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Rehabilitation Administrative Manual (RAM) Chapter 10

ACCOUNTING FUND SOURCES, CODES, AND RECORDS

DECEMBER 2019

DEPARTMENT OF REHABILITATION - STATE OF CALIFORNIA

This update includes revisions to the following sections:

1000 – Introduction (12/19)

1001 – Abbreviations (12/19)

1002 – General Requirements (12/19)

1010 – Case Service Accounting (12/19)

1011 – Maintaining Case Service Accounting Records (12/19)

1012 – Accounting Fund Sources (12/19)

1013 – Fund Source Assignments (12/19)

1015 – Expiring a Fund Source (12/19)

1021 – Selecting Non-Contract Fund Source Assignments (12/19)

1030 – Contract Fund Source Assignments (12/19)

1032 – Case Service Contracts Associated with Cooperative Programs (12/19)

1034 – Selecting Contract Fund Source Assignments (12/19)

1035 – Primary Contract Fund Source Assignment (12/19)

1036 – Beginning and Ending a Contract Fund Source Assignment (12/19)

1040 – Fund Source Assignment at Authorization (12/19)

1041 – Hierarchy of Fund Source Assignment at Authorization (12/19)

1042 – Fund Source Selection at Authorization for Individual Services (12/19)

1043 – Fund Source Selection at Authorization for Group Services (12/19)

Rehabilitation Administrative Manual (RAM) Chapter 10


DECEMBER 2019

DEPARTMENT OF REHABILITATION - STATE OF CALIFORNIA

1044 – Fund Source Selection for Concurrent Services (12/19)

1050 – Service Categories, Procedure Categories, and Procedure Codes (12/19)

1051 – Locating Service Categories, Procedure Categories, and Procedure Codes (12/19)

1052 – Distinguishing Cooperative Program Codes (12/19)

1054 – Distinguishing Pre-ETS Codes (12/19)

1055 – Distinguishing Business Enterprises Program Codes (12/19)

1056 – Distinguishing Career Counseling & Information and Referral Codes (12/19)

1057 – Distinguishing Codes for Direct Service Fees (12/19)

1060 – Administrative Accounting (12/19)

1065 – Using Administrative Account Codes for Non-VR Individuals (12/19)

1071 – Process for Maintaining Federal RSA-911 Case Services Report (12/19)

1072 – Case Service Report Categories (12/19)

EXHIBIT A — SERVICE CATEGORIES, PROCEDURE CATEGORIES, AND PROCEDURE CODES (12/19)

Rehabilitation Administrative Manual

Chapter 10


Table of Contents

1000 INTRODUCTION (12/19)

1001 Abbreviations (12/19)

1002 General Requirements (12/19)

1010 CASE SERVICE ACCOUNTING (12/19)

1011 Maintaining Case Service Accounting Records (12/19)

1012 Accounting Fund Sources (12/19)

1013 Fund Source Assignments (12/19)

1014 Creating or Editing a Fund Source (11/14)

1015 Expiring a Fund Source (12/19)

1020 NON-CONTRACT FUND SOURCE ASSIGNMENTS (06/17)

1021 Selecting Non-Contract Fund Source Assignments (12/19)

1030 CONTRACT FUND SOURCE ASSIGNMENTS (12/19)

1031 Cooperative Program Contracts (06/17)

1032 Case Service Contracts Associated with Cooperative Programs (12/19)

1033 Other Case Service Contracts (12/19)

1033.1 College to Career Contracts (12/19)

1033.2 We Can Work Contracts (12/19)

1033.3 Summer Training and Work Experience Program for Students (12/19)

1033.4 Foundation for California Community Colleges (12/19)

1034 Selecting Contract Fund Source Assignments (12/19)

1035 Primary Contract Fund Source Assignment (12/19)

1036 Beginning and Ending a Contract Fund Source Assignment (12/19)

1040 FUND SOURCE ASSIGNMENT AT AUTHORIZATION (12/19)

1041 Hierarchy of Fund Source Assignment at Authorization (12/19)

1042 Fund Source Selection at Authorization for Individual Services (12/19)

1043 Fund Source Selection at Authorization for Group Services

Rehabilitation Administrative Manual

Chapter 10


Table of Contents

(12/19)

1044 Fund Source Selection for Concurrent Services (12/19)

1050 SERVICE CATEGORIES, PROCEDURE CATEGORIES, AND PROCEDURE CODES (12/19)

1051 Locating Service Categories, Procedure Categories, and Procedure Codes (12/19)

1052 Distinguishing Cooperative Program Codes (12/19)

1053 Distinguishing Medical Procedure Codes (06/17)

1054 Distinguishing Pre-ETS Codes (12/19)

1055 Distinguishing Business Enterprises Program Codes (12/19)

1056 Distinguishing Career Counseling & Information and Referral Codes (12/19)

1057 Distinguishing Codes for Direct Service Fees (12/19)

1060 ADMINISTRATIVE ACCOUNTING (12/19)

1061 Maintaining Administrative Accounting Records (11/14)

1062 District Administrative Budgets (07/18)

1063 Other Administrative Budgets (11/14)

1064 Identifying Administrative Codes (11/14)

1065 Using Administrative Account Codes for Non-VR Individuals (12/19)

1070 FEDERAL DATA REQUIREMENTS (07/18)

1071 Process for Maintaining Federal RSA-911 Case Services Report (12/19)

1072 Case Service Report Categories (12/19)

EXHIBIT A—SERVICE CATEGORIES, PROCEDURE CATEGORIES, AND PROCEDURE CODES (12/19)

CHAPTER 10 ACCOUNTING FUND SOURCES, CODES, AND RECORDS

Introduction

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1000 INTRODUCTION (12/19)

This chapter describes the Department of Rehabilitation (DOR) policies for selection and use of accounting fund sources, codes, and records. It describes case service and administrative accounting codes and records necessary for effective documentation, accountability, fiscal administration, and reporting of federal and state funds used to operate the DOR vocational rehabilitation (VR) program.

Appropriate selection of fund source assignments and proper use of accounting codes and records ensures accurate:

• Budgeting, accounting, and financial management.

• Preparation of management and caseload reports.

• Reporting to the Rehabilitation Services Administration (RSA) and other control agencies.

Accurate fund source selection and proper coding also supports appropriate encumbering and disencumbering of allowable VR expenditures and obligations.

For brevity, this chapter uses the following conventions:

• For the purposes of this chapter, all references to people who are commonly known as youth, potentially eligible or eligible students, and eligible individuals or consumers, will be called “individual” or “individuals.”

• AWARE is the name of the DOR electronic case management system.

• “Record of services” replaces the term "case file."

• The term "Rehabilitation Counselor” refers to the Senior Vocational Rehabilitation Counselor, Qualified Rehabilitation Professional.

• The terms "designated district staff" or "designated district support staff" refer to standard and optional actors within a VR team or a District Operations Support (commonly known as “DOS”) team, and other authorized staff. The VR team provides direct services, and the DOS team typically provides accounting and support functions.


Introduction

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Appropriate security clearance will be maintained to ensure separation of duties.

