All providers must comply with this chapter of the VR Standards for Providers manual.
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The VR Standards for Providers (VR-SFP) manual focuses on the business practices, processes, and policies that must be followed for the Texas Workforce Commission (TWC) and the contracted provider to comply with federal and state laws 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 an updated VR3443, TWC VR Standards for Providers Certification form on file with their regional program specialist and contract manager.
Contractor—An entity or individual awarded a contract with TWC to provide goods and services. Sometimes used interchangeably with provider or service provider.
Employment services provider—A provider that has a contract with TWC to provide employment-related services to eligible customers. An employment services provider was previously referred to as a community rehabilitation program.
Provider—Any individual or business from which a VR contractor can obtain goods and services for customers. Providers are also referred to as vendors.
Service provider—Entities or individuals approved to provide services to individuals with disabilities who receive VR or Independent Living Services for Older Individuals Who Are Blind (ILS-OIB). Sometimes used interchangeably with provider or contractor.
Refer to the VR Glossary to ensure familiarity with the key terms used in this manual.
The contractor's primary TWC contacts include the following:
Service contracts are used when a provider completes tasks or provides services described in the VR-SFP manual, such as when:
Goods or equipment contracts are used when a provider provides a product for the customer, as described in the VR-SFP manual, such as when providing:
Each provider must have a designated headquarters where customer records are securely stored and where administrative responsibilities are performed, as required by the contract. The provider must maintain the following forms up-to-date and on file with the regional program specialist and contract manager:
Each contractor must have a legally authorized representative to sign contracts, official documents, and verification statements.
Service contracts must designate a director as the primary contact. Goods or equipment contracts do not require UNTWISE Director Credentials to maintain compliance with the contract.
The designated director in each service contract:
The director is not required to have the job title of director.
The director may be the legally authorized representative. The legally authorized representative may assign a staff member to be the contractor's designated director.
As of September 1, 2017, all designated directors must hold the UNTWISE Director Credential and maintain its effectiveness throughout the contract term. There is no grandfather clause for this requirement. The director credential must be maintained without lapsing. Exception: Contracts for Communication Access, Employment Supports for Brain Injury services, and Supported Residential Services for Persons in Recovery.
For more information, see UNTWISE.
The contractor must keep a completed VR3455, Provider Staff Information Form, for the director on file at the contractor's headquarters, and must provide copies on request to the TWC contract manager and the VR or OIB regional program specialist. The VR3455 must fully document that the required qualifications of the director are met.
A director's qualifications must be reviewed by TWC staff during contract monitoring reviews. TWC staff may request verification of the director's qualifications at any time. Payment made for services provided during periods without an approved credentialed director may be subject to recoupment or other penalties under the contract. Failure to maintain the qualifications is not in compliance with the terms of the contract and may result in the contract being suspended or terminated.
A contractor may hire employees or use independent subcontractors. If the contractor uses subcontractors, refer to the contract for the subcontracting requirements.
A contractor's employees and subcontractors who are under contract to provide VR and/or ILS-OIB 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 and workers' compensation insurance.
The contractor accepts liability and retains responsibility for the performance of subcontractors that provide services under the terms of the contract. Subcontractors providing services under the contract must meet the requirements and qualifications required in the standards.
No subcontract may relieve the contractor of the responsibility of ensuring that the contracted services are provided according to the standards. The provider accepts responsibility for compensating any party with which the provider enters a subcontract relationship.
TWC has partnered with UNTWISE and the Center for Social Capital to ensure that providers are fully equipped to offer the highest quality services to Texans with disabilities.
UNTWISE has developed:
For additional information about the UNTWISE credentialing and endorsement processes, see Texas Credential Training.
The Center for Social Capital has developed credentialing and training processes for contractors' staff that provide self-employment services.
For information on the qualifications required of contractors' staff and the premiums TWC pays for services, see the chapters in the VR-SFP manual that are related to each service.
