stop quality assurance onsite monitoring tool - fcadv 12-13 stop law enforcement... · with regard...

STOP Quality Assurance Onsite Monitoring Toolfor

(Law Enforcement Provider Name)

FY 2012-2013

Section I ContractSection II VOCA Compliance Checklist

TABLE OF CONTENTS

Agency Name:

DCFYes No NA

Standard Contract RequirementsDoes the Provider allow public access to records in accordance with F.S. except records made confidential by law? Contract

Does the Provider maintain, with respect to each employee, either in the employee's personnel file or in a separate file, a Department of Homeland Security Form I-9?

Contract

Does the Provider use the E-verify system established by the U.S. Department of Homeland Security to verify the employment eligibility of all newly hired or newly assigned employees?

Contract

Does the Provider retain client records, financial records, and supporting documents, including electronic storage media, for a 6-year time period? How does the Provider store the documents and media?

Contract

Does the Provider report abuse, neglect or exploitation as required by Florida law?

Contract

Has the Provider been put on notice of any claim of copyright or patent infringement? If so, has the Provider advised FCADV?

Contract

Does anyone on the Provider project have access to DCF information/data? If yes, has the security agreement form been completed and signed (CF 0114) and security awareness training been completed?

Contract

Section II: CONTRACT REVIEW

Contract Section Comments

I = InterviewO=Observation

D= Documentation

In Compliance?

Authority

Law Enforcement Provider Name

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


Is the Provider aware that the Provider and its subcontractors, where direct services are provided, must comply with section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794, as implemented by 45 C.F.R. Part 84 (hereinafter referred to as Section 504), the Americans with Disabilities Act of 1990, 42 U.S.C. 12131, as implemented by 28 C.F.R., Part 35 (hereinafter referred to as ADA), and the Children and Families Operating Instruction (CFOP), 60-10, Chapter 4, entitled "Auxiliary Aids and Services for Persons Who Are Deaf or Hard-of-Hearing"?

Contract

If the Provider or any of its subcontractors employs 15 or more employees, did the Provider designate a Single-Point-of-Contact (one per firm) to ensure effective communication with deaf or hard-of-hearing customers or companions in accordance with Section 504, the ADA, and CFOP 60-10, Chapter 4?

Contract

In reference to the previous question, did the Provider furnish the name and contact information to the FCADV's contract manager within 14 calendar days of the effective date (the date the Standard contract was executed) of this requirement?

Contract

Within 30 days of the effective date of this requirement, did the Provider contractually require that its subcontractors comply with Section 504, the ADA, and CFOP 60-10, Chapter 4?

Contract

Did the Single-Point-of-Contact ensure that employees are aware of the requirements, roles and responsibilities and contact points associated with compliance with Section 504, the ADA, and Chapter 4?

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


With regard to the requirements of Section 504, the ADA, and CFOP 60-10, Chapter 4, did employees of the Provider and/or its subcontractors have in their personnel files:

a. Signed attestations regarding their understanding of Section 504 and ADA? (Applies to all of the Provider's or the subcontractor's staff if the Provider or subcontractor has more than 15 employees).

Contract

b. Signed attestation regarding Effective Communication? (Applies to direct service staff only; applies to Providers and its subcontractors regardless of size of staff).

Contract

c. With regard to "b." above, are the Certificates of Completion for Effective Communication training in the personnel files? Contract

Did the Provider's Single-Point-of-Contact ensure that conspicuous Notices which provide information about the availability of appropriate auxiliary aids and services, at no cost to the deaf or hard-of-hearing customers or companions, are posted near where people enter the Provider's locations? (The Notice may be downloaded at http://www.dcf.state.fl.us/admin/civilrights/). (Applies to Providers and its subcontractors with more than 15 staff).

Contract

Did the Provider and its subcontractors document the customer's or companion's preferred method of communication and any requested auxiliary aids/services provided in the customer's record? (Applies to Providers and its subcontactors regardless of size of staff).

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


In reference to the previous question, did the Provider document, with supporting justification, the reason any request was not honored? (Applies to Providers and its subcontractors regardless of size of staff).

Contract

Did the Provider submit compliance reports monthly (by the 5th calendar day following the reporting month) to the FCADV's contract manager? (Applies to Providers and its subcontractors regardless of size of staff).

Contract

Did the Provider distribute Customer Feedback forms to customers or companions, and provide assistance in completing the forms as requested by the customer? (Applies to Providers and its subcontractors regardless of size of staff).

Contract

If customers or companions were referred to other agencies, did the Provider ensure that the receiving agency was notified of the customer's or companion's preferred method of communication and any auxiliary aid/services needs? (Applies to Providers and its subcontractors regardless of size of staff).