1001 Abbreviations (12/19)

This chapter uses the following abbreviations:

ACE Achieving Community Employment

AWARE Accessible Web-based Activity Reporting Environment

BEP Business Enterprise Program

CC&IR Career Counseling and Information and Referral

CFR Code of Federal Regulations

CRP Community Rehabilitation Programs

DGS Department of General Services

DFS Direct Service Fees

DOR Department of Rehabilitation

DOS District Operations Support

FCCC Foundation for California Community Colleges

MSU Medical Services Unit

PE Potentially Eligible

Pre-ETS Pre-Employment Transition Services

RAM Rehabilitation Administrative Manual

RSA Rehabilitation Services Administration

SELPA Special Education Local Plan Area


Introduction

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STEPS Summer Training and Work Experience Program for Students

SWD Student with Disability

VR Vocational Rehabilitation

WCW We Can Work

WIOA Workforce Innovation and Opportunity Act

1002 General Requirements (12/19)

The DOR will utilize a standardized, statewide system of accounting fund sources, codes, and records. In accordance with federal and state regulations, the use of the words “shall” or “must” means mandatory, and the use of the word “may” means permissive. For this chapter, the use of the word “will” also means mandatory.

Designated district staff will remain current on policies, processes, and procedures related to case service and administrative expenditures. This includes familiarity with internal controls1 consistent with the Workforce Innovation and Opportunity Act and the final federal regulations for the vocational rehabilitation and supported employment programs (published August 19, 2016).

Staff will be responsible for understanding and complying with this chapter as well as the DOR Rehabilitation Administrative Manual (commonly known as RAM) chapters and resources, including but not limited to:

• RAM Chapter 5—Property/Equipment

• RAM Chapter 9—Procurement

• RAM Chapter 11—Authorizing, Encumbering, and Disencumbering

• RAM Chapter 12—Vocational Rehabilitation Goods and Services

• RAM Chapter 13—Auditing and Payment of Invoices

1 Authority: 34 Code of Federal Regulations (CFR) 361.12 and 361.28; 34 CFR 80.23(a) and 80.24(a); Uniform Guidance in 2 CFR §200.302 (Financial Management), §200.328 (Monitoring).


Introduction

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• RAM Chapter 14—Accounts Receivable

• RAM Chapter 15—Case Service Property

• RAM Chapter 16—Revolving Fund / Imprest Cash / Bank Draft

• RAM Chapter 17—Cash Receipts

• RAM Chapter 20—Records Management

• RAM Chapter 30—Record of Services

• DOR Contracts and Procurement Bulletins

• Other relevant documents

This chapter is designed to be used in conjunction with the AWARE Reference Guide and the Accounting and Support Desk Manuals located on the DOR intranet.

Go to RAM

http://indor/division/itsd/aware


http://indor/vrprd/program-policy-implementation/case-management

http://indor/ram/ram/rehabilitation-administrative-manual-ram

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Case Service Accounting

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1010 CASE SERVICE ACCOUNTING (12/19)

The DOR shall comply with federal and state regulations to maintain appropriate operational policies, business processes, and procedures for the VR program. Case service accounting refers to encumbrances and payments for case services provided to, or on behalf of, individuals receiving services from DOR, including budgets for contract and non-contract services.2

The DOR shall ensure that allowable VR expenditures and obligations are assigned to the correct federal fiscal year, and that VR obligations are liquidated timely.

The DOR shall ensure appropriate case service accounting for pre-employment transition services (commonly known as DOR Student Services) utilizing the 15 percent reserve requirement for DOR student funding.3 Such services shall be provided to potentially eligible (PE) and VR eligible students with disability (SWD).

The DOR shall carry out its responsibility and accountability for compliance with this chapter, including utilization of appropriate fund sources, codes, and records, as follows:

• Regional Directors will provide leadership and oversight to ensure effective mentorship and development of an organizational culture that values accuracy and accountability of the administration of the VR program.

• District Administrators will ensure compliance for case service accounting systems and strategies in their respective districts.

2 34 CFR 361.12 and 361.28

3 34 CFR 361.65(a)(3)

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• District Contract Administrators will ensure compliance for case service accounting fund sources, codes, and records related to contracts, as assigned, in their service area. Contract Administrators will also orient district managers and appropriate staff to the contracts in their service area and the services provided in each contract.

• District managers, including the Staff Services Managers I – DOS and the Supervising Program Technicians II, will ensure compliance for case service accounting fund sources, codes, and records in the staff work completed in their respective supervisory units.

• District staff will ensure compliance in their own work on individual records of services, and as part of a team, including utilization of appropriate fund sources, codes, and records.

The DOR shall additionally maintain proper accounting systems and reporting of expenditures to the federal Rehabilitation Services Administration (RSA) including the following submissions:

• RSA-911 Case Services Report (Quarterly due 8/15, 11/15, 2/15, and 5/15)

• ETA-9169 Workforce Innovation and Opportunity Act (commonly known as WIOA) Statewide and Local Performance Report (Annually due October 1)

• RSA-2 Annual VR Program/Cost Report (Annual)

• SF-425 Federal Financial Report (Semi-Annual)

• A133 Single Audit (Scheduled)

• RSA-7OB Independent Living Services for Older Individuals who are Blind Annual Report (Annual)

Note: The RSA-113 Quarterly Cumulative Caseload Report is now expired.

1011 Maintaining Case Service Accounting Records (12/19)

The DOR districts will maintain case service accounting records, including but not limited to, the following:

• AWARE layouts and reports

• Consumer Cal-Card file documentation (RAM Chapter 9)

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• Procurement file / documentation (RAM Chapter 9)

• Authorizing and disencumbering records (RAM Chapter 11)

• Levels of prior approval for VR goods and services (RAM Chapter 12, Exhibit A and Exhibit C)

• Unpaid Invoice File records (RAM Chapter 13)

• Accounts Receivable records (RAM Chapter 14)

• Case service property authorizing documents, records, and forms (RAM Chapter 15)

• Check / bank draft counterfoil file records (RAM Chapter 16)

• Collections records (RAM Chapter 17)

• Retained records pursuant to retention schedule (RAM Chapter 20)

Go to RAM.

1012 Accounting Fund Sources (12/19)

Designated district staff will follow a consistent methodology for describing and accounting for federal and state funds, including fund sources that are budgeted for operation of the VR program. Each fund source allocates a sum of money for a specific program or service.

Designated district staff will assign one or more fund source(s) to each individual, so that expenditures for each individual can be allocated to the correct budget and individual record of services. Various fund sources are utilized to allow the DOR to obtain data, account for, monitor, and report on the use of federal and other funds.

Designated district staff will distinguish non-contract from contract fund source assignments corresponding to the method of funding. Fund sources assignments shall include all fund sources that are available to an individual during all or a portion of the individual’s record of services and are not expired. An individual may have multiple fund sources available to him or her, including concurrent non-contract and contract fund source assignments.


