and cost-increase amendments. See part 3. Project Changes of this manual for guidance on policies and procedures regarding changes to the contract/ work plan. G. Other Program Activities- report on other project activities not listed above. Include requests from potential trainees for training or related activities funded by NYS OCFS, particularly in cases where the need cannot be readily met through scheduled activities. If not discussed elsewhere in the report, include a discussion of plans for key initiatives that will take place later in the project term, such as planned pilot course offerings, planned curricula and materials development activities, or planned noteworthy activities of project staff. In the Narrative Section, include under the appropriate categories of A through G the progress and results of activities produced through any public vendor share contained in
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 59
the project budget, if applicable. Examples of such services include services and work products provided through college or university faculty. Note for those training agreements that are amended through no-cost amendments or cost and time amendments to be longer than 12 months and extend beyond the 4th quarter: the Bureau of Training- Training and Administration Activities Quarterly Report Summary (OCFS 4799) form is designed for the majority of training agreements that are four calendar quarters in length. The “Completed by Quarter” columns of this form contain only quarters 1 – 4. For those agreements that extend beyond four quarters, use a second form to document deliverables and re-name the “Completed by Quarter” columns to “5,” “6,” as needed. 4.1.2 Affirmative Action Quarterly Report Refer to part 1.15 Affirmative Action in this manual for relevant requirements. These requirements include a copy of the current staffing plan (Project Staffing Plan OCFS4629) (see Appendix) if there have been changes, and a report on progress made in utilizing M/WBEs (M/WBE Subcontractors and Suppliers Letter of Intent to Participate Form OCFS-4630) (see Appendix) for the procurement of contract/work plan related goods and subcontracting services. If there have been no changes in the Project Staffing Plan during the quarter, then the Affirmative Action Quarterly Report section should state this. 4.1.3 Quarterly Evaluation Report The Quarterly Evaluation Report, completed by the training provider as part of the overall quarterly report submission for a particular training project, summarizes by training activity title all the results of evaluation efforts for the quarter. Using the Bureau of Training- Training and Administrative Activities Quarterly Evaluation Report (OCFS-4734) (see Appendix) form, training providers report on the following aspects of training activity evaluation: demographics, evaluation findings and conclusions, training activity enhancements, and recommendations for future enhancements. For those training activity titles that had deliveries during the quarter, include: A. Demographics Provide a description of the trainees who participated in the training activity deliveries during the quarter, covering job titles, type of agency in which employed, and years of experience in present job. Include the number of trainees completing the training activity and the number completing the evaluation instruments. B. Evaluation Findings and Conclusions This section must comprehensively and objectively assess the effectiveness of the training activities delivered during the quarter. It must include a description of the evaluation results for participant reactions, learning gain, and impact on participants’ job performance, and explain any evaluation standards used and discuss the interpretation of the results. It must also explain any instances where the project’s evaluation
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 60
requirements were not adhered to and why, and any evaluation methodologies used beyond what is required (for example, added questions to the Participant Response Questionnaire). See part 1.5 Evaluation Requirements in this manual for required and recommended evaluation methodologies. Section B. has four parts: Participant Reactions; Pre/Post-tests; Impact on Job Performance; and Conclusions: Participant Reactions- summarize results of participant reaction questionnaire ratings and open-ended questions. Comment on lower than expected or unusual ratings. Note that participants’ open-ended responses are already available in STARS for each course delivered, so there is no need to compile them as part of this summary. Pre/ Post-tests- summarize the pre- and post-tests administered, with the pre- and posttest results comparison, mastery results, and skill development if measured. Comment on deliveries showing a less than a significant learning gain or where results are less than expected. Submission of Pre-tests and Answer Keys: for the first quarterly report of each contract/ work plan year, include a list of all courses for which pre/post-tests are used with the date the tests were approved by the BT