3202600209 Project SEARCH Services - Attachment 05

Joe Esparza, Chairman and Commissioner

Representing Employers

Alberto Treviño III, Commissioner

Representing Labor

Brent Connett, Commissioner

Representing the Public

Steve Pier, Executive Director

Attachment 05 – Chapter 03 and Sample Forms

For

3202600209 Project SEARCH Services

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Contents Chapter 3 : Basic Standards

3.1 Overview of the Basic Standards

3.1.1 Terms Used in the Manual

3.1.2 Contract Adherence

3.1.3 Contract Noncompliance and Performance Deficiencies

3.1.4 Legally Authorized Representative

3.1.5 TWC Vocational Rehabilitation Contacts

3.1.6 Contract Types

3.1.7 Staff of the Contracted Provider

3.2 Basic Standards - All Contract Types

3.2.1 Informed Choice

3.2.2 Customer Communication and Language Needs

3.2.3 Professionalism

3.2.4 Conflict of Interest

3.2.5 Marketing

3.2.6 Referrals to VR by a Provider

3.2.7 Confidentiality

3.2.8 Fraud, Abuse, Misconduct, and Waste

3.2.9 Safe and Secure Environments

3.2.10 Allegations or Incidents of Abuse, Neglect, or Exploitation

3.2.11 Incident Reporting

3.2.12 Purchasing Goods and Services

3.2.13 Services, Goods, and/or Equipment and Premium Fees

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3.2.14 Documentation

3.2.15 Forms

3.2.16 Signatures

3.2.17 Record Storage and Retention

3.2.18 Background Checks

3.3 Contactor Standards for Physical Locations

3.3.1 Definition of Physical Location

3.3.2 Exemptions to Physical Locations

3.3.3 Required Accessibility and Safety Records

3.4 Basic Standards for Service Providers

3.4.1 Headquarters

3.4.2 Director

3.4.3 Staff Qualifications

3.4.4 Staff-Required Documentation

3.4.5 Temporary Waiver of Staff Qualifications

3.4.6 Customer Orientation

3.4.7 Service Delivery

3.4.8 Remote Service Delivery

3.4.9 Transportation

3.4.10 Training Materials

3.4.11 Contracted Services Modification Request

3.4.12 Termination of Service Delivery

3.5 Basic Standards for Goods Providers

3.5.1 Parent Company

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3.5.2 Local Business

3.5.3 Point of Contact

3.5.4 Contractor Qualifications

3.5.5 Contract Modification Request for Goods

3.6 Contract Monitoring

3.6.1 Ongoing Monitoring

3.6.2 Compliance Monitoring

3.6.3 Unscheduled or Unannounced Compliance Monitoring

3.6.4 Monitoring Team

3.6.5 Monitoring Review

3.6.6 Report of the Monitoring Results

3.6.7 Corrective Action Plan (CAP)

3.6.8 Monitoring Closeout

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Vocational Rehabilitation Standards for

Providers Manual

CHAPTER 3 : BASIC STANDARDS

All providers must comply with this chapter of the VR Standards for Providers manual.

3.1 OVERVIEW OF THE BASIC STANDARDS

The VR Standards for Providers (VR-SFP) manual focuses on the business practices, processes, and policies that the Texas Workforce Commission (TWC) and the contracted provider must follow to comply with federal and state laws, executive orders issued by the Governor of Texas, and TWC rules and requirements.

TWC must ensure that taxpayer funds are spent wisely and provide the best value to the taxpayer. The standards that providers must meet ensure that

Vocational Rehabilitation (VR) customers receive quality services to help them achieve their vocational rehabilitation goals.

Each provider is expected to be familiar with and comply with the most recently published standards and use the most recently published forms applicable to their contract. Each provider must maintain a VR3443, TWC VR

Standards for Providers Certification form on file with their Regional Quality

Assurance Specialist (Q) or Region Program Support Specialist (RPSS). The form must be submitted with the contract application package and updated whenever there is a change in the information, such as a change in qualifications.

3.1.1 Terms Used in the Manual

The following terms are used throughout the VR-SFP:

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• Business Day - A business day is the working days that VR offices are open for business (typically Monday through Friday, 8:00 a.m. through

5:00 p.m., excluding State of Texas observed holidays).

• Contractor - A contractor is an entity or individual awarded a contract with TWC to provide goods and/or services. Sometimes used interchangeably with the term “provider” or “service provider.”

• Employment Services Provider (ESP) —An ESP is a provider that has a contract with TWC to provide employment-related services to customers.

• Incident - An incident is an unusual or unexpected event that compromises or may compromise the health and/or safety of individuals or the security of property.

• Provider - A provider is any individual or business from which a VR counselor may obtain goods and/or services for VR customers.

• Service Provider - Service Providers are entities or individuals approved to provide services to individuals with disabilities who receive VR services or ILS-OIB.

3.1.2 Contract Adherence

TWC only contracts with providers that are in full compliance with all chapters in the VR-SFP manual that relate to the contractor’s contract. Each contractor is required to undergo a review and comply with periodic monitoring activities to ensure continued compliance with the standards. For additional information about Contract Monitoring, refer VR-SFP 3.6 Contract Monitoring.