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1013 Fund Source Assignments (12/19)

The Rehabilitation Counselor or designated district staff will use the Special Programs page in AWARE to designate one or more fund source assignment(s), as appropriate, for each individual. These assignments represent the fund sources that will be available to the individual for the purchase of goods and services. The Rehabilitation Counselor or designated district staff will update fund source assignments and make the necessary changes to the Special Programs page, as the individual progresses through the VR program.

All fund source assignments chosen for an individual are available for selection when drafting an authorizing document used to purchase case property or services in accordance with Section 1040.

Note: Potentially eligible students in a PE Case Type only require a fund source assignment if DOR Student Services are purchased through the authorization process. They do not require a fund source assignment for Actual Services provided in-house.

1014 Creating or Editing a Fund Source (11/14)

When an authorized DOR staff determines that a new fund source is needed, that requestor will contact the DOR Budgets, Fiscal Forecasting, and Research section. The Administrative Services Division Deputy Director and the Chief of Budgets, Fiscal Forecasting, and Research will approve the addition of any new budgets available for fund source assignment.

The DOR Accounting Section in central office will create and edit fund sources by performing the following actions:

• Coordinate with Budgets, Fiscal Forecasting, and Research, Cooperative Programs Section, the DOR Information Technology Services Division, and other DOR sections to maintain and update non-contract and contract fund sources.

• Provide a list of all valid contract fund sources at the beginning of each fiscal year.

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Refer to Contract Account Codes located on the G drive at: G:\Public Folder\Accounting Information\Contract Account Codes.

1015 Expiring a Fund Source (12/19)

The DOR Accounting Services Section in central office will coordinate with Budgets, Fiscal Forecasting, and Research, Information Technology Services Division, and other appropriate DOR sections to “expire” a fund source. An expired fund source means there is no more money in the DOR budget for a particular contract or service. For example, Cooperative Programs Section will request expiration of a contract fund source when a cooperative program contract, associated case service contract, or other case service contract will no longer continue.

An expired fund source is no longer available for selection as a fund source assignment to purchase goods and services for, or on behalf of, an individual.

The authorized DOR staff will take the following actions prior to requesting the DOR Accounting Services Section to expire a fund source:

• Identify outstanding authorizations, if any.

• Notify responsible staff to request that individuals no longer be assigned to a fund source that will be discontinued.

• Ensure that all outstanding invoices, if any, are posted for payment.

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Non-Contract Fund Source Assignments

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1020 NON-CONTRACT FUND SOURCE ASSIGNMENTS (06/17)

The DOR shall maintain one or more non-contract fund source assignment(s), including VR Base, Supported Employment Regional Center and Supported Employment Non-Regional Center, so that encumbrances and expenditures can be allocated to the correct non-contract budget(s).

The DOR staff shall select one or more of the following non-contract fund source assignments as appropriate to each DOR individual:

Fund Source - VR Base

This fund source is typically selected when an individual is not eligible for any special programs. It utilizes case service dollars that are not associated with a contract fund source. All districts can access VR base funds. This fund source assignment is the general VR budget and is available to all individuals.

Fund Source - Supported Employment Regional Center

This fund source assignment is selected for an individual who is eligible for habilitation services provided by a regional center under contract to the Department of Developmental Services, e.g., typically on the basis of an intellectual disability or developmental disability.

Fund Source - Supported Employment Non-Regional Center

This fund source assignment is selected for an individual who is not eligible for habilitation services provided by a regional center, e.g., typically on the basis of a mental health disability, traumatic brain injury, or other most significant disability.

Refer to RAM Chapter 30 for more information on supported employment.

Go to RAM


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1021 Selecting Non-Contract Fund Source Assignments (12/19)

The Rehabilitation Counselor or designated district staff will charge expenditures for non-contract services by selecting the appropriate non-contract fund source assignment(s). In this way expenditures can be allocated to the correct fund source.

The Rehabilitation Counselor or designated district staff will select one or more non-contract fund source assignment(s) for an individual who is not participating in a cooperative program contract or an associated case service contract, in accordance with the individual case.

The non-contract fund source assignment(s) selected at application, or when there are changes during the life of the case, will be available to the particular individual for the authorization of goods and services in accordance with Section 1040.

An individual with a non-contract fund source assignment may also have a concurrent contract fund source assignment in accordance with Section 1030.

The Rehabilitation Counselor or designated district staff will perform the following actions for each individual:

• Determine whether the person is an individual with a most significant disability who is, or will be, receiving supported employment services with a fund source assignment of Supported Employment - Regional Center. The individual must be Department of Developmental Services-eligible, and the source of extended services must be habilitation services provided by a regional center.

• Determine whether the person is an individual with a most significant disability who is, or will be, receiving SE services with a fund source assignment of Supported Employment - Non-Regional Center. In this case, the source of extended services must be other than a regional center.

• Determine whether the individual has a concurrent contract fund source assignment and refer to Section 1030. For example, an

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individual will also have a contract fund source assignment if he or she is participating in a cooperative program contract, such as a Transition Partnership Program.

• Determine whether the individual will use VR Base at any time during the life of the case.

• Select the applicable non-contract fund source assignment(s) on the Special Programs page in AWARE (see the AWARE Reference Guide).

• “Deselect” the appropriate fund source assignment if a fund source is expired, in accordance with Section 1015.

The Rehabilitation Counselor or designated district staff will regularly revise the Special Programs page for each individual who is receiving DOR services to ensure the information is updated and current. At application, an individual will be assigned the appropriate fund source(s). During the life of the case, the individual may move in and out of different fund source assignments.

Team managers will monitor the accuracy of non-contract fund source assignments and take appropriate action to ensure compliance with these policies.

Refer to Section 1041 for more information if the individual is also receiving supported employment services.

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Contract Fund Source Assignments

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1030 CONTRACT FUND SOURCE ASSIGNMENTS (12/19)

The DOR shall select one or more contract fund source assignments, as appropriate to each individual, so that encumbrances and expenditures can be allocated to the correct contract budget(s). While the fund source selected for some individuals may only be VR Base, the DOR shall identify those individuals receiving contract services, as appropriate to each individual.

There are three groups of contract fund source assignments as follows:

1. Cooperative Programs Contracts fund source assignments 2. Case Service Contracts Associated with Cooperative Programs fund

source assignments 3. Other Case Service Contracts fund source assignments

The DOR shall refer to broad categories of Cooperative Program Contracts based on the third party with which the DOR is partnering. These categories are called contract “types” in AWARE, in accordance with Section 1031. From time to time, cooperative program contract types shall be added or deleted, as needed and as funding allows. Cooperative programs and case service contracts associated with a cooperative program have their own contract funds source assignments according to the contract type. These contracts leverage third party “match” that is typically provided by another public agency.

The DOR shall additionally refer to Case Service Contracts Associated with Cooperative Programs, as appropriate to the individual cooperative program design. Case service contracts have their own fund source assignment. Individuals receiving services from a cooperative program and the associated case service contract must be assigned to both contract fund sources, with the case service contract marked as “primary,” in accordance with Section 1035.