Each service provider (contractor)—excluding providers of post-acute brain injury or supportive residential services for individuals in recovery—must keep the following information on file for all directors, employees, and subcontractors:
Each service provider must submit the VR3455 form and the supporting evidence that the staff member meets the required qualifications to both the regional program specialist and the assigned contract manager within 30 days of:
When a contractor no longer has qualified or credentialed staff, including directors, a VR3490, Temporary Waiver of Credentials, must be completed and approved by the VR director before services are provided.
The waiver is specific to the contractor and staff members named on the VR3490 and is valid for the period specified on the approved waiver.
The VR director may approve a VR3490 waiver after consideration of:
After a VR3490 is processed, regardless of whether approved or denied, a copy is sent to the contractor and must be kept on file by the:
A copy of the approved VR3490 must accompany any invoice for services provided by a non-credentialed employee or subcontractor to a VR or ILS-OIB customer.
Each services-related chapter in the VR-SFP manual describes the required staff-to-customer ratio.
All contractors subject to the VR Standards for Providers (VR-SFP) must provide proof of insurance, as required, to the assigned Texas Workforce Commission (TWC) contract manager and regional program specialist.
TWC VR requires the following kinds of insurance:
When insurance is required, the contractor submits the form VR3445, Provider Insurance Verification, with evidence of coverage at the time of execution of a contract, and resubmits it any time that insurance coverage, terms and conditions, or other information is changed or updated. Insurance requirements can be found in the contractor's contract and VR-SFP chapters for specific services.
Each contractor must demonstrate the meaningful efforts made to employ and advance in employment qualified individuals with disabilities.
Contractors must maintain and implement written standards of conduct for the contractor's employees and subcontractors. These standards of conduct must incorporate all professional standards of conduct and ethics required by the licensing or credentialing entity for licensed individuals in positions held by the contractor's employees and subcontractors.
Contractors, their employees, and any subcontractors must perform in a professional manner and dress in business casual attire that is appropriate for the work activity and workplace:
A professional manner is defined as:
Contractors and potential contractors must not offer, give, or agree to give TWC staff anything of value.
Anything of value includes prepared foods, gift baskets, promotional items, awards, gift cards, meals, or promises of future employment.
If a violation occurs, corrective action is required and may include contract termination or disqualification from receiving a future contract with TWC.
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:
The scenarios above do not make up a complete list of real or apparent conflicts of interest. Failure to disclose a conflict of interest can result in contract termination, disqualification from receiving a future contract, and/or recoupment of payments.
Each contractor must have a current VR3444, Conflict of Interest Certification, on file with their contract manager and regional program specialist.
A customer is acting in a dual role when the Texas Workforce Solutions–VR (TWS-VR) customer’s IPE supports the customer:
When the TWS-VR customer is in a dual role, for a period of 12 months following the closure of his or her case, the customer:
An exception may be granted when a VR3472, Contracted Service Modification Request, is approved for any of the following reasons:
All contractors, contractor employees, and subcontractors must keep customer and employee information confidential.
The contractor must provide physical safeguards for confidential records, such as locked cabinets or encrypted file storage, and ensure that 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.
If a breach of confidentiality is discovered, the contractor must report it immediately to the:
VR policy and federal law requires that all email messages that contain confidential information must be sent using the level of encryption required by publication 140-2 of the Federal Information Processing Standard (FIPS).
If a contractor is not equipped to use the FIPS 140-2 level of encryption, the contractor must ask a VR staff member who is equipped to send the email message. The same message can then be used to send encrypted information back to VR, when the directions are followed accurately.
If the contractor fails to use the FIPS 140-2 level of encryption, the contractor must report a breach of confidentiality to the assigned regional program specialist and TWC contract manager.
Contractors must demonstrate business procedures and internal controls that prevent the following practices:
Contractors for VR and the contractor's employees and subcontractors must:
A contractor is responsible for any abuse, fraud, misconduct, or waste that is committed by the contractor's staff or subcontractors.
If abuse, fraud, misconduct, or waste is reported, the contractor must provide the assigned TWC contract manager or regional program specialist with:
Contractors must report all allegations of fraud, misconduct, and waste to TWC Fraud Reporting.
If a customer is observed using alcohol or drugs, or any other evidence of substance abuse by the customer exists, the provider must:
A provider may refer an individual with a disability to VR for services.