Contracted providers that provide goods or services listed in the VR-SFP manual must be in full compliance with the following:

• The following chapters of the VR-SFP:

o Chapter 1: Introduction to Vocational Rehabilitation;

o Chapter 2: Obtaining a Contract for Goods or Services;

3202600209 Project SEARCH - Attachment 05 Page 7 of 62 o Chapter 3: Basic Standards;

• The chapters associated with the services or goods included in the contractor's contracts;

• Service authorizations (SA); and

• All applicable clauses in the contracts.

Revisions to the VR-SFP are posted on the Vocational Rehabilitation Providers’

Resources (texas.gov) at least 30 days before the effective date of the revisions. A revision list that summarizes any formal changes to the VR-SFP can also be found on the Vocational Rehabilitation Standards for Providers

Manual | Texas Workforce Commission.

It is the contractor’s responsibility to be aware of revisions to the standards and to implement the changes as prescribed.

It is recommended all contractors sign up for TWC's GovDelivery notices to ensure they are alerted to changes to the VR-SFP. Visit Texas Workforce

Commission (govdelivery.com) and select “Vocational Rehabilitation

Contractors and Provider News” to subscribe.

Failure to follow applicable standards and contract requirements may result in adverse consequences, such as denial of payments, recoupment of payments, suspension as a provider of VR services, or loss of an awarded contract.

If a provider is unwilling or unable to change in a timely manner the provision of services or goods as prescribed, the provider must contact the Q or RPSS.

Questions related to the content found in the VR-SFP may be sent to vr.standards@twc.texas.gov.

3.1.3 Contract Noncompliance and Performance Deficiencies

TWC may suspend a contractor from providing services and goods on a temporary basis for reasons such as:

https://www.twc.texas.gov/partners/vocational-rehabilitation-providers-resources https://www.twc.texas.gov/partners/vocational-rehabilitation-providers-resources https://public.govdelivery.com/accounts/txwc/subscriber/new https://public.govdelivery.com/accounts/txwc/subscriber/new https://public.govdelivery.com/accounts/txwc/subscriber/new mailto:vr.standards@twc.texas.gov

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• failure to meet contract specifications;

• failure to comply with agency regulations;

• failure to comply with applicable state or federal law;

• failure to perform according to the terms and conditions of the contract;

• unprofessional behavior;

• failure to train, supervise or correct employees and subcontractors;

• failure to maintain internal controls;

• a substantial risk to the health, safety, or welfare of one or more customers;

• a pattern of not complying with various TWC policies or requirements;

• a pattern of spreading misinformation about the VR system or any individuals or contractors in the VR system;

• a persistent lack of concern among contactor leadership with the topics on this list; or

• any other cause of so serious or compelling in nature that it affects the contractor’s ability to perform under the contract or presents an imminent risk of harm to any individual or risk of liability for the agency.

Suspension means halting new SAs or reassigning existing SAs to a different contractor, or both. Depending on the type and severity of the noncompliance, TWC may require the contractor to make specific improvements before the contractor resumes providing services. A written

Technical Assistance Plan (TAP) will be used in some cases.

In addition to a temporary suspension and a TAP, TWC may take adverse actions against the contractor, including recouping overpayments, or even contract termination and debarment. Refer to Title 40, Texas Administrative

Code, Chapter 858.

https://texreg.sos.state.tx.us/public/readtac$ext.ViewTAC?tac_view=4&ti=40&pt=20&ch=858&rl=Y https://texreg.sos.state.tx.us/public/readtac$ext.ViewTAC?tac_view=4&ti=40&pt=20&ch=858&rl=Y

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3.1.4 Legally Authorized Representative

Each contractor must have a legally authorized representative to sign contracts, official documents such as:

• VR3472, Contracted Services Modification Requests;

• Application and contract-related documents and forms; and

• Verification statements.

3.1.5 TWC Vocational Rehabilitation Contacts

The contractor’s primary TWC contacts include the following:

• Administrative Supervisor - An administrative supervisor is a VR staff member who supervises the work of a unit’s rehabilitation assistants and works with staff to identify, prevent, and resolve concerns.

• Contract manager - A contract manager is the assigned VR contact for helping with contract-related issues.

• Local Provider Liaison (LPL) - the LPL is the VR contact for ESPs who answer the routine questions asked by contractors and their staff about

VR programs and the standards required for providers.

• ILS-OIB customer - An ILS-OIB customer is an individual age 55 or older who, due to their significant visual impairment, is limited in their ability to function independently when apart from their family or in their home or community and is in need of ILS-OIB, which may substantially improve their ability to function, continue functioning, or progress toward functioning independently when apart from their family or in their home or community.

• ILS-OIB worker - An ILS-OIB worker is the primary contact for customer-related items and who directs the ILS-OIB contractor in the provision of services to ILS-OIB customers. The ILS-OIB worker coordinates cases, provides counseling and guidance, determines a

3202600209 Project SEARCH - Attachment 05 Page 10 of 62 customer's eligibility, and develops and manages comprehensive independent living plans for ILS-OIB customers.