project manager and the quarterly report time period for which copies of the pre-test and answer key were last submitted. Whenever there is a new pre/post-test or a revision to a pre/post-test that has been approved by a BT project manager during the quarter, submit a copy of the test and answer key with the approval date with the quarterly report. These pre-tests, answer keys, and lists should be included with the quarterly reports specific to the project. Impact on Job Performance- summarize the transfer of learning and impact on job performance, if measured. Conclusions- analyze the evaluation results for each training activity title and provide conclusions as to the training activities’ effectiveness in developing and maintaining participants’ job-related knowledge and skills, and in enhancing job performance. C. Summary of Training Activity Enhancements Describe how the evaluation findings and conclusions, including participant reaction questions, pre- and post-tests, skill development measurements, and impact on job performance, have been used to enhance training content, training design, and training delivery during the quarter. D. Recommendations for Future Enhancements Based on evaluation results and any formative evaluation that has occurred, discuss any recommendations for OCFS consideration on training activity changes that may enhance participants’ learning in the classroom and learning gains on the job. Unless otherwise specified, supporting data on participants’ evaluations (that is, individual responses to Participant Reaction Questionnaires and to pre- and post-tests), need not be submitted to the Bureau of Training as part of the Quarterly Evaluation Report. Completed Participant Reaction Questionnaires must, however, be entered into STARS as training activities are delivered and closed out as described in part 1.5 Evaluation Requirements of this manual. The contractor/vendor must also keep evaluation results data on file and available to OCFS for the records retention period of
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 61
six years. OCFS reserves the right to require contractors to retain records for a longer period of time. Training providers must formulate their own plan for evaluating the impact and the effectiveness of outstationed staff and receive prior BT project manager approval. 4.1.4 Final Summary (include with 4th quarter report) The fourth quarter report serves as the final report and must include the Final Summary. The Final Summary provides a summary of the effectiveness/ impact/ outcome for each training activity during the contract/work plan period, and highlights successes and difficulties. Include by activity an aggregate of evaluation results for learning gain, such as pre- post-test results, and progress achieved in meeting OCFS’s priorities. Special Notes Statewide Training Automated Registration System (STARS)- BT provides contractors/vendors access to an on-line, real-time application where they will enter and maintain all training data. STARS is the system of record for documenting training deliverables. Contractors/vendors are required to use it as such. Although STARS is not part of the quarterly report process, BT project managers rely on up-to-date data within STARS to monitor the progress of training programs and evaluation results. See part 1.8 Contract/Work Plan Deliverables in this manual for more information. Eligible Trainees- due to funding requirements, the training population for OCFSsponsored training projects is limited to certain eligible groups as described in part 1.11 Eligible Trainees of this manual. Although reporting on participation in training of voluntary agency staff and child welfare stakeholder staff is not part of the quarterly report requirements, trainers should review Training and STARS Enrollee Rosters to determine if trainees have completed rosters accurately. Project managers will review this information periodically to monitor voluntary reporting status. 4.2 Outstationed Staff Quarterly Reporting Outstationed staff are project staff specifically hired to perform training or trainingrelated activities under a training contract or work plan and assigned to work off-site or off-campus at State-owned locations. Quarterly reports for outstationed staff consist of the following parts: 4.2.1 Outstationed Staff Quarterly Report Summary, 4.2.2 Individual Outstationed Staff Quarterly Report(s), and 4.2.3 Final Summary (include only with the 4th quarter report). 4.2.1 Outstationed Staff Quarterly Report Summary Use the Bureau of Training Outstationed Staff Quarterly Report Summary (OCFS 4876) (see Appendix) to provide the following information: A. Outstationed Staff Listing For each outstationed staff position, include staff name, job title, and office location. As applicable, include any change in status and the effective dates that occurred during the
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 62