The provider must inform the individual that:
Referrals from a provider are not a guarantee that the provider will be selected to work with the referred, eligible customer.
TWC contracts only with providers who are in full compliance with all chapters in the VR-SFP manual that relate to the contract. Each contractor is required to undergo a review and comply with periodic monitoring activities to ensure continued compliance with the standards.
Contracted service providers must be in full compliance with:
Revisions to the VR-SFP manual are published at least 30 days before the effective date of the revisions.
It is the responsibility of the contractor to maintain awareness of revisions to the standards and to implement the changes as prescribed.
Failure to follow applicable standards and contract requirements could 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 as prescribed, the provider must contact the assigned contract manager and the regional program specialist.
The contractor must develop and adhere to policies and procedures to protect customers, customer interests, visitors, and the contractor's staff.
Contractors must have policies and procedures in place before providing services to customers and must review and update their policies to ensure continued compliance with the standards. Contractors must ensure that their policies and procedures do not conflict with the standards or the requirements of their contract. Contractors must develop a written plan and maintain documentation that staff and customers, as appropriate, have been educated on policies and procedures.
At a minimum, contractors must have written policy and procedures on the following:
Contractors must provide a safe and secure environment for their employees, VR or ILS-OIB customers, and visitors.
The contractor must report all incidents in accordance with:
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 must report incidents that involve VR customers, the contractor's employees, or subcontractors.
Examples of incidents include, but are not limited to:
All incidents must be reported within one business day to the:
VR and ILS-OIB policies and procedures require VR employees to report incidents in writing, as required by Texas law, the appropriate licensure and investigating agencies, the standards, and the provider's contract. See 3.6.6 Allegations or Incidents of Abuse, Neglect, or Exploitation.
Each contractor must have an ongoing self-evaluation system designed to assess the customer's satisfaction and the effectiveness of the services provided to customers.
At the minimum, each customer must be offered the opportunity to complete a customer satisfaction survey after the service has been completed.
If a customer declines when asked to complete a customer satisfaction survey, proof must be documented that the survey was offered, for example, by noting on a blank survey that the customer declined and specifying the date declined.
Each contractor's survey, at a minimum, must use a 1–5-point Likert scale to rate each of the four statements below:
The contractor must tally the data quarterly, in September–November, December–February, March–May, and June–August, and summarize the data in a final report.
When the data indicates that improvements are needed, the contractor creates an action plan and monitors the plan, updating it when necessary, until the improvements are achieved. TWC's VR staff may request the survey results and the summary of the data at any time.
Each contractor must develop a self-evaluation system designed to measure the effectiveness of services provided to customers. The system must measure achievements against preestablished goals. Results of the self-evaluation that indicate successful achievements by customers may be useful to communicate the results to both potential customers and VR staff or ILS-OIB staff. Contractors must demonstrate the validity of materials and data used in marketing when requested by a TWC employee.
Use of a VR customer's photographs or statements for any purpose is prohibited.
Physical location is defined as a location the contractor owns, leases, or uses as dedicated space to provide services to customers and/or attend meetings with customers. The contractor must complete the VR3442A, Provider Physical Location Information Part A - Certification Statement and the VR3442B, Provider Physical Location Information Part B forms for each facility it owns, leases, or uses as dedicated space to provide service to customers.
The contractor must maintain the following records and ensure that a current copy is on file with the assigned TWC contract manager and regional program specialist:
The contractor must keep a copy of the Americans with Disabilities Act (ADA) Checklist for Existing Facilities on file and make it available upon request.
The permits, fire inspection reports, and ADA checklist may be obtained from the landlord, if they are not in the possession of the contractor.
Each physical location must have:
In addition to providing safety equipment within physical locations, the contractor must have safety procedures and plans on the following, to ensure the safety and health of staff, customers, and visiting public:
The following incidents must be reported to the customer's VR counselor or OIB worker, TWC contract manager, and regional program specialist by the close of business on the next working day:
Physical locations do not include community sites that are not owned, leased, or used as dedicated space by the contractor, such as state, federal, city, county, or other public meeting spaces.