• Purchasing Specialist - A purchasing specialist is a VR staff member who provides purchasing actions for complicated cases or in cases where the caseload carrying team needs additional expertise.

• Regional Quality Assurance Specialist (Q) or Regional Program Support

Specialist (RPSS) - These specialists maintain specific forms on file for the provider. They also approve forms needed to add services to the contract and to expand the contractor’s service area, help providers with open enrollment questions, and work with providers during the application process. They are a VR contact for answering questions about the VR program, processes and procedures, and the VR-SFP. Each

Q or RPSS serves a different region of the state.

• Rehabilitation assistant (RA) - The rehabilitation assistant is a VR staff member who provides technical support to a counselor, supports the counselor in providing assistance to the customer, acts as a contact for the customer, and is often the point of contact when a provider has questions about SAs and invoicing.

• VR customer - A VR customer is an individual who has a physical or mental impairment that results in a substantial impediment to employment and who requires VR services to prepare for, secure, retain, advance in, or regain employment.

• VR manager/VR supervisor - The VR manager and VR supervisor work together to provide support, direction, and oversight of direct customer services for their assigned unit.

• VR counselor - The VR counselor is the primary contact for customer-related items. The VR counselor provides counseling and guidance, determines a customer's eligibility, and develops the individualized plan

3202600209 Project SEARCH - Attachment 05 Page 11 of 62 for employment (IPE) with VR customers.

3.1.6 Contract Types

The following sections describe the primary contract types used by TWC-VR.

Service Contracts

Service contracts are used when a provider completes tasks or provides services described in the VR-SFP manual, such as the following examples:

• Orientation and Mobility Training

• Diabetes Education Training

• Assistive Technology Services for Customer with Visual Impairments

• Independent Living Services for Older Individuals who are Blind

• Supportive Residentials Services for Persons in Recovery

• Wellness Recovery Action Plan (WRAP)

• Pre-Employment Transition Services

• Project SEARCH

• Employment Services

• Self-Employment

• Employment Supports for Brain Injury

• Benefits Counseling

Goods Contracts

Goods contracts are used when a contractor provides a product for the customer, as described in the VR-SFP, such as when providing one of the following:

• Durable Medical Equipment

• Hearing Aids

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• Vehicle Modification

Communication Access

Communication access services is a global term that describes the provision of sign language interpretation, transliteration, and/or Communication Access

Realtime Translation (CART) services to those with hearing and/or speech disabilities. Communication access service contractors are instruments in providing effective communication access for customers. These services are governed by the Code of Professional Conduct – Registry of Interpreters for the Deaf or the Code of Professional Ethics - Association for Court Reporters and Captioners (NCRA.org).

3.1.7 Staff of the Contracted Provider

A contractor may hire employees or use subcontractors. If the contractor uses subcontractors, refer to the contract for the subcontracting requirements.

Contractors must have the following on file for every employee:

• A completed US Department of Justice Form I-9 Employment Eligibility

Verification, as applicable (refer to United States Citizenship and

Immigration Services).

• A signed W-4 form from the IRS unless the staff member is a subcontractor.

A contractor's employees and subcontractors that are under contract to provide VR goods and/or services and/or ILS-OIB goods and/or services are not TWC employees, are not eligible for TWC employee benefits, and must not represent themselves as state employees. The contractor must provide all legally required unemployment insurance (UI) and workers' compensation insurance.

3.1.7.1 Subcontractors

The contractor accepts liability and retains responsibility for the performance https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://www.uscis.gov/ https://www.uscis.gov/

3202600209 Project SEARCH - Attachment 05 Page 13 of 62 of subcontractors that provide services under the terms of their contract.

Subcontractors providing services under the contract must meet the requirements and qualifications required in the standards.

No subcontractor may relieve the contractor of the responsibility of ensuring that the contracted services are provided according to the standards. The contractor accepts responsibility for compensating any party with which the provider enters a subcontract relationship.

3.2 BASIC STANDARDS - ALL CONTRACT TYPES

Contractors must ensure all the contractor’s employees and subcontractors conduct business according to the VR-SFP and all professional standards required by the licensing or credentialing entity when applicable.

Below are the minimum standards required by all contractors and their staff, including subcontractors, must follow.

3.2.1 Informed Choice

It is the VR counselor and the Independent Living Services for Older

Individuals who are Blind (ILS-OIB) worker’s responsibility to help the customer in exercising informed choice. The VR counselor and ILS-OIB worker provide customers with informed choice by providing information and assistance to customers that enables them to exercise informed choice in the development of their individualized plans for employment. This includes the selection of an employment goal, specific vocational rehabilitation services needed to achieve the employment goal, entity that will provide each good or service, employment setting, and the settings in which goods and services will be provided.

Individuals with disabilities must be active participants in their own rehabilitation programs and make meaningful and informed choices about the selection of their vocational goals and objectives and the VR services they receive based on their unique strengths, resources, priorities, concerns, 3202600209 Project SEARCH - Attachment 05 Page 14 of 62 abilities, capabilities, and interests. Refer to 34 CFR §361.45 and 34 CFR

§361.52.