For example, Imperial County Mental Health and DOR have elected to have a case service contract (Imperial County Work Training Center) provide employment services to their mutual individuals. Therefore, individuals receiving services from the Work Training

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Center case service contract will have both the cooperative program fund source assignment (Mental Health-Imperial County) and the case service contract fund source assignment (Mental Health-Work Training Center/Imperial County Mental Health) assigned, with the case service contract marked as primary since they provide the bulk of contract services. Individuals receiving services from a case service contract must have the associated cooperative contract assigned to be able to allocate costs using the associated cooperative contract’s case service dollars.

The DOR shall additionally refer to Other Case Service Contracts. Many of these are special budgets developed to provide specific DOR Student Services to students with disabilities in the Potentially Eligible and VR case type. Other Case Service Contracts not associated with cooperative programs and do not leverage third party match; they are funded entirely by DOR and identified with a separate fund source assignment for each contract.

It is imperative that VR teams select the appropriate fund source when working with students in the PE Case Type and VR Case Type.

The DOR districts shall only access contract fund sources assigned to their districts, with the following exceptions:

• Regional contracts that serve more than one DOR District.

• Workability III Cooperative Programs with community colleges will be available statewide to all districts.

• Workability IV Cooperative Programs with California State University and University of California will be available statewide to all districts.

• All contract fund sources will be available to the Blind Field Services district because Blind Field Services individuals and staff are located statewide.

District Contract Administrators will monitor compliance for cooperative program and associated case service accounting fund source assignments, codes, and records related to contracts, as assigned, in their service area. Contract Administrators will also orient district managers and appropriate

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staff to the contracts in their service area and the services provided in each contract.

The DOR Cooperative Programs Section will monitor contracts with third-party match agencies, which are known as cooperative programs. It will also monitor associated case service contracts with Community Rehabilitation Programs (commonly known as CRP) for VR services that are provided to individuals who are participating in a cooperative program.

Refer to Section 1033 for more information on Other Case Service Contracts.

1031 Cooperative Program Contracts (06/17)

The Rehabilitation Counselor and designated district staff will become familiar with cooperative program contracts for the purpose of accurate fund source assignment.

The cooperative program contract “types” include but are not limited to:

Transition Partnership Programs

The Transition Partnership Programs (commonly known as TPP) are administered through cooperative program contracts between the DOR and local school districts, Special Education Local Planning Areas (commonly known as SELPA), or County Offices of Education. They may also include an associated case service contract with a Community Rehabilitation Program.

WorkAbility II

The Workability II (commonly known as WA II) programs are administered through cooperative program contracts between the DOR and adult schools / regional occupational programs and centers.

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WorkAbility III

The Workability III (commonly known as WA III) programs are administered through cooperative program contracts between the DOR and community colleges.

Workability IV

The Workability IV (commonly known as WA IV) programs are administered through cooperative program contracts between the DOR and a California State University or University of California.

Mental Health Cooperative Programs

The Mental Health Cooperative Programs (commonly known as MH) programs are administered through cooperative program contracts between the DOR and county mental health agencies. They often also include a case service contract with a CRP.

County Welfare Cooperative Programs

The County Welfare programs are administered through cooperative program agreements between the DOR and county welfare agencies.

For each cooperative program contract, there is also a dedicated portion of funds referred to as “case service dollars.” The case service dollars are a discretionary fund and are used for general expenses that include, but are not limited to, expenses such as clothing, tools, and transportation. These expenditures are separate from the cooperative program contract services, which are described in the contract “scope of work.”

Note: Workability I (commonly known as WA I) is administered by the California Department of Education; it is not a DOR cooperative program type.

Cooperative Program Contract “Type” Names

The Rehabilitation Counselor and designated district staff will use consistent names for assigning cooperative program contract types.

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Abbreviations: The following are examples of abbreviations for corresponding cooperative program contract types:

• MH = Mental Health Program

• TPP = Transition Partnership Program

• C2C = College-to-Career

• Welfare = Welfare Program

• WA II = Workability II Regional Occupational Program

• WA III = Workability III Community College Program

• WA IV = Workability IV Statewide California State University / University of California

Refer to Section 1052 for information on cooperative contract service categories, procedure categories, and procedure codes.

1032 Case Service Contracts Associated with Cooperative Programs (12/19)

This section describes two levels of related contracts as follows:

1. Cooperative program contracts

2. Associated case service contracts

The Rehabilitation Counselor or designated district staff will select the contract fund source assignments for both the cooperative program contract and the associated case service contract, as appropriate.

An individual with an associated case service contract will always concurrently have the cooperative program contract fund source assignment. This is because an associated case service contract is always linked to a particular cooperative program contract.

Associated case service contract fund source assignments refer to vocational rehabilitation services that are provided by a Community Rehabilitation Program (CRP) or other case service contract service provider. Services are provided exclusively for DOR individuals who are participating in a cooperative program. Services are typically developed to

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meet the VR needs of the individuals in a particular geographic area. For example, a DOR / County Mental Health cooperative program may have an associated case service contract with a CRP to provide employment services in a particular city.

Case Service Contract Names

The Rehabilitation Counselor and designated district staff will refer to consistent names for assigning case service contract fund sources in AWARE.

Abbreviations: The letters within the cooperative program contract name may include, but are not limited to, the following abbreviations:

• BHS = Behavioral Health Services

• CMH = County Mental Health

• COE = County Office of Education

The naming convention for a case service contract includes the following elements in the order described below:

“Abbreviated Cooperative Program Type / Case Service Contract Vendor Name / Cooperative Program Contract Name”

Example 1: MH / CRP Name / County Name CMH

Example 2: MH / CRP Name / County Name BHS

Refer to Section 1031 for more information on the naming conventions and abbreviations for cooperative program types.

1033 Other Case Service Contracts (12/19)

This section describes “stand alone” case service contract fund source assignments that are not associated with a cooperative program. They are typically funded through VR Base and do not require a state match component.

Other contract fund source assignments for other contracts include the following:

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• College to Career

• We Can Work

• Summer Training and Employment Program for Students

• Foundation of California Community Colleges

Knowing that many case service contracts are intended for students with disabilities it is imperative that DOR staff select the appropriate fund source assignment when working with students in either the PE Case Type or the VR Case Type.

1033.1 College to Career Contracts (12/19)

The College to Career program is administered through case service contracts between the DOR and select community colleges to serve individuals with intellectual disabilities and developmental disabilities and autism.

College to Career is only available to students in the VR Case Type.

The abbreviation, C2C, followed by the location of the contract is used to identify the specific contracts, including the following:

• C2C - College of Alameda

• C2C - Sacramento City College

• C2C - Santa Rosa Junior College

• C2C - State Center Community College District

• C2C - S-T-T Joint Community College District

• C2C - North Orange County Community College

• C2C - San Diego Community College District

• C2C - West Los Angeles College

1033.2 We Can Work Contracts (12/19)

The We Can Work (WCW) contracts are administered through case service contracts between the DOR and statewide local educational agencies that typically do not currently participate in a Transition Partnership Program.

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The purpose of these contracts is to afford students with disabilities an opportunity to participate in DOR Student Services activities that include work-based learning experiences and work readiness training.