Headquarters are exempt from this section of policy, unless customers receive services or attend meetings at the headquarter location. Contactors that provide all services at community sites that are not owned or leased by the contractor are not required to maintain a physical location.
Any customer referred to a contractor by VR must receive orientation to the services, roles, responsibilities, expectations, policy, and procedures, as applicable. Contractors must document in writing the topics included in the orientation and must obtain the customer's signature to verify that the customer received the orientation.
Orientation and handouts, if applicable, must address at a minimum:
Each contractor must coordinate with the customer's VR counselor or OIB worker to ensure that all verbal and written communications between the contractor and the customer are conducted in the customer's preferred language.
If interpreter services are needed, the contractor is responsible for scheduling the needed services in a timely manner through the customer's VR counselor or OIB worker.
The contractor implements services using instructional approaches that meet each customer's educational and disability needs, such as:
All training materials must be available in a format that is appropriate to the customer's needs, including regular print, large print, braille, recorded audio and/or video files on flash memory, and must be provided in the customer's preferred language. TWC staff can ask to review training materials at any time.
Service delivery includes meetings and delivery of services prescribed in the VR-SFP Manual. All staff qualifications and requirements outlined in the services description, process and procedures, and outcomes for payment must be followed in the delivery of services for VR or ILS-OIB customers. Each chapter will indicate how the service can be conducted. When the service chapter allows for remote service delivery, requirements in 3.6.4.1 Remote Service Delivery must be followed.
When services need to be provided and guidelines cannot be followed in the service delivery as prescribed in the VR-SFP, the VR director must approve a VR3472, Contracted Service Modification Request before the service is provided.
When the Centers for Disease Control and Prevention (CDC), federal, state, and/or local governments issue health and safety protocols, executive orders or mandates, it is the responsibility of the provider to be aware of and to implement any required changes and provide services to VR or ILS-OIB customers following these guidelines.
On July 29, 2021, Governor Greg Abbott issued Executive Order (GA-38) combining several existing COVID-19 executive orders to promote statewide uniformity and certainty in the state's COVID-19 response. GA-38 supersedes all pre-existing COVID-19-related executive orders and rescinds them in their entirety, except that it does not supersede or rescind Executive Orders GA-13 (relating to detention in county and municipal jails during the COVID-19 disaster) or GA-37 (relating to the transportation of migrants during the COVID-19 disaster). Governor Greg Abbott subsequently issued Executive Order GA-39 (GA-39), on August 25, 2021. GA-39 only supersedes paragraph 2 of GA-38 and does otherwise impact the guidance set forth below.
GA-38 clarifies and establishes that no orders shall be issued by government entities and government officials, including a county, city, school district, and public health authorities that:
TWC strongly encourages employees and customers to wear face coverings but does not require the use of face coverings. Generally speaking, a private business can set their own rules and policies for face covering, as long as they do not discriminate against a protected class of people (e.g., on the basis of race, color, religion, national origin, or disability).
In addition to the above, GA-38 also states any public or private entity that is receiving or will receive public funds through any means, including contracts or other disbursements of taxpayer money, shall not require a customer to provide documentation regarding the customer’s COVID-19 vaccination status as a condition of receiving any service or entering any place. The above includes TWC-VR contractors.
GA-38 further states that there shall be no local orders regarding COVID-19-related operating limits for any business or other establishment.
GA-38 also states that:
For more information refer to 3.6.4.2 Evaluation of Service Delivery.
Telerehabilitation is the delivery of rehabilitation services over telecommunication networks and the internet and includes vocational rehabilitation.
Not all customers will benefit from participating in telerehabilitation for meeting attendance and remote service delivery. VR counselor or OIB worker must evaluate each customer's case to determine when telerehabilitation is in the best interest of the customer and whether the customer has access to required resources and has the skills necessary for effective use.
When the VR-SFP service chapters allow or when indicated on the TWC-VR referral form, a provider may:
The service provider must ensure all requirements in the TWC-VR SFP, including confidentiality and the customer's literacy and disability needs are met in the delivery of the services.
For some services, the VR counselor or OIB worker will indicate on the service's TWC-VR referral form when remote delivery of service is allowed for a customer.