3.2.2 Customer Communication and Language Needs

Each contractor must coordinate with the customer's VR counselor or ILS-OIB worker to ensure that all verbal and written communications between the contractor and the customer are conducted in the customer's preferred or native language. The following are examples of possible preferred methods of communication:

• Using a language interpreting service;

• Using training or service materials written in either large print, a customer’s native language, Braille, or a third grade reading level for non-readers.

If communication services are needed, the contractor is responsible for scheduling the services in a timely manner through the customer's VR counselor or ILS-OIB worker. To avoid any extra fees, the contractor should provide either the VR counselor or ILS-OIB worker at least three business days’ notice to schedule communication services.

3.2.3 Professionalism

Contractors, their employees, and any subcontractors must perform in a professional manner and dress in business casual attire that is appropriate for the following work activities and workplaces:

• Interacting with VR customers and staff;

• Providing services or goods; and

• Visiting VR offices.

A professional manner is defined as, but not limited to, the following:

• Clothing appropriate to the training or educational setting;

https://www.ecfr.gov/current/title-34/subtitle-B/chapter-III/part-361/subpart-B/subject-group-ECFR8c5f55ccf5c0da2/section-361.45 https://www.ecfr.gov/current/title-34/subtitle-B/chapter-III/part-361/subpart-B/subject-group-ECFR8c5f55ccf5c0da2/section-361.52 https://www.ecfr.gov/current/title-34/subtitle-B/chapter-III/part-361/subpart-B/subject-group-ECFR8c5f55ccf5c0da2/section-361.52

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• Assuming responsibility and accountability for all decisions and actions;

• Complying with all licensing, credentialing and/or accreditation requirements;

• Delivering quality services or goods to customer by promoting objectivity, non-discrimination, and sound business practices;

• Respecting and supporting the customer’s and VR staff’s decisions in the customer’s IPE;

• Maintaining the confidentiality of all customer information in full compliance with state and federal regulations;

• Submission of accurate, complete reports and other required documentation in a timely manner;

• Collecting signatures and date signed from the signee;

• Not engaging in fraud, waste, or abuse when delivering or invoicing for a service or good;

• Maintaining professional communication with VR staff and customers;

• Not allowing a third party to be present when meeting with a customer at the customer's home or business, unless the customer has consented by signing a release allowing the third party to be present, the third party is a potential employer, or unless the contractor (contractor employee or subcontractor) is providing communication access services;

• Not misrepresenting oneself as a state of Texas employee;

• Not misrepresenting the contractor as a state agency;

• Reporting in a timely manner and to the appropriate authorities any abuse or neglect of any customer or customer's family member. (Refer to VR-SFP 3.2.10.1);

• Considering the negative impacts of action or inaction on the part of the

3202600209 Project SEARCH - Attachment 05 Page 16 of 62 individual or contractor to the health, safety, or welfare of any customer or customer's family member;

• Contractors and contractor’s staff avoiding personal relationships with

TWC-VR customers. Examples include romantic relationships, invitations to attend church, or other non-professional activities that the customer was not previously associated;

• Not engaging in activities or relationships with customers that may be misconstrued by the customer;

• Not advertising or marketing services in a misleading manner or outside of the VR-SFP parameters.

Communication access service contractors must follow Code of Professional

Conduct – Registry of Interpreters for the Deaf or the Code of Professional

Ethics - Association for Court Reporters and Captioners (NCRA.org).

3.2.4 Conflict of Interest

A conflict of interest is a situation that creates a risk that professional judgment or action will be unduly influenced by a personal interest or relationship and creates conflicts with the proper delivery of services or goods by a contract and the public interest. If a violation occurs, corrective action is required, which may include contract termination or disqualification from receiving a future contract with TWC.

Each contractor must have a VR3444, Conflict of Interest Certification, on file with their Q or RPSS. An updated VR3444 is required at new contract application and whenever the information in the form has changed.

Contractors and potential contractors must not offer, give, or agree to give

TWC staff anything of value.

Something of value includes, but is not limited to prepared foods, gift baskets, promotional items, awards, gift cards, meals, or promises of future https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics

3202600209 Project SEARCH - Attachment 05 Page 17 of 62 employment.

Contractors and contractor’s staff may not use VR dedicated office space to provide services to TWC-VR customers, with the exception of providing communication access services.

Contractors and contractor’s staff must avoid relationships with customers or

VR staff that would impair the contractor's objectivity in performing their duties or that would endanger confidentiality.

Real or apparent conflicts of interest might occur when a former VR employee becomes an employee or a subcontractor of a TWC contractor.

A contractor must not do the following:

• Hire, contract with, or accept as a volunteer any current employees of

TWC, VR, or ILS-OIB;

• Hire, contract with, or accept as a volunteer any former employees of

TWC, VR, or ILS-OIB earlier than 12 months after the separation date, if the former employee will provide contracted services as defined in the

VR-SFP and/or Texas Government Code § 572.069;

• Hire or receive payment for hiring a VR or ILS-OIB customer to whom they are providing services unless there is a VR3472 approved by the VR division

• Request or obtain confidential information from a state employee for either the personal or professional benefit of the contractor.