We Can Work is available to students in both the PE and the VR Case Types.

The number of contracts fluctuate due to DOR adding or expiring We Can Work contracts, as available and as funds allow.

The abbreviation, WCW, followed by the name of the local educational agency is used to identify the specific contracts.

Refer to G:\Public Folder\DOR Contract Administrators\We Can Work for the list of We Can Work contracts for the current state fiscal year.

1033.3 Summer Training and Work Experience Program for Students (12/19)

The Summer Training and Work Experience Program for Students, (commonly known as STEPS), is a contract between DOR and the Foundation for California Community Colleges with assistance from the Employment Training Panel. The intent of the contract is to fund local workforce boards supported by America’s Job Center of California (commonly known as AJCC) throughout the state.

The Summer Training and Work Experience Program for Students is available to students in both the PE and the VR Case Types.

The award amounts will be determined based on the number of participating students. This contract provides DOR Student Services paid work experience, job exploration, and workplace readiness skills training. In either the PE or the VR Case Type, designated district staff will assign the following fund source to the individual’s Special Programs page in AWARE to properly track the use of funds:

• SS - EDD: Employment Training Panel (Srvc)

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Contact Workforce Development Unit at [email protected]. for questions regarding the Summer Training and Work Experience Program for Students.

Refer to G:\Public Folder\Workforce Development Information for the list of Summer Training and Work Experience Program for Students contracts for the current state fiscal year.

1033.4 Foundation for California Community Colleges (12/19)

The Foundation for California Community Colleges (commonly known as FCCC) in partnership with DOR provides “Employer of Record” services to assist potentially eligible and eligible students with disabilities in obtaining valuable work experience.

The FCCC will maintain the Paycom website where students with disabilities will log their hours. The FCCC will pay the wages earned after the student’s hours have been confirmed.

The FCCC only serves as the employer of record; it will not be involved in job development activities. Job development may be conducted by a community rehabilitation program, a cooperative programs partner, or DOR staff.

Designated district staff will assign the following fund source to the individual’s Special Programs page in AWARE, this is to ensure expenditures are allocated to the correct contract:

• SS - Foundation for California Community Colleges. This fund source is for current Student Work Experience fiscal year 19/20.

Contact Workforce Development Unit at [email protected] for questions regarding the Foundation for California Community Colleges.

Refer to G:\Public Folder\Workforce Development Information for more details on the FCCC.

mailto:[email protected]




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1034 Selecting Contract Fund Source Assignments (12/19)

The Rehabilitation Counselor or designated district staff will charge expenditures for contract services by selecting the appropriate contract fund source assignment(s) for an individual who is participating in one of the following contracts in accordance with the individual case:

• Cooperative Program Contract (Section 1031)

• Case Service Contract associated with a cooperative program (Section 1032)

• Other Case Service Contract (Section 1033)

In this way, expenditures can be allocated to the correct contract.

An individual with a contract fund source assignment may also have a concurrent non-contract fund source assignment in accordance with Section 1020.

The Rehabilitation Counselor or designated district staff will perform the following actions for each individual:

• Determine the cooperative program contract type and the appropriate cooperative program contract fund source assignment in accordance with Section 1031.

• Determine whether or not an associated case service contract exists in accordance with Section 1032.

o If an associated case service contract exists, determine whether or not the individual will currently be receiving the specific services provided by the case service contract.

o If so, select the associated case service contract fund source assignment, in accordance with the individual case.

• Determine if another type of case service contract (not associated with a cooperative program) exists in accordance with Section 1033.

• Determine whether the individual also has a concurrent non-contract fund source assignment in accordance with Section 1021.

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• Select the applicable contract fund source assignment(s) on the Special Programs page in AWARE (see the AWARE Reference Guide).

• End date the fund source assignment when the consumer is no longer participating in cooperative contract services.

The Rehabilitation Counselor or designated district staff will regularly revise the Special Programs page to ensure the information is updated and current according to the individual case. At application, an individual will be assigned the appropriate fund source(s). During the life of the case, the individual may move in and out of different fund source assignments.

Team managers will monitor the accuracy of contract fund source assignments and take appropriate action to ensure compliance with these policies and procedures.

1035 Primary Contract Fund Source Assignment (12/19)

The Rehabilitation Counselor or designated district staff will specify a “primary” contract fund source assignment for each individual so that expenditures can be allocated to the correct cooperative program contract, associated case service contract, or other case service contracts.

The selection of a primary contract fund source assignment may change depending on the type of purchase and the availability of case service funds in a particular contract budget. It will be based on the primary contract service provider at the time services are requested.

If there is only one contract fund source at application, AWARE will consider it to be the primary contract fund source at authorization by default.

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1036 Beginning and Ending a Contract Fund Source Assignment (12/19)

Contract fund source assignments “begin” and “end” depending on the activities of an individual any given time a record of services is active.

The Rehabilitation Counselor or designated district staff will select a “begin date” on the Special Programs page in AWARE for a contract fund source, as appropriate to each individual. A contract fund source assignment begins when the Rehabilitation Counselor determines that an individual will receive services from a cooperative program contract or an associated case service contract.

Conversely, the Rehabilitation Counselor or designated district staff will “end” a contract fund source assignment when an individual is no longer receiving services from a selected contract. The “end date” is added on the Special Programs page in AWARE, when the individual is no longer is participating in the cooperative contract services.

The Rehabilitation Counselor or designated district staff will perform the following actions:

• Insert a begin date when selecting a contract fund source assignment.

• Insert an end date on the contract fund source assignment to end one that is no longer being used when the individual is no longer is participating in the cooperative contract services.

• Select a new primary contract fund source, if applicable; or, select an appropriate non-contract fund source.

• Coordinate with designated district support staff to identify outstanding authorizations prior to ending a fund source, if any.

The designated support staff will perform the following actions:

• Make certain that all outstanding authorizations have a service end date prior to the anticipated contract fund source end date.

• Verify that the end date of the contract fund source is after the end date of the latest authorization. For example, if an individual

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participating in a Transition Partnership Programs contract has an outstanding authorization for clothing, the end date for the Transition Partnership Programs contract fund source must not be prior to the end date for the clothing authorization.

AWARE will automatically insert an end date for all active contract fund source assignments equal to the case closure date when an individual’s record of services is closed.

Note: Ending a fund source assignment is different than “expiring” a fund source.

Refer to Section 1015 for information on expiring a fund source.

CHAPTER 10


Fund Source Assignment at Authorization

Page 26

1040 FUND SOURCE ASSIGNMENT AT AUTHORIZATION (12/19)

This section describes DOR policies for fund source assignment at authorization for each good or service purchased for an individual. It provides guidance on services provided individually or to a group of individuals as well as concurrent services funded by distinct budgets.

The DOR shall charge expenditures for goods and services by choosing a singular fund source assignment for each authorization. The fund source is chosen from among those that were selected on the Special Programs page for an individual in accordance with Section 1013. The decision will be based on the primary service provider at the time services are authorized, except as noted in Section 1041.