The service provider must evaluate the customer's ability to actively participate in the computer-based training, including identifying whether the customer's computer resources are adequate. When a service provider identifies customer's needs are not being met, they must notify the VR counselor or OIB worker.
Meetings can be held remotely between the VR counselor or OIB worker, customer, provider and, as appropriate, the customer's circle of supports (including the customer's representative).
The U.S Department of Health and Human Services issued guidance on utilizing HIPAA-compliant platforms: HHS's Notification of Enforcement Discretion for Telehealth During COVID-19.
The following are listed as HIPAA-compliant applications by HHS:
The contractor should visit the link above to ensure continued compliance with HIPAA-compliant platforms and to identify when platforms have been added or removed.
The contractor monitors and discusses the effectiveness of the services with the customer's VR counselor or OIB worker on a continuing basis. When necessary, the services being delivered to the customer may need to be changed or an alternate plan established to better meet the customer's goal.
When the service definition, process and procedures, or outcomes required for payment for a service are changed from their description in the VR-SFP to meet a customer's individual needs a VR3472, Contracted Service Modification Request must be completed. The service may not be provided until the VR counselor or OIB worker completes the VR3472 and VR's director approves it.
The VR3472 must justify:
The VR director may delegate signature authority for approval of the VR3472.
If a customer's behavior is a concern, contractors must address the behavior before terminating a contractor-provided service because of the behavior. If behaviors are harmful to the customer or others, appropriate actions must be made to ensure that all parties remain safe.
Reasons for terminating services based on behavior may include:
Every effort must be made to inform the VR counselor or OIB worker before termination of a customer's services. When the VR counselor or OIB worker cannot be informed before termination, the VR counselor or OIB worker must be informed in writing within one work day after termination. The contractor must maintain documentation that the VR counselor or OIB worker was informed of termination.
Texas Family Code §261.101 requires a professional person who has cause to believe that 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 (such as any TWC contractor) individual 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.
Any TWC contractor is a professional and is required to report any allegations or incidents of abuse, neglect, or exploitation.
To report allegations of abuse, neglect, or exploitation, the individual who has cause to believe that abuse, neglect, or exploitation has occurred:
If a licensed professional is involved as an alleged perpetrator, the information must also be reported to the appropriate professional licensing agency.
If injuries are sustained during an alleged incident, appropriate medical personnel must be contacted.
Any contractor or contractor's employee or subcontractor that has cause to believe that 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 (see 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.
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: |
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|
Texas Department of Family and Protective Services |
|
Texas Department of Aging and Disability Services |
a Texas Department of State Health Services licensed substance abuse facility or program |
Texas Department of State Health Services |
the Criss Cole Rehabilitation Center at: Texas Workforce Commission |
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 |
Contractors agree to accept TWC authorized rates as payment in full for services provided. Contractors may not collect money from a VR or ILS-OIB customer or the customer's family for any service that costs more than the authorized rate.
When VR and another resource pay for a customer service, the total payment may not exceed the authorized rate.
Premium fees are available to contractors as incentive payments for providing certain services. Premium fees are established to compensate contractors' staff that have specialized skills or work with customers who meet specific criteria.
For details about the criteria and the fees for services, refer to Chapter 20: Premiums.
VR purchases contracted services, goods, and equipment that are deemed necessary for the customer to obtain and maintain successful competitive integrated employment or achieve independent living goals.
A service authorization is a request for a contractor to provide identified goods or services based on the terms and conditions specified in the authorization. A service authorization is the only valid authorization by which purchases are made. No services or goods can be provided to a customer without a valid, signed service authorization for the specific services or goods.
If a contractor is issued service authorizations for a good or service that has prerequisites or requirements and the prerequisites or requirements have not been met, the contractor must inform the VR counselor that the contractor cannot accept the issued service authorization to prevent being in noncompliance with the standards. Authorized services must be provided within the dates prescribed in the service authorization.
Each service authorization contains:
A service authorization may include comments in the comment section that define basic terms and provide supplemental information related to the services or goods. Actions required of the contractor by the service authorization instructions must be completed before the contractor submits the invoice for payment.