The scenarios above do not make up a complete list of real or apparent conflicts of interest. Failure to disclose a conflict of interest may result in contract termination, disqualification from receiving a future contract, and/or recoupment of payments.

Exception:

A current TWC employee may be hired by a communication access service https://statutes.capitol.texas.gov/Docs/GV/htm/GV.572.htm

3202600209 Project SEARCH - Attachment 05 Page 18 of 62 contractor; however, the TWC employee may not provide services to TWC while acting as an employee of the contractor. Communication access service contractors must follow Code of Professional Conduct – Registry of Interpreters for the Deaf or the Code of Professional Ethics - Association for Court

Reporters and Captioners (NCRA.org).

3.2.4.1 Texas Workforce Solutions–VR Customer Providing Services to other

Texas Workforce Solutions–VR Customers

A customer is acting in a dual role when the Texas Workforce Solutions–VR

(TWS-VR) customer’s IPE supports the customer in:

• obtaining employment from an existing contractor to provide services to other VR customers; or

• becoming a TWC-VR contractor to provide services to VR customers.

When the VR customer is in a dual role, for a period of 12 months following the closure of his or her case, the customer:

• is prohibited from providing services to any customer who is assigned to the customer’s same TWS-VR counselor; and/or

• may not receive SAs from the Workforce Solutions Office to which the customer’s VR counselor was assigned at the time of the customer’s services.

An exception may be granted when a VR3472, Contracted Service Modification

Request, is approved for any of the following reasons:

• The customer lives in a rural or other area where no other providers are available to serve the customer;

• The contractor has a skill or capability that no other available and accessible provider has. (For example, in situations where a customer is not proficient in English, the contractor speaks the customer's language as well as English.)

https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct

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3.2.5 Marketing

TWC contractors and subcontractors are encouraged to have materials about their business for customers and staff; however, TWC contractors and subcontractors are prohibited from using any of the following in their marketing materials:

• Statements from TWC-VR customers that include the customer’s identity;

• Photographs or videos of TWC-VR customers;

• Indications they are guaranteed funding by TWC;

• Indicating they are employed by TWC; or

• Actions misconstruing them as an agent of TWC-VR or TWS-VR.

3.2.6 Referrals to VR by a Provider

A provider may refer an individual for VR or OIB services.

To apply for VR or OIB services, individuals may use the following:

• Start My VR – online self-referral for VR and OIB;

• VR Office Locator;

• VR Inquiries number at 512-936-6400; or

• vr.office.locator@twc.texas.gov.

The provider must inform the individual that:

• the VR counselor or ILS-OIB worker determines eligibility for VR services; and

• the VR counselor or ILS-OIB worker works with eligible customers to do the following and provide them with the information required to make an informed choice:

o Develop an IPE for VR or an independent living plan;

https://twcgov.service-now.com/com.glideapp.servicecatalog_cat_item_view.do?v=1&sysparm_id=e05bd29c1bf5e41016a1caab234bcb94&sysparm_preview=true&sysparm_domain_restore=false&sysparm_stack=no https://webp.twc.state.tx.us/services/VRLookup/ mailto:vr.office.locator@twc.texas.gov

3202600209 Project SEARCH - Attachment 05 Page 20 of 62 o Choose the services necessary to meet the individual's goals and objectives; and o Choose the providers of any planned goods or services.

Due to informed choice, referrals from a provider are not a guarantee the provider will be selected to work with the referred, eligible customer. For example, a customer may choose a different provider or choose to pursue other VR services, such as academic training, based on their unique needs, interests, preferences, and informed choice.

Note: Due to confidentiality, a provider may not contact TWC-VR to request information about a customer to whom they are not providing services.

3.2.7 Confidentiality

TWC confidential information means any communication or record (whether oral, written electronically stored, or transmitted, or in any other form) provided to or made available to the provider electronically or through any other means including Personal Identifiable Information (PII), Sensitive

Personal Information (SPI), and Protected Health Information (PHI).

The provider must comply with all applicable state and federal laws and regulations with respect to privacy, security, and notification of breaches.

The contractor must provide physical safeguards for confidential records, such as locked cabinets and encrypted file storage, and ensure the records are available only to authorized staff members as needed to provide goods or services. Customer case records must be stored in a secured location where there is maximum protection against fire, water damage, theft, and other hazards.

A breach of confidentiality incident may include, but is not limited to, the following:

• Laptop that contains stored customer PII, SPI, and/or PHI is stolen;

3202600209 Project SEARCH - Attachment 05 Page 21 of 62

• Contractor’s email was hacked; or

• Customer’s case file was lost or stolen.

If a breach of confidentiality is discovered, refer to TWC-VR incident reporting, refer to VR-SFP 3.2.11 Incident Reporting.

Communication access service contractors must also comply with the Code of

Professional Conduct – Registry of Interpreters for the Deaf or the Code of

Professional Ethics - Association for Court Reporters and Captioners

(NCRA.org).

