Managing work services requires due diligence, active performance and strong accountability. The overall goal is to provide supportive activities that produce positive outcomes and ultimately achieve the highest possible level of self-sufficiency for every ATAP client.
Managers will ensure that work services are administered according to the DPA Mission, and conform to the Work Service Principles (WSPM 1000).
The work services provider (WSP) will develop and maintain a current internal administrative procedures manual that details the processes that the WSP uses to provide services to families. The manual shall demonstrate how they will implement and administer the program according to each section of the WSPM. The first draft of the internal procedures manual is due to WSTA within 30 days of the beginning of the fiscal year. A completed internal procedures manual is due by the last day of the second quarter of the fiscal year. Interim changes to the manual will be reported to WSTA. An updated copy of the internal procedure manual is due by the 30th of the first month of each subsequent fiscal year.
1018-1 WORK SERVICES PERFORMANCE AND SUPPORTIVE SERVICES INVOICING
DPA Work Services is a Pay-for-Performance contract. Monthly performance and supportive services invoices are required. DPA provides work services providers with electronic versions of both the pay-for-performance and supportive services invoices.
The work services provider must submit Performance and Supportive Services invoices monthly to DPA. These invoice templates are available in Eforms on the DPAweb.
Performance and Supportive Service invoices will be submitted to DPA within 10 days of DPA’s Research and Analysis posting of performance outcomes. Supportive Services reimbursement invoices will be submitted with Performance invoices. A detailed list in Excel format of supportive services spent for the month must be submitted along with the supportive services monthly invoice. The following must be included:
Client ID |
Last Name |
First Name |
Date Authorized |
Paid To |
SS Code |
Amount |
CARC |
| 06001234567 | Smith | John | 7.18.2018 | Holiday | GV | $45 | 928-1-08 |
Invoices are submitted directly to DPA. The detailed supportive services report must be submitted via a secure messaging method or fax.
1018-2 MANAGEMENT RESOURCES AND REPORTS
Work services managers will ensure the success of the program, the staff, and DPA clients by demonstrating the following:
A. Timely completion and submission of all required reports listed in (WSPM 1015).
B. Internal Quality Assurance
1. Monthly File Reviews:
A member of the WSP’s management team who is familiar with and responsible for the quality of work services delivery will conduct reviews on a random selection of ten percent of the caseload. Program Managers may use their discretion to determine how to identify cases to be reviewed.
The results of the review must be tracked and corrective action must be taken within ten business days on cases in which issues are identified.
2. Data Quality Assurance:
The WSP is responsible for the accuracy and timeliness of data entered by staff or subcontractors responsible for data entry. The WSP will develop procedures to monitor and assess the quality of data entered by contract staff into the Division’s Case Management System (CMS). Prior to submitting the monthly invoice, WSPs shall conduct an internal monitoring of all work activities for clients who are part of the monthly performance sample provided by DPA Research and Analysis. This internal monitoring shall detail any errors and corrective actions made by WSP to ensure data integrity. A copy of this internal monitoring shall be made available to DPA upon request.
Using feedback from DPA’s Research and Analysis team, DPA will provide WSPs with monthly reports that identify any case data inconsistencies and discrepancies that appear error prone. The WSP has ten working days from the date the inconsistencies and discrepancies report is received to provide a written response to WSTA@alaska.gov .
Issues and problems affecting the accurate and timely entry of data into CMS outside of the WSP’s span of control must be reported to WSTA@alaska.gov within 24 hours. At a minimum the WSP’s report will provide:
Date and time of problem
Client ID number; and,
A brief description of the problem including the action being taken at the time the problem occurred.
In addition, the WSP will keep a log detailing the date and duration of any instance when CMS is unavailable for use by case managers and that lack of access has occurred without prior notice from the Division. The Division will have access to this log in order to identify the source of problems affecting the use of CMS.
C. Contracted Services Quality Assessment Monitoring
As part of the quality assurance requirements, WSPs must participate in program monitoring reviews conducted by DPA. Participation includes, but is not limited to, providing case files, coordinating and making available key personnel for interviews, responding to monitoring review, and providing corrective action plans within ten days of delivery of the monitor report.