Contract

Does the Provider comply with HIPAA? Contract

Has the Provider been made aware of any legal action taken against it related to this contract? If so, did the Provider notify the FCADV within the allotted timeframe (within 10 days of becoming aware)?

Contract

Does the Provider provide services to victims of domestic violence, dating violence, sexual assault, and/or stalking?

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


Does the agency coordinate, as needed, with other local agencies for the purpose of providing comprehensive services for participants? If so, how?

Contract

Does the Provider document the number of domestic violence, dating violence, sexual assault, and/or stalking cases resulting in a case number being filed for prosecution? If so, how?

Contract

PERFORMANCE MEASURE: Do 80% of the domestic violence, dating violence, sexual assault and stalking arrests result in being filed for prosecution?

Contract

Does the Provider maintain records sufficient to calculate the performance measure outlined in the above question? Contract

Does the Provider report the results of the performance measure calculation on the monthly invoice? Contract

Has the agency identified and tracked activities and demographics of victims served under this contract to comply with the requirements of the Federal Annual Progress Report. If so, how?

Contract

Is the person listed on the agency contact list still in that position? If not, has the name of the new contact been forwarded to the FCADV contract manager?

Contract

Does the agency use subcontractors? If so, did the agency obtain subcontract approval as required in Standard Contract Section 11?

Contract

Does the agency maintain administrative offices located at the address specified in the Standard Contract? If not, was FCADV notified at least 30 calendar days prior to the Provider changing its address?

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


Has the agency purchased any Information Technology Resources (ITR), including software and training, with contract funds? If so, did the agency receive prior written approval from FCADV?

Contract

Has the agency provided the contract manager with an equipment inventory, on a quarterly basis, of equipment acquired, in whole or in part, with contract funds (including computers)?

Contract

Does the agency comply with Florida Statutes Sections 11.45 and 215.97 (Audit Requirements), Section 112.061 (Travel Expenses), Chapter 119 (Access to Records) and Chapter 287 (State Procurement Regulations) for the state expenditure limitation?

Contract

Did the Provider submit, or is the Provider on schedule to timely submit, its Federal Annual Progress Report on January 15, 2013 and July 15, 2013?

Contract

Has the agency timely submitted to the contract manager its monthly Financial Report which documents the total expenditures and utilization of total local cash or in-kind match for each month of the contract period?

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


If published before July 1, 2011: In regard to publications using STOP funding, has the Provider, in accordance with STOP Violence Against Women (STOP) federal funding requirements, submitted to the FCADV for review one copy of all reports and proposed publications resulting from STOP funding at least 45 days prior to public release? Did they contain the following statements: "This project was supported by Grant No. LN964 awarded to the Florida Coalition Against Domestic Violence (FCADV) by the state administering office for the STOP Formula Grant Program. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the FCADV, the state, or the U.S.Department of Justice, Office on Violence Against Women."? OR “This project was supported by contract No. LN964 awarded by the state administering office for the STOP Formula Grant Program. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the state or the U.S. Department of Justice, Office on Violence Against Women.”?

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


If published on or after July 1, 2012: In regard to publications using STOP funding, has the Provider, in accordance with STOP Violence Against Women (STOP) federal funding requirements, submitted to the FCADV for review one copy of all reports and proposed publications resulting from STOP funding at least 45 days prior to public release? Did they contain the following statements: “This project was supported by contract No. LN966 awarded by the state administering office for the STOP Formula Grant Program. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the state or the U.S. Department of Justice, Office on Violence Against Women.” OR “This project was supported by contract No. LN964 awarded by the state administering office for the STOP Formula Grant Program. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the state or the U.S. Department of Justice, Office on Violence Against Women.” ? (NOTE: If published between July 1, 2011 and June 30, 2012, the supporting contract will be listed as "LN964").

Contract

Agency Name:

DCFYes No NA




D= Documentation

In Compliance?

Authority


In this contract period, is the agency aware that it needs to comply with the following civil rights requirements: Federal civil rights/nondiscrimination requirements including the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C. §3789d); VOCA (42 U.S.C. §10604(e)); the Juvenile Justice and Delinquency Prevention Act of 2002 (42 U.S.C. §5672(b)); the Civil Rights Act of 1964 (42 U.S.C. 2000d); the Rehabilitation Act of 1973 (29 U.S.C. 794); the Americans with Disability Act of 1990 (42 U.S.C. 12131-34); the Education Amendments of 1972 (20 U.S.C. 1681, 1683, 1685-86); the Age Discrimination Act of 1975 (42 U.S.C. 6101-07); 28 C.F.R. pt. 42 (U.S. Department of Justice Regulations-Nondiscrimination; Equal Employment Opportunity; Policies and Procedures); 28 C.F.R. pt. 38 (U.S. Department of Justice Regulations - Equal Treatment for faith-based organizations); and Ex. Order 13279 (equal protection of the laws for faith-based and community organizations)?