3.2.8 Fraud, Abuse, Misconduct, and Waste

A contractor is responsible for the following actions that are committed by the contractor’s staff or subcontractors:

• Abuse - Practices that are inconsistent with sound fiscal or business practices and that result in unnecessary costs, such as intentional destruction, diversion, manipulation, misapplication, or misuse of public resources in both financial and/or nonfinancial settings

• Fraud - Any intentional conduct designed to deceive others, that results in a loss to the victim and/or a gain or benefit to the individual committing fraud

• Misconduct - Intentional wrongdoing or improper behavior or activity

• Waste - The thoughtless or careless expenditure, consumption, mismanagement, misuse, or squander of public resources, such as incurring unnecessary costs because of inefficient or ineffective practices, systems, or controls.

Contact TWC Fraud Reporting or call 800-252-3642 whenever abuse, fraud, misconduct, or waste is identified.

For TWC-VR incident reporting, refer to VR-SFP 3.2.11 Incident Reporting https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://www.twc.texas.gov/services/report-fraud

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3.2.9 Safe and Secure Environments

Contractors must provide a safe and secure environment for their employees, VR or ILS-OIB customers, and visitors.

When the Centers for Disease Control and Prevention (cdc.gov), Texas

Department of State Health Services (DSHS), state, and/or local governments issue health and safety protocols, executive orders, or mandates, the provider must be aware of and implement any required changes and provide services or goods to VR or ILS-OIB customers following these guidelines.

Communication access service contractors must follow the Code of Professional

Conduct – Registry of Interpreters for the Deaf or the Code of Professional

Ethics - Association for Court Reporters and Captioners (NCRA.org).

Licensed professionals, including communication access service contractors, must follow their professional code of ethics and any other mandated guidelines.

3.2.10 Allegations or Incidents of Abuse, Neglect, or Exploitation

Texas Family Code § 261.101 requires a professional individual (such as any

TWC contractor) who has cause to believe a child’s physical or mental health or welfare has been adversely affected by abuse or neglect by any individual to immediately (within 48 hours) report the suspected abuse.

Texas Human Resources Code § 48.051 requires a professional individual

(such as any TWC contractor) to make a report if there is cause to believe that an individual age 65 or older or an individual with a disability is being abused, neglected, or exploited.

All TWC contractors and their staff are considered professionals and are required to report any allegations or incidents of abuse, neglect, or exploitation.

Examples of allegations or incidents of abuse, neglect, or exploitation include, https://www.cdc.gov/ https://www.dshs.texas.gov/ https://www.dshs.texas.gov/ https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics https://texas.public.law/statutes/tex._fam._code_section_261.101 https://texas.public.law/statutes/tex._human_resources_code_section_48.051

3202600209 Project SEARCH - Attachment 05 Page 23 of 62 but are not limited to, the following:

• Domestic violence;

• Stealing money or items; or

• Refusing necessary medical treatment for an individual who cannot seek on their own.

For specific information on how to report allegations of abuse, neglect, or exploitation to the appropriate agencies, refer to VR-SFP 3.2.10.1 Reporting to

Investigatory Agencies.

If a licensed professional is an alleged perpetrator, the information must also be reported to the appropriate professional licensing agency.

For TWC-VR incident reporting, refer to VR-SFP 3.2.11 Incident Reporting.

Exception:

Communication access service contractors are not subject to VR-SFP Chapter 3

Incident Reporting. Instead, they are required to follow the Code of

Professional Conduct – Registry of Interpreters for the Deaf or the Code of

Professional Ethics - Association for Court Reporters and Captioners

(NCRA.org).

3.2.10.1 Reporting to Investigatory Agencies

Any contractor or contractor's employee or subcontractor that has cause to believe a child who is a minor, an adult with a disability, or an individual 65 years of age or older is at risk of or in a state of harm due to abuse, neglect, or exploitation must immediately report the information to the appropriate investigatory agency. (Refer to the table below) If the incident is a threat to health or safety, the local law enforcement agency must also be notified.

Reporting suspected abuse, neglect, or exploitation directly to the appropriate investigatory agency is required, regardless of the circumstances.

https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics

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Reporting Process

Using the table below for guidance, if the alleged abuse, neglect, exploitation, suicide, or suicide attempt occurs in a location listed in the left column

(Incident Location), report the incident to the authority listed in the right column (Report Incident to—).

If the alleged abuse, neglect, or exploitation occurs in:

Then the contractor that has cause to believe abuse, neglect, or exploitation has occurred, reports the information to the following:

• a childcare operation licensed by the Texas

Department of Family and Protective

Services, including a residential child care operation;

• a state-licensed facility or community center that provides services for mental health, intellectual disabilities, or related conditions;

• an adult foster home that has three or fewer customers and is not licensed by the Texas

Department of Aging

Texas Department of Family and Protective

Services

Statewide Intake Program

P.O. Box 149030

Austin, Texas 78714-9030

Voice 1-800-252-5400

Fax 512-832-2090

Texas Abuse Hotline https://www.txabusehotline.org/Login/Default.aspx

3202600209 Project SEARCH - Attachment 05 Page 25 of 62

If the alleged abuse, neglect, or exploitation occurs in:

Then the contractor that has cause to believe abuse, neglect, or exploitation has occurred, reports the information to the following:

and Disability Services

(DADS);

• an unlicensed room and board facility;

• a school; or

• an individual's own home

• an assisted-living care facility licensed by

DADS;

• a nursing home, adult day care;

• a private intermediate care facility for individuals with intellectual disabilities;

or

• an adult foster care facility

Texas Department of Aging and Disability

Services

Complaints Management and Investigations

P.O. Box 149030, Mail Code E-340

Austin, Texas 78714-9030

1-800-458-9858 a Texas Department of State

Health Services licensed substance abuse facility or

Texas Department of State Health Services

Substance Abuse Compliance Group

Investigations

3202600209 Project SEARCH - Attachment 05 Page 26 of 62

If the alleged abuse, neglect, or exploitation occurs in:

Then the contractor that has cause to believe abuse, neglect, or exploitation has occurred, reports the information to the following:

program 1100 W. 49th Street

Austin, Texas 78756

Mail Code 2823

1-800-832-9623 the Criss Cole Rehabilitation

Center at:

Texas Workforce

Commission

4800 N. Lamar Blvd.

Austin, Texas 78756

Report incident to the incident report mailbox for

TWC Risk and Security Management at incidentreports.rsm@twc.texas.gov.

The Criss Cole Rehabilitation Center Policy

Manual has additional reporting requirements.

a hospital licensed by the

Texas Department of State

Health Services

Texas Department of State Health Services

Facility Licensing Group

1100 W. 49th Street

Austin, TX 78756

Complaint Hotline 1-888-973-0022

3.2.11 Incident Reporting

An incident is an unusual or unexpected event that compromises or may compromise the health or safety of individuals or the security of property.

The contractor is responsible for reporting all incidents, including but not limited to, the following:

• Breach of confidentiality;

• Fraud, abuse, misconduct, or waste;

mailto:incidentreports.rsm@twc.texas.gov https://www.twc.texas.gov/programs/vocational-rehabilitation/criss-cole https://www.twc.texas.gov/programs/vocational-rehabilitation/criss-cole

3202600209 Project SEARCH - Attachment 05 Page 27 of 62

• Events that put the health and safety of customers and contractor staff at risk;

• Allegations of abuse, neglect, or exploitation;

• Emergency evacuations;

• Emergency medical services;

• Emergency room treatment;

• Hospitalization; or

• Death.

If an incident is a threat to health or safety, secure the individual’s safety and immediately contact law enforcement, emergency medical personnel, and the appropriate investigatory agency.

To report an incident, the contractor must notify the VR counselor, supervisor, and/or the Regional Quality Assurance Specialist (Q)/Reginal Program Support

Specialist (RPSS) as soon as possible, but within 48 hours of the incident, or

24 hours if law enforcement is involved.

The VR3446, Incident Report must also be completed by the contractor and submitted to the Q or RPSS assigned to the provider’s headquarters within 48 hours of the incident, or 24 hours if law enforcement is involved.

Exception:

Communication access service contractors are not subject to VR-SFP Chapter 3

Incident Reporting. Instead, they are required to follow the Code of

Professional Conduct – Registry of Interpreters for the Deaf or the Code of

Professional Ethics - Association for Court Reporters and Captioners

(NCRA.org).

3.2.12 Purchasing Goods and Services

VR purchases contracted services and goods deemed necessary for the https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.hhs.texas.gov/providers/assistive-services-providers/board-evaluation-interpreters-certification-program/code-professional-conduct https://www.ncra.org/home/professionals_resources/NCRA-Code-of-Professional-Ethics

3202600209 Project SEARCH - Attachment 05 Page 28 of 62 customer to prepare for, secure, retain, advance in, or regain successful competitive integrated employment or to achieve independent living goals.

3.2.12.1 Service Authorization

A service authorization (SA) is a request for a contractor to provide identified goods or services based on the terms and conditions specified in the authorization. An SA is the only valid authorization by which purchases are made. No services or goods may be provided to a customer without a valid, signed SA for the specific services or goods.

If a contractor is issued an SA for a good or service that has prerequisites or requirements that have not been met, the contractor must inform the VR counselor that the contractor may not accept the issued SA to prevent being in noncompliance with the standards. For example, if a provider receives an SA for a service that requires an evaluation to be completed before service delivery, the provider must confirm whether the evaluation was completed and request a copy.

Authorized services must only be provided within the dates of the SA.

Each SA contains the following:

• A start date and end date during which the services are to be provided or goods are to be ordered;

• A description of the services or goods to be provided;

• An authorized quantity; and

• A unit cost.

An SA may include additional information in the comment section that defines basic terms and provide supplemental information related to the services or goods being requested. Actions required of the contractor by the SA instructions must be completed before the contractor submits the invoice for payment.

3202600209 Project SEARCH - Attachment 05 Page 29 of 62

If VR changes an SA in any manner, such as changing the service dates, quantity of service, or description of a good, a copy of the new, signed SA must be given to the contractor when the change is made. Before providing or continuing to provide the good or services, the contractor must contact the customer's VR counselor or ILS-OIB worker to ensure authorization is in place and valid. If efforts to obtain an updated SA from VR staff have been unsuccessful, contact your regional Q or RPSS.