The DOR shall use the “Activity Due” in AWARE to communicate the fund source requested for the purchase of each good or service at authorization.

The DOR shall refer to the fund source at authorization as a “budget” in AWARE.

1041 Hierarchy of Fund Source Assignment at Authorization (12/19)

This section defines a ranking for the selection of fund source assignments at authorization. The Rehabilitation Counselor or designated district staff will select the appropriate fund source assignment at authorization according to the following hierarchy:

1. Supported Employment

This fund source is always selected at authorization for the purchase of supported employment services at the time such services are requested, such as supported employment services intake, placement, and retention, or hourly supported employment job coaching. This non-contract fund source must be selected when supported employment services are authorized regardless of an individual’s participation in a cooperative program or associated case service contract, and irrespective of the primary contract fund source assignment.

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For example, an individual who is receiving supported employment job coaching services may also be receiving services under a cooperative program contract. The Rehabilitation Counselor or designated staff will accurately document the appropriate supported employment fund source assignment. The Activity Due will specifically request the appropriate SE fund source (either Supported Employment Regional Center or Supported Employment Non-Regional Center) in lieu of the primary contract fund source when authorizing hourly SE individual or group job coaching.

2. Cooperative Program Contract

This fund source is selected at authorization when an individual is receiving the majority of services from a cooperative program at the time services are requested. Refer to the cooperative program’s scope of work for the services provided. For example, an individual who is participating in a Transition Partnership Programs contract may be receiving contract services from the Transition Partnership Programs staff while in high school.

3. Cooperative Program Contract and Associated Case Service Contract

The associated cooperative program contract fund source should be selected at authorization for individuals receiving the majority of services from the associated case service contract provider at the time services are requested. For example, a Mental Health individual may be receiving contract services from the associated case service contract staff. Therefore, the associated Mental Health cooperative program contract fund source assignment should be selected at the time of authorization. Case service contracts do not have dedicated case service dollars. These funds are allocated to the associated cooperative program contract fund source.

4. VR Base

This fund source is selected at authorization when there is no other special program at the time services are requested.

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The Team Manager will monitor fund sources at authorization and address questions about the hierarchy of fund sources, as appropriate to the individual case.

1042 Fund Source Selection at Authorization for Individual Services (12/19)

This section describes policies for fund source selection at authorization for goods and services provided to an individual.

The Rehabilitation Counselor or designated district staff will identify the singular fund source that will be used for each good or service requested from among the fund sources that are available to the individual.

The Activity Due “request” for goods and services in AWARE must clearly identify the specific fund source to be used for each good or service requested. The Activity Due must contain sufficient information to allow designated district support staff to accurately select the budget for each authorizing document.

The Team Manager and Staff Services Manager I, DOS, as appropriate, will perform the following actions:

• Monitor the clarity and sufficiency of fund source documentation in activity dues written by the Rehabilitation Counselor or designated district staff to request the authorization of goods and services.

• Monitor the accuracy of fund sources used by support staff to create authorizing documents.

• Take appropriate action to ensure compliance with these policies.

Go to RAM

1043 Fund Source Selection at Authorization for Group Services (12/19)

This section describes policies for fund source selection at authorization for services provided to a group.



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Only one fund source will be permitted for each group authorization, regardless of the number of individuals receiving services within a group. For example, all individuals who are receiving STEPS services under a contract group authorization will use the same fund source; that is: SS - EDD: Employment Training Panel (Srvc).

The Rehabilitation Counselor or designated district staff will perform the following actions:

• Identify the singular fund source that will be used for each group service requested—from among the fund sources that are available to the individual.

• Prepare an Activity Due with sufficient information to allow designated district support staff to accurately select the budget for each authorizing document.

Contract Administrators, with oversight from a District Manager, will monitor, review, and approve non-contract and contract group invoices for payment, including verification of appropriate fund source selection at authorization. The approving official will be someone other than the individual who created the group authorization.

The Team Manager, or a designee of the District Administrator, will monitor fund source assignments for group authorizations and will take appropriate action to ensure compliance.

1044 Fund Source Selection for Concurrent Services (12/19)

An individual may receive distinct services from more than one fund source concurrently as long as there is a unique authorization for each separately funded good or service.

Fund source selection for concurrent services at authorization may include any combination of non-contract and contract fund sources: For example, an individual may receive Supported Employment job coaching funded by the (non-contract) Supported Employment Regional Center fund source, and cooperative contract services funded by a (contract) Transition Partnership Programs Cooperative Program fund source. Two separate

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authorization documents are necessary—each having a distinct fund source.

CHAPTER 10


Service Categories, Procedure Categories, And Procedure Codes

Page 31

1050 SERVICE CATEGORIES, PROCEDURE CATEGORIES, AND PROCEDURE CODES (12/19)

The DOR shall follow a consistent, statewide system for categorizing case service encumbrances and expenditures using “service categories,” “procedure categories,” and “procedure codes” in AWARE. Accurate coding supports the accountability of allowable VR expenditures and obligations, assignment to the correct federal fiscal year, and timely liquidation of VR obligations.

The DOR Financial Management Branch shall establish non-medical and medical service categories and procedure categories. It will also establish non-medical procedure codes and “unlisted” medical procedure codes to identify goods and services provided to DOR individuals. From time to time, service categories, procedure categories, and procedure codes shall be added, revised, or deleted, as necessary for VR operations.

The DOR shall refer to specific procedure categories for tracking and reporting services provided under the Cooperative Program Contracts. Examples of these contracts are Mental Health, Workability III Community College Program, or Transition Partnership Program.

The DOR shall refer to the national Healthcare Common Procedure Coding System (commonly known as HCPCS—often pronounced, "hic-pix") to identify medical procedure codes, including the American Medical Association Current Procedural Terminology (CPT) codes to represent a single medical service or item.

The DOR shall refer to specific service categories for tracking and reporting the five required activities consistent with pre-employment transition services (abbreviated as Pre-ETS)4, commonly known in California as DOR Student Services. These services are designed to help students with disabilities begin to identify career interests and learn skills to maximize

4 Federal Regulations (CFR) 361.12 and 326.28; 3 4 CFR 80.23(a) and 80.24(a). Uniform Guidance in 2 CFR §200.302 (Financial Management), §200.328 (Monitoring).

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their success in the transition from school to postsecondary education, employment, independence, and economic self-sufficiency5.

Such services are available to students in the PE Case Type and the VR Case Type.

The DOR shall refer to specific procedure categories for tracking and reporting services provided under the Business Enterprise Program.

The DOR Achieving Community Employment team (commonly known as the ACE Team) shall refer to specific service categories to track and provide Career Counseling and Information and Referral (commonly known as CC&IR) services.

The DOR shall use the Direct Service Fees (commonly known as DSF) authorization type for direct services that have fixed-cost-fees.

From time to time, service categories, procedure categories, and procedure codes shall be added, revised, or deleted, as necessary for VR operations.

1051 Locating Service Categories, Procedure Categories, and Procedure Codes (12/19)

For the purpose of accurate description, all DOR district staff will become knowledgeable in the mapping logic and naming conventions for service categories, procedure categories, and procedure codes.