Contract

Is the agency aware of any civil rights complaints made during this contract period? If the complaint resulted in a finding of discrimination, was a copy of the finding forwarded to the Office for Civil Rights (OCR), Office of Justice Programs and the Department of Children and Families (DCF)?

Contract

Does the Provider take reasonable steps to ensure meaningful access to the Provider's programs and activities? If so, how? (Applies to Providers which receive federal funds).

Contract

Did the Provider expend, during its previous fiscal year, more than $500,000 in federal or state funds? If so, did the Provider obtain an OMB A-133 audit?

SC, OMB A-133, CFOP 75-8

N/A YES NO Best Practice

Compliance Mandatory Comments

I.

1 Are the VOCA program services accessible to persons with disabilities (ensuring equal levels of service)? Check all that apply: X

Designated parking? Ramp access to buildings? Alternative formats available for documents? Accessible restrooms? Doorways and doors accessible? Sign language interpreter available? Able to provide access to services through financial resources or community partners? Does the provider have a written plan to identify and address accessiblility issues for crime victims?

2 Does the sub-grantee include persons with disabilities in VOCA program planning and activities? X3 Is Crime Victim Compensation information (brochures and/or posters) available in a prominent location within the facility? X

10 The sub-grantee can describe how victims are counted for the purpose of reporting in the Monthly Performance Report. X

11 The sub-grantee can describe how victims are documented by the agency for the purpose of reporting in the Monthly Performance Report. X

(Please obtain copies of “face sheets”, “intake forms” or other forms used or collect screen shots which document the process.)

12 The sub-grantee can describe how services are counted for the purpose of reporting in the Monthly Performance Report. X13 The sub-grantee can describe how services are documented for the purpose of reporting in the Monthly Performance Report. X

14

The sub-grantee provides Crime Victims Compensation (CVC) assistance to 100% of victims assisted by the agency. If not, please note why not below in a through d: a. Less than 100% of victims are provided CVC information/assistance because there are non-reporting Domestic Violence victims served by the agency. b. Less than 100% of victims are provided CVC information/assistance because there are non-reporting Sexual Assault victims served by the agency. c. Less than 100% of victims are provided CVC information/assistance because there are Adults Molested as Children served by the agency.

x

15The sub-grantee displays Crime Victim Compensation poster(s) and brochures in a prominent location within the facility. (Check that posters and brochures have current AG name.)

X

II. SERVICE IDENTIFICATION, PROVISION, PERFORMANCE, AND ACCESSIBILITY1 The sub-grantee can describe its approach to or model for identifying and addressing the needs of crime victims. X

a. The sub-grantee is a first responder.b. The sub-grantee meets the immediate needs of victims served.c. The sub-grantee meets the long-term needs of victims served.

X

4 Are Crime Victim Compensation materials current with the correct Attorney General's name?

Does the provider maintain files on all clients?

X

GENERAL QUESTIONS

X

X

VOCA COMPLIANCE MONITORING CHECKLIST

Does the policy include procedures/policies for disposal of records? 9

Does the provider have a written record retention policy in accordance with the VOCA Agreement? 8

Does the provider maintain all client files and program files for at least 5 years? 7

Are client files kept in a secure/confidential location? 6

X

5

Provider Name:

Address, City, State, Zip Code

Completed By:

Date:

X



2 The sub-grantee measures performance of the VOCA-funded program (e.g. peer review, client satisfaction surveys, self-evaluations,

etc.). X

a. The sub-grantee faces barriers to conducting evaluations.b. Information gathered during evaluations had an impact on service delivery. If not, please explain.

III. STAFFING

1 The sub-grantee has at least one staff that has a current Victim Services Practitioner Designation from the Office of the Attorney General. (NOTE: Legal Clearinghouse staff are exempt from this requirement.) X

a. Name of practitioner and expiration date of the current designation?