The contractor must keep a copy of all SAs in the contractor's customer records.

3.2.12.2 Multi-customer Service Authorization

Multi-customer service authorizations (MCSA) are issued when services are purchased from a single provider for multiple customers. An MCSA may contain customers from one or more caseloads.

Information related to multiple customers must never be filed in an individual customer's file. Invoices that include the names of multiple customers must be kept in a separate file. Individual reports may be maintained in the individual case file since no identifying information for other customers is documented within the report.

3.2.12.3 Timely Submission of Invoices for Payment

By accepting the SA, the provider agrees to send an invoice to TWC for payment once the goods or services have been provided. It is best practice to submit the invoice within 30 days of the delivery of the good or service. For example, a service provider should invoice at the completion of each benchmark.

All invoices must contain all of the required elements, listed in 3.2.12.4 Invoice

Requirements. If billings for medically related purchases (such as professional medical services, durable medical equipment (DME), hearing aids, and hospital services) lack the required invoice data, but all other information on the billing

3202600209 Project SEARCH - Attachment 05 Page 30 of 62 is accurate and complete, the VR staff member attaches the ReHabWorks system generated billing cover sheet for the SA to the billing statement and files the documents in the customer’s case file.

Non-medical billings must be invoiced solely on the vendor and/or contractor’s paperwork and may not use the ReHabWorks system generated billing cover sheet to fulfill the required elements.

Provider electronic signatures will be accepted on forms required for invoicing.

For more information, refer to VR-SFP 3.2.16 Signatures.

3.2.12.4 Invoice Requirements

To ensure compliance with Texas Comptroller requirements, do not include the customer’s name, initials, Social Security Number, date of birth, or any other sensitive, confidential, or personally identifiable information as any part of the invoice number. Invoices containing this information will be rejected and returned to the provider for correction.

At a minimum, invoices must include the following, at a minimum as required by the 34 Texas Administrative Code § 20.487:

• The vendor's complete name and remittance address including city, state, and ZIP code;

• The vendor's 14-digit Texas identification number (TIN) issued by the comptroller;

• The vendor's contact name and telephone number, email address, or fax number;

• The SA number;

• The VR office's name and address, or delivery address, as applicable;

• The contract number;

• A description of the goods or services provided, including the dates of https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=34&pt=1&ch=20&rl=487

3202600209 Project SEARCH - Attachment 05 Page 31 of 62 service;

• The quantity and unit cost being billed, as documented on the current

SA;

• Other relevant information, such as Case ID, supporting and explaining the payment requested or identifying a successor organization to an original vendor, if necessary; and

• Any other information required by applicable state and federal laws, rules, and regulations governing the provision of services under the contract and the policies and standards.

For examples of invoices that include all required elements, refer to the invoice templates posted on Invoice Examples | University of North Texas.

3.2.12.5 Inaccurate Invoice

TWC-VR does not accept invoices that are incorrect or that do not include all the required items listed in VR-SFP 3.2.12.4 Invoice Requirements.

TWC-VR returns incomplete or incorrect invoices and any associated reports to the contractor with a completed VR3460, Vendor Invoice Additional Data

Request form and asks the vendor to make the necessary corrections.

The contractor submits the corrected invoice and documentation required for review and payment. If corrections were made to the report, the contractor must ensure the provider signature section of the form is signed again. However, the provider is not required to obtain a new customer signature if it was previously obtained and filed in the provider and VR case files. If corrections were made to the invoice only, new signatures are not required.

3.2.12.6 Overpayments

If a contractor or a TWC VR staff member discovers an overpayment, they must immediately report it to the Q or RPSS assigned to the contract. Once https://wise.unt.edu/wise_invoice_examples.html

3202600209 Project SEARCH - Attachment 05 Page 32 of 62 the overpayment has been confirmed, the contractor will be provided with guidance on how to return the funds to TWC. A contractor must promptly settle all overpayments identified.

3.2.12.7 Payments Due

TWC is obligated to pay only for goods and/or services if all outcomes required for payment are achieved, as explained in the VR SFP and on the SA. In accordance with the Prompt Payment Act, Texas Government Code Chapter

2251, TWC will make payment on a correct, properly prepared and submitted invoice within 30 days of receipt.

Invoices received outside of regular business hours or on a holiday will be considered received the day they are provided to TWC-VR.

3.2.12.8 State Payee Payment

The application Search State Payments Issued allows contractors and other payees to view their detailed payment information.

TWC recommends contractors register at TX Comptroller E-Systems.

For resources, refer to CPA Texas.

For more information, refer to FAQs from Comptroller, State Payee Payment

Resource, and Search State Payments Issued Tutorials.

3.2.12.9 Payments (Warrants)

”Warrant Number” and “Payment Number” may be used interchangeably to describe either a warrant number (nine digits) or a direct deposit number

(seven digits) regarding a contractor’s payment.

The contractor may check the status of payment on the Texas State

Comptroller’s website at:

https://mycpa.cpa.state.tx.us/securitymp1portal/displayLoginUser…