Approved non-medical and medical service categories, procedure categories, and procedure codes are available in AWARE.

Refer to the AWARE Help Desk module for a description of approved non-medical and medical service categories, procedure categories, and

5 34 CFR 361.48(a).

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procedure codes. The AWARE Reference Guide contains instructions to access the AWARE Help Desk module.

The DOR Accounting Section will additionally maintain a spreadsheet listing of non-medical service categories, procedure categories, and procedure codes on the DOR intranet at G:\Public Folder\Accounting Information\AWARE Service Categories.

Refer to RAM Chapter 10, Exhibit A – Service Categories, Procedure Categories and Procedure Codes for more information on non-medical service categories, procedure categories, and procedure codes.

Refer to RAM Chapter 12 for more information on the provision of Vocational Rehabilitation Goods and Services.

Approved codes for Pre-ETS (commonly known as DOR Student Services) are available in both the PE Case Type and the VR Case Type in RAM Chapter 30 section 3040.

Go to RAM

1052 Distinguishing Cooperative Program Codes (12/19)

The Rehabilitation Counselor and designated district staff will distinguish non-contract from cooperative program contract codes.

The VR team will utilize new service and procedure categories known as Cooperative Contract Services which replaced the Cooperative Employment Services.

Contact the DOR Cooperative Programs Section at [email protected] for more information on cooperative program contracts or associated case service contracts.



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1053 Distinguishing Medical Procedure Codes (06/17)

There are approximately 10,000 medical procedure codes, including codes for medical and dental procedures. Designated district staff will locate, request, and accurately select medical procedure codes in AWARE.

The DOR Medical Services Unit (commonly known as MSU) staff will also maintain the list of medical codes in AWARE.

Refer to the Medical Services Desk Manual for more information on medical procedure codes. Contact the MSU for clarification on medical procedure codes. The Medical Services Unit page is located on the DOR intranet.

Refer to the Dent-Cal handbook for more information on dental codes located at:

https://www.denti-cal.ca.gov/DentalProviders/Denti-Cal/ProviderHandbook/

1054 Distinguishing Pre-ETS Codes (12/19)

The Rehabilitation Counselor and designated district staff will distinguish between the five required DOR Student Services activities. These services are purchased through case services, third party cooperative arrangements, contracts, grants, awards, or other means. The five required services are:

• Job Exploration Counseling

• Work-Based Learning Experiences

• Postsecondary Counseling

• Workplace Readiness Training

• Self-Advocacy Training

The Service Category descriptions align with the corresponding RSA-911 Case Services Report required data element, in accordance with Rehabilitation Services Administration Policy Directives. These service categories are:

http://indor/vred/vr-support-branch/medical-services/medical-services-unit-msu

https://www.denti-cal.ca.gov/Dental_Providers/Denti-Cal/Provider_Handbook/

https://www.denti-cal.ca.gov/Dental_Providers/Denti-Cal/Provider_Handbook/

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• Pre-ETS 1: Job Exploration Counseling

• Pre-ETS 2: Work-Based Learning Experiences

• Pre-ETS 3: Postsecondary Counseling

• Pre-ETS 4: Workplace Readiness Training

• Pre-ETS 5: Self Advocacy Training

The Procedure Categories describe provider/vendor types such as:

• DOR (Actual Service)

• Community Rehabilitation Program

• Cooperative Programs / Case Service Contract

• Other

• School Providers

• Travel Training

Procedure Categories also include all auxiliary aids and services with the Service Category.

Refer to RAM Chapter 30 Section 3040 for a listing of allowed auxiliary aids and services.

The Procedure Codes for Pre-ETS are limited to nine characters. They differentiate the types of expenditures by service, rate structure, and vendor type:

• Wages

• Services

• Vendors with Capitated Rates (Community Rehabilitation Programs, for Individual Service Providers, etc.)

• Auxiliary aids and services

1055 Distinguishing Business Enterprises Program Codes (12/19)

The Business Enterprises Program (commonly known as BEP) provides training and employment for persons who are legally blind in the

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management of food service and vending facilities on public and private properties throughout the State.

The Rehabilitation Counselor and designated district staff will distinguish between the three services provided to individuals. The three services are:

• Evaluation

• Training – DOR

• Training – Vendor

Service category descriptions for the Business Enterprises Program were created to align with the corresponding required data elements in the RSA-911 Case Service Report.

These service categories are:

• BEP Pre – Evaluation

• BEP Training – DOR

• BEP Training – Vendor

The Procedure Categories describe types of services as:

• Evaluation to assist in the determination to qualify for the BEP Training Program.

• Training provided by DOR staff to individuals in the BEP training program.

• Training provided by vendors for individuals in the BEP training program.

1056 Distinguishing Career Counseling & Information and Referral Codes (12/19)

The Rehabilitation Counselor and designated district staff of the ACE Team will distinguish the five distinct service categories within the new Career Counseling & Information and Referral (commonly known as CC&IR) Case Type.

The Rehabilitation Counselor and designated district staff will use these service categories only for the CC&IR Case Type to create, record, track,

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and monitor services provided internally. Such services are not reportable nor linked to any RSA-911 Case Service Report data elements.

Refer to RAM Chapter 10 Exhibit A – Service Categories, Procedure Categories and Procedure Codes for more details on service codes for the CC & IR Case Type.

1057 Distinguishing Codes for Direct Service Fees (12/19)

Designated district staff will utilize appropriate procedure codes when creating a Direct Service Fees (known as DSF) authorization. The DSF authorization allows DOR to purchase specific direct services that will be excluded from Department of General Services (known as DGS) fees.

Designated district staff will identify the correct procedure code by using the AWARE Service Categories & Procedure Codes excel spreadsheet located in the public folder or the Service Category page located in the Help Desk module in AWARE.

https://caaware.dor.ca.gov/aware5/Reports/Report.aspx?&WIN=Financial_1571701939818&Title=Participant&Report=rauthorization&ReportOutputFormat=PDF&ReportTextSize=Always%20Regular%20Text&RemoveShading=False&ReportTitle=AUTHORIZATION%20FOR%20PURCHASE&SessionID=3qbo403p33pxvnw4rae3ba40&ID=637072736311784010G:/Public%20Folder/Accounting%20Information/AWARE%20Service%20Categories/Service%20Categories,%20Procedure%20Code%20Cheat%20Sheet

CHAPTER 10


Administrative Accounting

Page 38

1060 ADMINISTRATIVE ACCOUNTING (12/19)

The DOR shall identify administrative encumbrances and payments not related to individual case services. Administrative goods and services are provided to, or on behalf of, DOR facilities, employees, or other operational needs. These include, but are not limited to, district/section supplies, furniture, and other items and services necessary to support and maintain state business.

The DOR shall use administrative fund sources, accounting records, and codes to track administrative expenditures.

The DOR shall use administrative fund sources and account codes to track expenditures for non-VR individuals.

Authority: California Code of Regulations, title 9, sections 7271 and 7272.