Results of quality assurance efforts and WSP monitoring, as well as success in meeting the contract goals and anticipated outcomes will be considered when determining whether a contract is renewed in each subsequent year. See http://dpaweb.hss.state.ak.us/files/pdfs/SPMonitorGuide1204.pdf for additional information.
D. Respond to all client concerns and complaints:
This will be demonstrated by:
Returning client calls to staff or management according to documented internal procedures;
Resolving client calls or concerns at the lowest level possible. Clearly document client communication in CLNOs;
Forwarding clients with unresolved concerns to the DPA Work Services Technical Assistance team at WSTA@alaska.gov. The WSTA team will review the circumstances and respond to the client and WSP with recommendations. These recommendations will be implemented within 24 hours of distribution, and;
Participating in inquiries through the DPA Director’s office, the Commissioner’s office, Constituents Relations, the Legislature, Ombudsman’s office etc.
Establish and maintain positive relationships with community partners to assist with the appropriate access to resources. Encourage staff to seek and participate in opportunities for cross-agency training and communication.
F. Maintain communication with DPA staff to include:
Child Care Program Office (CCPO) (CCPO@alaska.gov or dpaccp@alaska.gov )
Field Services (dpafield@alaska.gov)
Fraud (fraud_allegations@alaska.gov)
Policy (dpapolicy@alaska.gov)
Staff Development and Training (SD&T) (dpatraining@alaska.gov )
Systems Operations (eishelp@alaska.gov)
Research and Analysis (hss.dparesearch@alaska.gov), and
Copy all communications to Work Services Technical Assistance (WSTA@alaska.gov)
G. Respond to subpoenas and court orders in accordance with DPA expectations (ADMIN MS 100-3 E).
Ensure responses to emergency situations, (an unforeseen situation that threatens your employees, customers, or the public; disrupts or shuts down your operations or causes physical or environmental damage) are addressed within a timely manner as defined by the WSP’s internal procedures.
Some examples of emergencies include:
Natural disaster
Hostile clients
Medical emergency
Fire/water or safety issue in the building
Reports of harm
I. Assist in reports of change according to the procedures in the HowWe Guide .
1018-3 RECRUITING AND TRAINING RESPONSIBILITY
The WSP shall maintain a workforce qualified and trained to deliver the services expected of this project. The WSP shall ensure that adequate staffing levels are maintained to ensure the on-going provision of services to clients and the fulfillment of the deliverables and terms of this project.
Work services staff will have the tools and support needed to assure a high standard of customer service. Experience in case management, fluency in verbal and written English, and thorough knowledge of Work Services policy and procedures, including the Principles of Work Services are key components of successful service delivery.
Recruiting
Work services providers will describe their hiring practices including the minimum qualifications for each position in work services in their internal procedure manuals.
Providers must submit resumes for all newly hired staff to WSTA@alaska.gov with the new employees CMS Security Access Request.
Training
Work services managers will ensure that all staff attend the Division of Public Assistance's Fundamentals of Work Services (FWS) training within 6 months of hire (waivers are available if the class is not offered within 6 months of hire). All attendance, participation and course outcomes will be met according to the standard set by DPA's Staff Development and Training. Any noted deficiencies during training will be reported to WSTA@alaska.gov and local leadership upon completion of the course. An individualized training plan will be developed within 5 business days by the WSP's leadership to ensure staff demonstrate skill competency.