If a service authorization is changed by VR in any manner, a copy of the new, signed service authorization must be given to the contractor when the change is made. If VR fails to give the contractor an updated service authorization, the contractor must contact the customer's VR counselor or OIB worker, assigned regional program specialist, or contract manager.
The contractor must keep a copy of all service authorizations in the contractor's customer records.
By accepting the service authorization, the vendor agrees to send an invoice to TWC for payment.
All invoices must contain all required elements, as listed in 3.8.2 Service Authorization.
Billings for medically related purchases (e.g., durable medical equipment-DME, hearing aids, services included in Chapter 21: Employment Supports for Brain Injury) may be supported by ReHabWorks system-generated billing cover sheet for the relevant service authorization.
Non-medical billings must be invoiced on the vendor/contractor’s paperwork and may not use the ReHabWorks system-generated billing cover sheet.
Provider electronic signatures will be accepted on forms required for invoicing. For more information, refer to 3.11.1 Documentation and Signatures.
Invoices must include at a minimum:
For examples of invoices that include all required elements, see the invoice templates posted on the UNTWISE website.
TWC-VR does not accept invoices that are incorrect or that do not include all the required items listed in 3.8.3.2 Required Elements of an Invoice Submitted to TWC-VR.
TWC-VR returns incomplete or incorrect invoices and any associated reports to the contractor, asks the vendor to make the necessary corrections, and asks the contractor to complete a VR3460, Vendor Invoice Additional Data Request form.
The contractor resubmits the correct invoice and required documentation for review and payment.
A contractor must promptly settle overpayments discovered by TWC.
If a contractor discovers the overpayment, the contractor must immediately self-report it to the assigned regional program specialist, other TWC staff, or the contract manager and arrange for reimbursement.
TWC is obligated to pay only for goods and services that lead to the results required for payment, as explained in the VR-SFP manual and on the service authorization.
The application Search State Payments Issued allows contractors and other payees to view their detailed payment information.
TWC recommends that contractors register at TX Comptroller E-Systems.
For resources, see CPA Texas.
For more information, see FAQs from Comptroller, State Payee Payment Resource, and Search State Payments Issued Tutorials.
A warrant is a traditional paper check with a stub attached.
Upon request, the contractor must make available to VR or ILS-OIB staff (such as assigned monitors, regional program specialists, and contract managers) any documents, papers, and records that are directly pertinent to the goods or services provided to VR customers.
Examples include:
A contractor must not share with a customer documents received from TWC-VR. When a customer requests such documents, the contractor must refer the customer to the customer's VR counselor.
A contractor may share with a customer documents that relate to the services provided by the contractor and that have been signed by the customer or legal guardian.
When completing forms and/or documentation related to the delivery of services or goods to customers, the contractor must do the following:
Examples of approved software to collect digital signatures include:
Signatures can be collected on smart devices (i.e. tablets and phones).
Signatures, handwritten or electronic, or VR staff member contact with the customer are always preferable to other methods of verification. The provider must make at least three attempts to obtain signatures, but not more than one per day, after the services have been completed. However, when the provider’s attempts to obtain signatures have been unsuccessful and those attempts have been recorded on the submitted documentation, an email from the customer or parent verifying the information in the document may be submitted with the form in lieu of a signature.
When forms are completed by a provider, the forms must be submitted by either US mail, hand delivery, fax, or encrypted email, unless otherwise noted.
Information must be accurate and complete. All instructions on the form and in the VR-SFP manual must be followed.
Contractors must keep their financial and supporting documents, statistical records, and any other records that are pertinent to the services for which a claim or report was submitted to the Texas Workforce Commission (TWC):
The records and documents must be kept as follows, whichever is later:
Contractors must report lost data within one business day to the:
Paper is the preferred method for storing records.
Stored paper documents must be protected:
The contractor assumes all business risk associated with lost records. Lost records could result in adverse action against the contractor.
Records stored on desktop computers or on portable devices (for example, on laptops, USB flash drives, hard drives, CDs, and DVDs) must be protected as required in 3.3.4 Confidentiality and 3.3.5 Data Encryption.