2 The sub-grantee can provide the position titles for its VOCA-funded project and designate the positions as paid, volunteer, match, full-time, and part-time. X

3 The sub-grantee performs background checks on VOCA staff. X4 The sub-grantee performs background checks on VOCA volunteers. X5 Results of background checks are maintained in staff and vounteeer personnel files. X

a. If not, where are results maintained or documented?6 How are staff hours documented? X7 How are staff work activities documented? X8 The sub-grantee has had vacancies of VOCA-funded positions that lasted for more than two months? X9 If the answer to question 8 is "yes", what were the affected positions and the reason(s) for the vacancy(s)? X

IV. BOARD OF DIRECTORS1 The sub-grantee can provide a list of current board members (private not-for-profit agencies only). X2 The sub-grantee's board members receive training in roles and responsibilities. X3 How often does the board meet? X4 Which staff members regularly attend board meetings and report to the board? X5 The sub-grantee's board regularly reviews financial statements. X6 How often does the board review financial statements? X7 The sub-grantee's board reviews the annual audit. X8 Are any board members related to any paid staff? X9 How are board members recruited? X

10 The sub-grantee's board conducts a performance evaluation of the Executive Director at least once a year. XV. VOLUNTEERS

1 The sub-grantee can substantiate the volunteer base for the agency. (Check all of the following items): Xa. The sub-grantee has an established manner of recruitment.b. The sub-grantee has reliable sources from which volunteers are recruited.c. The sub-grantee has a specific person(s) responsible for training volunteers.d. The sub-grantee has an established mechanism to assess the training needs of volunteers.e. The sub-grantee has a specific person(s) responsible for supervising volunteers.

2 The sub-grantee utilizes volunteers for victim services. X3 Do volunteers provide services for the VOCA-funded project? If so, the sub-grantee can substantiate the following: x

a. The type of work volunteers do on the VOCA project.b. The number of VOCA volunteers.c. The average weekly/monthly commitment of volunteers related to the VOCA-funded project.

4 How are volunteer hours documented? X5 How are volunteer activities/duties documented? X

Notes (strengths, areas of improvement, additional comments):

VI. MANAGEMENT AND ADMINISTRATION OF VOCA PROJECT1 Who (title and name of person) manages the VOCA-funded program overall? X

a. Does this person have a copy of the VOCA Agreement?b. Does this person have a copy of the approved VOCA budget?

2 Who (title and name of person) manages or coordinates the formulation of the VOCA budget? X3 Who (title and name of person) makes the decisions regarding expenditures charged to the grant on a day-to-day basis? X4 Who (title and name of person) is responsible for programmatic decisions/management? X5 Who (title and name of person) is responsible for staffing decisions/management? X6 Who (title and name of person) is responsible for preparing the Monthly Performance Report? X



a. Does this person have a copy of Attachment A of the VOCA Agreement?

7 Who (title and name of person) is responsible for preparing the monthly invoice or required forms and supporting documentation? X

a. Does this person have a copy of the VOCA Agreement and budget? X8 Who (name and title of person) maintains copies of all VOCA-related accounting records? X9 Are VOCA monthly invoices and Monthly Performance Reports submitted together each month? X

If the answer to question #9 above is "no", remind the sub-grantee that it is required that the two items must be submitted together.

10 The sub-grantee's accounting systems, policies, and procedures are in accordance with Generally Accepted Accounting Principles (GAAP). X

11 The sub-grantee can identify what accounting software it uses. X

12The sub-grantee can describe how its accounting system can differentiate between VOCA-related expenses and those related to other programs or grants, if any.

X

13 A copy of a report or summary generated from the system illustrating the answer to #12 was provided? X14 The sub-grantee prepares budgets by program, category and funding source. X15 The program manager or other staff regularly reviews budget variances. X

16 The sub-grantee performs a review of the VOCA budget, expenditures and expected expenditures at some point in the grant year to determine if budget modification is desirable or necessary. X

17 Who (title and name of person) prepares accounts payable invoices and checks for payment? X18 Who (title and name of person) signs the checks? X19 The sub-grantee has a policy establishing a dollar threshold over which two signatures are required on checks. X20 What is the dollar threshold, if any? X21 The sub-grantee has a written inventory control procedure. X22 Equipment purchases are inventoried in a manner that allows for tracking and identification. X23 Has any equipment been purchased with VOCA funds in the current or prior grant years? X

24 An inventory listing of all equipment purchases made with VOCA funds was provided? (The listing should show, at a minimum, an inventory control number for each item.) X


VII. SUB-CONTRACTING

1 Does the sub-grantee sub-contract with any vendors or professionals (e.g. therapists) for services related to the VOCA-funded project? X

2 Does the sub-grantee maintain signed contracts with any such vendors or professionals for these services? X

3 If so, do the contracts include provisions for appropriate documentation, record-keeping, and access to these by the Office of the Attorney General to relevant documents via an audit or monitoring similar to the VOCA Agreement? X

4 Does the sub-grantee maintain appropriate records such as time sheets, invoices, and service records to substantiate the sub-contractor's costs passed on to the VOCA grant? X


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