Initial and on-going training are essential to skill development and proficiency. Work service providers will describe their training protocols in their internal procedure manual. Consider the following examples:
1. Orientation
2. Standards to pass probation
3. In-house training
4. Training with partner agencies
5. Community training
6. Subject matter specific training
7. Certifications/Continuing education credits
8. Tracking training attendance
C. Work Services Provider’s Staff Resources
The WSP must provide all the necessary resources for the administration of this project including:
1. Adequate and accessible space to operate the service;
2. A current internal procedures manual describing operational policies and procedures and staff duties;
3. Trained and qualified staff;
4. Materials, facilities, and equipment;
5. Computer equipment and software able to operate the DPA Case Management System; and,
6. Resources for clients, including word processing, printing, photocopying equipment, internet access and phones.
D. Responsibility for Sub-contractors
The WSP is responsible for the actions of vendors and/or sub-contractors engaged to provide services to clients or those engaged to fulfill the deliverables of this project. This includes compliance with state and federal confidentiality requirements, federal and state laws against discrimination, and all applicable provisions and conditions of this project.
Confidentiality is essential in maintaining records, sending documents and working with clients. Work services providers will adhere to all DPA confidentiality expectations (ADMIN MS 100-3).
All WSPs who serve or interact in any manner with clients must sign a DPA approved confidentiality form. Confidentiality forms will be maintained on file and accessible upon request by DPA.
Work services providers are required to sign new client confidentiality statements and DPA system security agreements annually. New staff hired during the fiscal year must read, complete, sign and submit to DPA confidentiality and security agreements. Signed agreements must be received by DPA within five working days of the date the employee begins working on this project.
All information, lists, data, documents, and records containing client specific information that is collected by the WSP either in hard-copy or electronic formats are the sole property of the State of Alaska. The WSP shall implement and document policies, practices, and procedures necessary to safeguard the confidentiality of all client information in accordance with state laws and regulations. The WSP is prohibited from allowing third parties access to confidential client information without the express written permission of the Division. The WSP may not use either aggregate or disaggregate client information or statistical data for any purpose outside the direct administration of work services, including but not limited to the WSP’s administration of other projects, programs, grants or contracts without written permission from the Division.
Work services providers are not allowed to maintain records, lists, databases, documents or other identifying material unless it is directly connected to the administration of a public assistance program. Work services providers must submit a written request to maintain separate data bases that details security protocols necessary to safeguard confidential information and that describes procedures for permanently deleting confidential information upon termination of the project. Work services providers will not enter DPA client information into a non-DPA data system without written approval from WSTA. Information stored on the WSP’s database may be restricted by the Division.
Work services providers will be required to identify all data elements to be stored in their systems and how the information and data will be used.
Substantial failure on the part of the WSP to establish, implement, and maintain safeguard policies, procedures and protocols, may cause the Division to terminate the project.
If approved, such databases must meet safeguards that include deleting all DPA client information at the end of this project. DPA will enforce regulations governing the custody, use, and preservation of client records. All client files created and maintained as a result of administering work services are the property of the Division of Public Assistance and must be given to the Division upon request or within 30 days of the end of the project.
All WSP’s staff with access to the DPA Eligibility Information System (EIS) and/or the Case Management System (CMS) or have access to any information in files, records or databases containing client information are required to read the DPA Systems Operations Security Manual and to sign computer security agreements. The WSP shall notify WSTA@alaska.gov within 24 hours when any staff with access to CMS/EIS resigns or terminates from employment.
A. E-MAIL COMMUNICATION
Work services providers who do not have state sponsored e-mail addresses are required to secure confidential material. No external (non- .gov email address) email communication may contain the combination of the client's name and social security number. Clients may be identified by client number. (ADMIN MS 100-8).
B. SECURE MESSAGING
Work services providers are required to use a secure messaging system directed by the State. Contact WSTA@alaska.gov for guidance on establishing a secure message account. If a WSP is not using a secure messaging account to transmit documents with client identifiers, provider may fax to a station approved by WSTA@alaska.gov.
Hard copy documents must be shipped in double envelopes and sent through USPS overnight express, FedEx, and Gold Streak or similar. This method will provide for confidentiality and is traceable.
C. FAX
All facsimile equipment will be monitored by staff, to ensure there is no public access to incoming messages.
D. HARD COPY FILES
Secure all hard copy files and records containing client information in locked cabinets and a secure location that is not accessible by the general public.
E. CASE DOCUMENTATION
The WSP shall document and maintain all client information according to the standards described in the WSPM, Administrative Procedures Manual, and other applicable DPA written guidance.