Portable devices must be protected from theft, tampering, or damage. The contractor is responsible for all data collection and assumes all business risk associated with lost data. Lost data could result in adverse action against the contractor.
Records that are stored entirely or partially in the cloud must be stored in compliance with the Federal Risk and Authorization Management Program (FedRAMP), or must be able to be made compliant in a short, defined period of time, as independently verified and validated by a FedRAMP-accredited third-party assessment organization (3PAO).
The contractor must comply with TWC's requirement that all data remain in the United States and meet TWC's stringent privacy and security requirements.
TWC's privacy and security requirements include the following:
The contractor must notify TWC about new or unanticipated threats or hazards or about safeguards that cease to function, as the issues are discovered.
In accordance with Federal Acquisition Regulation 52.239-1, the contractor must do as follows:
Inspections include vulnerability scans of authenticated and unauthenticated:
Automated scans can be performed by TWC personnel (or agents acting on behalf of TWC) using equipment operated or authorized by TWC and using TWC-specified tools.
If the contractor chooses to run its own automated scans or audits, results from the scans or audits may, at TWC's discretion, be accepted in lieu of vulnerability scans performed by TWC; however:
The contractor retains financial and supporting documents, statistical records, and any other records pertinent to the services provided under the contract for which a claim or report was submitted to TWC-VR.
Records and documents must be kept for three years after the final bill is submitted or until all billing-related questions are resolved, whichever is later.
The contractor agrees to permit on-site monitoring visits and desk reviews, as needed by TWC, to review all financial or other records and management control systems relevant to providing goods and services under the contract.
TWC staff members, including field, regional, and support staff, continuously monitor services provided to VR customers. Each provider may have formal liaisons assigned to answer questions about the standards and to perform routine monitoring reviews to ensure compliance with standards. Monitoring may include ongoing dialogue, observation, on-site visits, and reviews of case files.
TWC maintains negative and positive performance records on providers and may use the reviews to determine the risk of requiring formal monitoring and/or to determine whether a contract will be renewed or terminated.
All contractors are subject to periodic monitoring of programmatic and financial compliance by TWC staff. Risk assessment tools are used at the state and regional level each fiscal year to identify VR contractors that will be monitored on-site during a 12-month period. Contractors not identified on the risk assessment may be monitored at the discretion of TWC.
TWC staff members may conduct an unscheduled monitoring review when VR management determines that such a review is necessary.
A monitoring team comprises representatives from the Regulatory Integrity Division-VR Contract Oversight, the Business Operations-VR Contract Administration, and VR staff.
When a contractor is selected for an announced monitoring review, the lead monitor sends a letter announcing the review. The letter explains the scope of the review and how to prepare for the review.
A monitoring review typically consists of:
At the entrance conference, the lead monitor:
During the records review, the monitoring team:
The exit conference is held after the review. At the exit conference, the lead monitor verbally provides the contractor with:
For routine monitoring reviews, the lead monitor sends the results of the monitoring review to the contractor in writing through either a monitoring review closeout letter or through a findings report, if instances of noncompliance were noted. The findings report includes findings of noncompliance with program or financial standards. The lead monitor asks the contractor to offer a corrective action plan or provide further documentation to help resolve the findings.
If TWC has asked the contractor to submit a corrective action plan, the contractor must, by the date requested in the report of findings:
TWC reviews the corrective action plan and may accept the corrective action plan or recommend changes.
If the contractor does not submit an acceptable corrective action plan or make financial restitution when required, TWC may take adverse action against the contractor, which can include termination of the contract.
The monitoring review is closed if there are no findings, or when the monitoring team accepts the corrective action plan. TWC sends the contractor a letter to close the monitoring review.
TWC may suspend a contractor from providing services, goods, and equipment on a temporary basis for reasons such as:
Depending on the type and severity of the noncompliance, TWC may require the contractor to take corrective action to return to compliance, before the contractor can resume providing services.
TWC may impose adverse actions along with, or instead of, requesting a corrective action plan. For example, TWC may recoup overpayments from a contractor as part of a corrective action plan. Some situations may require TWC to impose more serious adverse action, such as contract termination and debarment, without allowing the contractor to take corrective action.