quarter, such as new hire, resignation, out on leave, change to part-time or full-time status, temporary hires, and change in salary. B. Project Administration Report on overall project administration issues, such as searches to fill vacant positions, personnel changes or issues for key staff other than outstationed staff, and changes to the project such as amendments, budget modifications, and programmatic changes. C. Evaluation Training providers must formulate their own plan for evaluating the impact and effectiveness of outstationed staff, and include a summary of these results in the Outstationed Staff Quarterly Report. Under “Process of Outstationed Staff Evaluation,” discuss the status of outstationed staff performance evaluations. Under “Evaluation of Training Delivered by Outstationed Staff,” discuss the results of any Participant Reaction Questionnaires for activities such as Classroom Training and Distance Learning. In addition, training providers may use the Bureau of Training- Training and Administrative Activities Quarterly Evaluation Report (OCFS-4734) (see Appendix) to report on evaluation of training activities. D. Narrative to Affirmative Action Report Refer to the requirements described in 4.2.1 Affirmative Action Quarterly Report above. Under “Staffing Changes,” include a copy of a revised staffing plan (Project Staffing Plan OCFS-4629) (see Appendix) if there have been changes in staffing such as new hires, resignations, or significant changes in percentages of effort from the approved Project Staffing Plan or from the previous quarter. If there have been no changes in the Project Staffing Plan, then state this. Complete the section entitled “Progress in Utilizing M/WBEs in Subcontracted Goods and Services.” 4.2.2 Individual Outstationed Staff Quarterly Report(s) Use the Bureau of Training Individual Outstationed Staff Quarterly Report (OCFS 4797) (see Appendix) to report project activities for each outstationed staff person. In addition, contractors/vendors must report on the percentage of time for training and administrative activities of outstationed staff for projects that include Title IV-E funding. The contractor/vendor must contact the BT project manager immediately if the training or administrative percentage changes from the approved work plan. Each outstationed staff person should review their individual report with their program area NYS supervisor prior to submission of the report to BT. 4.2.3 Final Summary (include with 4th quarter report) Refer to the requirements described in 4.1.4 Final Summary above. 4.3 Annual State Contractor’s Employment Disclosure (for private, not-for-profit contractors/vendors) NYS legislation has provided for greater public disclosure of consulting services under contracts with State agencies. Under this legislation, State contractors are required to disclose certain information pertaining to employees and consultants/subcontracts. Chapter 10 of the Laws of 2006 require that contractors annually report, to the contracting agency (OCFS), the NYS Department of Civil Service, and the NYS Office of the State Comptroller (OSC), the number of persons employed to provide services
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 63
under the contract, the number of hours worked, and the amount paid to the contractor by the State as compensation. This includes information on both contractor employees and persons working under any consultant/subcontractor agreements. For BT-sponsored training, these requirements apply directly to contracts and amendments with private, not-for-profit training providers. The State Consultant Services- Contractor’s Annual Employment Report (OCFS-4843 Form B) (see Appendix) is used to report the information. This form is submitted each year the contract is in effect and captures historical information, detailing actual employment data for the most recently concluded State fiscal year (April 1- March 31). Reports are due no later than April 30 of each year for the previous fiscal year that ends March 31. See the Appendix for State Consultant Services Contractor’s Annual Employment Report (OCFS-4843 Form B). For background information, OSC’s Bulletin No. G-226 may be accessed on the Internet at:http://www.osc.state.ny.us/agencies/gbull/g-226.htm The contractor must submit a completed original signed Form B to OCFS, Attention Kevin Sweet, at the below address, and a copy directly to the NYS Office of the State Comptroller and to the NYS Department of Civil Service at the addresses below: OCFS by mail only: NYS Office of Children and Family Services Bureau of Contract Management Capital View Office Park- Room 202 South Building 52 Washington Street Rensselaer, NY 12144 Attn: Mr. Kevin Sweet NYS Office of the State Comptroller by mail: NYS Office of the State Comptroller Bureau of Contracts 110 State Street, 11th Floor Albany, NY 12236 Attn: Consultant Reporting By fax: (518) 474-8030 or (518) 473-8808 NYS Department of Civil Service by mail only: NYS Department of Civil Service Alfred E. Smith State Office Building Counsel’s Office 80 South Swan Street Albany, NY 12239
___________________________________________________________________________________________ Project Operations Manual January 2009 Page 64
doc_878648746.pdf