The WSP will maintain and store client case files for the duration of this contract. Case files will be transferred to DPA when the contract ends or when files are requested by DPA.
1018-5 MANAGEMENT OF CASE TRANSFERS
A. Change of Community
If the client moves from one community to another, and the client will need to be assigned to another WS provider, the following steps will occur:
The WSP will prepare to transfer a WS case once the Eligibility Case Worker takes action to change the residence address in EIS and that change is reflected on the CMS case summary screen;
Finalize any notes including a transfer summary;
Prepare file for transfer through a secure and trackable shipping method;
The receiving WSP will confirm receipt of file via email to the outgoing WSP. The receiving WSP is responsible for changing the CARC and engaging the client within 3 business days of receiving the file.
B. Case Transfer
It is the responsibility of the transferring office to ensure that the following steps are completed when transferring a case:
1. A designated supervisor, lead worker or experienced case manager reviews the file to ensure all required file and electronic documentation is complete;
2. A thorough transfer summary is entered in a CLNO , describing at a minimum the services provided, successes, challenges, strategies, partner agency involvement and recommendations;
3. The new provider’s agency name and address is confirmed and the hard copy file is sent by certified and tracked mail; and,
4. The method of transfer is documented in CMS. The tracking number must be entered into a CLNO.
C. Activity Participation
All clients assigned to a provider on the date of the Participation Report will be included in the prior month’s performance calculation regardless of any dates of referral or transfer.
Example:
Client T. Jones moves from Fairbanks to Wasilla on April 22. The
case is officially CARC’d to the Wasilla provider effective May 2nd. April
work activity participation is processed on or about May 21st. T.
Jones will count in Wasilla’s participation rate for the month of April.
On-going collaboration between DPA and WSPs is critical for the achievement of family self-sufficiency. DPA recognizes that occasionally work services providers will express concerns with the data utilized to determine performance outcomes, which can effect provider payments. This grievance procedure will establish a mechanism to communicate, provide and/or receive additional information, to ensure performance rate accuracy.
A. Definition
A grievance is a written document, with attached documentation that supports the provider’s claim that the Division did not correctly calculate performance outcomes, which subsequently affect the provider’s performance rates (WSPM section 1003-1b).
B. Process
The provider must submit the grievance to DPA within fifteen (15) business days of the day the DPA Research and Analysis Section distributes to the provider a listing of persons included in the participation rate calculation for each measure for the month in question. An Excel template has been developed for reporting grievances, and is available upon request from DPA. The template includes fields for the following information:
Service Provider Name
Participation report month in question
Name of the person preparing the grievance form
The provider’s participation rates for the report month as initially determined by DPA
Client Information
Client Initials
EIS Case Number
Client ID number
A description of the issue involved, and supporting documentation (specific evidence that substantiates the grievance for each client identified). References should be made to client notes, case notes, or other data that help the reviewer determine the facts in the case.
The specific action requested by the provider
The Division will have ten business days to review the grievance and all documentation submitted by the provider. After a review of the grievance and supporting documentation, the completed grievance form listing the decisions in each case and the revised performance and payment will be sent to the provider. The provider will have five business days to review the decisions before the grievance review is finalized. If the provider does not agree with the reviewers findings, they can submit a written request that outlines the basis for their disagreement, along with any additional supporting documentation. A response will be issued by the Division within five working days of the date of the request.
Should the provider disagree with the final decision, an appeal should be submitted to the DPA Chief of Program Integrity and Analysis within ten business days of the date the decision is received.
The Division will authorize payment to the service provider after the completion of the grievance review process, should it be determined additional payment due. This supplemental payment will be made based on an approved Work Services Grievance Invoice.
VALID GRIEVANCES BASED ON PERFORMANCE MEASURE DEFINITIONS
In order to be considered in the JD performance requirement the following situations must be submitted through the established grievance process.