1061 Maintaining Administrative Accounting Records (11/14)

The DOR districts/sections will maintain administrative accounting records including, but not limited to, the following:

• Administrative Equipment Records (RAM Chapter 5).

• Administrative Cal-Card Audit File (RAM Chapter 9).

• Accounts Receivable (RAM Chapter 14).

• Collections (RAM Chapter 17).

• Check Counterfoil File (RAM Chapter 16).

• Procurement Audit File (RAM Chapter 9).

• Retained records pursuant to the required retention schedule (RAM Chapter 20).

Go to RAM


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1062 District Administrative Budgets (07/18)

The DOR District Administrator, SSMI-DOS or designee will track and monitor administrative expenditures for all offices within their respective districts.

There are fourteen districts within the DOR, including thirteen districts in the Vocational Rehabilitation Employment Division and one district—Blind Field Services—in the Specialized Services Division.

A three-digit number is assigned to each district as follows:

110: Redwood Empire

130: Northern Sierra

150: San Joaquin Valley

210: Greater East Bay

230: San Francisco

250: San Jose

320: Santa Barbara

340: Inland Empire

350: San Diego

410: Van Nuys/Foothill

440: Greater Los Angeles

530: Los Angeles South Bay

550: Orange / San Gabriel

560: Blind Field Services

District budgets are allocated by “fund sources,” as given by the DOR Budgets, Fiscal Forecasting, and Research Section.

Budgets, Fiscal Forecasting, and Research Section may restrict district budgets by fund sources at any time when funds are no longer available; this restriction will prevent any encumbrances over the budgeted amount.

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1063 Other Administrative Budgets (11/14)

In addition to the district administrative budgets described in Section 1062, the DOR maintains administrative offices to support the DOR districts as well as other DOR functions. Central Office and other DOR divisions, branches, sections, and units will track and monitor administrative expenditures for all offices within their respective area.

1064 Identifying Administrative Codes (11/14)

Accounting Services will provide a listing of administrative codes (i.e., organization codes, object codes) at the beginning of each fiscal year.

Designated staff from a DOR district as described in Section 1062 or a division/branch/section/unit as described in Section 1063 will select the organization code or object code appropriate to the administrative purchase.

Organization codes are represented by the three-digit district and central office unit codes. The listing is located at G:\Public Folder\Accounting Information\Organization Codes.

Object codes are four-digit budgetary expenditure codes. The listing is located at G:\Public Folder\Accounting Information\Object Codes.

1065 Using Administrative Account Codes for Non-VR Individuals (12/19)

Under certain circumstances, the DOR may purchase items for individuals who are not participating in a VR program. Invoices for these services shall not be charged to case service budgets.

Department staff will utilize administrative account codes to purchase services and commodities for individuals in the following programs:

• Personal Goal (PG)

The following are administrative codes:

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0054–5053 Reader Services for Non-VR Blind: Use administrative Organization Code 0054 and Object Code 5053.

0054–5081 Counselor / Teacher Personal Goal Purchases (includes supplies and equipment): Use administrative Organization Code 0054 and Object Code 5081.

Refer to RAM Chapter 12 or the AWARE Reference Guide for more information on Personal Goal Services.

Refer to the Contracts & Procurement Section on the DOR intranet for more information on the procedures for processing administrative purchases.

Go to RAM


http://indor/asd/financial-management-branch/contracts-and-procurement/contracts-procurement-vehicle-purchase-modification


CHAPTER 10


Federal Data Requirements

Page 42

1070 FEDERAL DATA REQUIREMENTS (07/18)

The DOR shall consistently collect, document, review, verify and submit federally mandated data to ensure VR program accountability and sustainability.

1071 Process for Maintaining Federal RSA-911 Case Services Report (12/19)

There are almost 400 data elements related to the quarterly federal RSA-911 Case Service Report.6 These records inform the WIOA Title IV program data reported to the RSA and other control agencies.

Designated district staff will collect, and document data related to an individual’s record of services. The RSA-911 Case Service Report must be submitted for each program quarter within 45 days after the end of the quarter.7 Team Managers will review data collection and documentation as to ensure complete, accurate, and timely data reporting.

Central office staff will perform business processes related to data verification and submission. Analytical staff, with manager oversight, will check data integrity using an “error and correction” protocol. The DOR will coordinate quarterly data submission with RSA. The following table shows the due dates for each reporting period:

Quarter Reporting Period Report Due Date

1 July 1 – September 30 November 15

2 October 1 – December 31 February 15

3 January 1 – March 31 May 15

4 April 1 – June 30 August 15

6 RSA-PD-16-04 Revision of PD-14-01 instructions for completion of the Case Service Report Manual (RSA-911) for the State Vocational Rehabilitation Program and the State Supported Employment Services Program.

7 The Case Service Report (RSA-911) is based upon the Program Year (July 1 through June 30).

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The DOR shall meet its “WIOA Statewide Performance Report” (commonly referred to as the ETA-9169) requirements as a core program under WIOA. The WIOA Statewide Performance Report is due annually on October 1st.

1072 Case Service Report Categories (12/19)

The RSA-911 Report, contains the following service categories:

• Pre-Employment Transition Services o Job Exploration Counseling o Work based Learning Experiences o Counseling on Enrollment opportunities o Workplace Readiness Training o Instruction in Self Advocacy

• Training Services o Graduate College or University o Four-Year College or University Training o Junior or Community College Training o Occupational or Vocational Training o On the Job Training o Registered Apprenticeship Training o Basic Academic Remedial or Literacy Training o Job Readiness Training o Disability Related Skills Training o Miscellaneous Training o Randolph-Sheppard Entrepreneurial Training o Customized Training

• Career Services o Assessments o Diagnosis and Treatment of Impairments o Vocational Rehabilitation Counseling and Guidance o Job Search Assistance o Job Placement Assistance o Short Term Job Supports o Supported Employment Services

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o Information and Referral Services o Benefits Counseling o Customized Employment Services o Extended Services

• Other Services o Transportation o Maintenance o Rehabilitation Technology o Personal Assistance Services o Technical Assistance Services Including Self-Employment o Reader Services o Interpreter Services o Other Services

All DOR services listed in the RAM Chapter 10, Exhibit A, and any new services created, must map back to one of the RSA-911 Report categories listed above. As the RSA refines its definitions of the service categories in the RSA-911 Report, the DOR will increasingly align its service categories to match these new definitions.

CHAPTER 10


Exhibits

Page 45

EXHIBIT A—SERVICE CATEGORIES, PROCEDURE CATEGORIES, AND PROCEDURE CODES (12/19)

This exhibit describes the service categories, procedures categories, and procedure codes in relation to vocational rehabilitation (VR) services for individuals served by DOR.

It is located as a separate document, entitled RAM Chapter 10, Exhibit A, on the DOR intranet from the RAM index page.

Go to RAM

A listing of all the Service Categories, Procedure Categories, and Procedure Codes can be found at the following location:

G:\Public Folder\Accounting Information\AWARE Service Categories\Service Categories, Procedure Code Cheat Sheet


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