Any requests for penalties or case status requests not acted upon prior to adverse action (example: Household (HH) change working biological parent moves back into HH and case is not processed as a 2p family);
If a client was in penalty, exempt (CA, CD, IC, PM and BA) or a timely request (prior to adverse action) for that action was made correctly the month prior and not acted on, the case will be removed from the denominator of the JD rate when grieved;
If client is in an OJT that closes their ATAP case clients will be included in both the numerator and denominator;
If client is in a 20 hour per week JD activity (based on the referral date to the WS provider) before the client receives a benefit in the month for the month the client will be included in both the numerator and denominator;
If a case closes due to a late recertification before the OJT or Job Start contract is over, the client will be counted in both the numerator and the denominator;
2p family - Job Start or OJT cases that close due to other reasons (i.e., closed due to over-income from the other working parent) will be added to the numerator and the denominator;
2p family - one is meeting the all family rate through full-time core work activities or a minimum of 20 hours core plus a minimum of 10 hours in work support activities and the other is in a CWE, BWE, OJT or Job Start and is meeting the JD participation requirement. The JD participant will be added to the numerator and denominator;
If a client meets the all family rate with a combination of paid employment and other JD activities they will be added to both the numerator and the denominator.
Job development placements that start or end mid-month will be pro-rated based on the contract dates. Approved grievances will be added to the numerator.
If participation is limited by a TA-10 or medical documentation and the client is meeting or exceeding the number of hours allowed by the medical provider (even if fewer than 20 hours a week) the client will be added to the numerator and denominator.
If a client is meeting the all family rate with a combination of JD and other core activities, the client will be added to the numerator and denominator.
INVALID GRIEVANCE BASED ON PERFORMANCE MEASURE DEFINITIONS
Parents who are medically exempt or incapacitated cannot be grieved from that all family rate.
NOTE:
All variables noted above will need to be vetted through R&A and additional criteria may
be added outside of what has been noted.
The WSP and its staff will not engage in conflicts of interest. Conflicts include but are not limited to:
Providing temporary assistance case management services to individuals employed by the WSP;
Developing vendor/sub-contractor agreements with individuals employed by the WSP;
Developing vendor agreements, sub-contractor agreements or using supportive service monies to pay for services provided by the WSP;
Soliciting or accepting gifts that benefit the WSP or its employees;
Accessing or using information received through the Case Management System, form clients or DPA staff for any purpose other than providing direct services to individuals assigned to the WSP.
Any questions regarding “Conflict of Interest” should be referred for clarification through WSTA@alaska.gov .
A. Staff Termination
DPA will not dictate whether an agency may or may not retain staff. DPA does retain the authority to deny an agency’s employee to provide work services.
Staff who engage in a breach of ethical conduct must be reported, in writing, to WSTA@alaska.gov within 24 hours of management’s knowledge of misconduct. The report must include a description of the breach and the disciplinary actions taken by the work services provider. These protocols must be outlined in the provider’s Internal Procedures Manual.
Breaches of ethical conduct are described in the ADMIN MS 100-10 and http://www.law.state.ak.us/doclibrary/ethics.html .
B. Non-compliance
The WSP is considered non-compliant if it does not substantially meet the conditions, terms and expectations of the project, including but not limited to failure to:
Produce and submit accurate and timely project deliverables;
Produce, submit and implement timely responses and corrective action; plans required in response to site monitoring assessments;
Maintain safeguards sufficient to protect client confidentiality; or,
Follow procedures, policies, and regulations
In the event that the State seeks to terminate this project for failure of the WSP to perform any of the services listed herein, the following procedures will be followed:
The State will send a letter, certified mail, stating non-compliance issues or deficiencies. The letter will state the remedies that are required and the period of time that the State will give the WSP to perform these remedies, as well as the consequences of failure to correct these issues or deficiencies. The State may elect to hold the WSP responsible for excess costs of obtaining services elsewhere. Disputes will be handled in accordance with procurement guidelines.
Work Services providers will maintain client files on site for 12 months after closure without employment or 12 months following Post-TA eligibility, whichever is later. Once that time period has been reached, follow the archiving procedures described in (ADMIN MS 103-6).
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