Contract Reviews

Contract Reviews September 14, 2007 1 Background User requirements courtesy of the patient West Texas Telecommunications Pilot team: James, Jay ,Fred, Dandy, Erasmo, Kristy, Wayne, Eileen, Melony, Mark, Doug, Claude, Chance, Elisha, Dennis, and of course Terry, JM, David, and Julio Policy requirements courtesy of Conservation Contract Policy. Access courtesy of this menu in ProTracts. 2 512.55 Contract Reviews B. Annual Reviews Required The Designated Conservationist will review contract implementation annually. (i) If all practices are applied as scheduled and other contract provisions are being followed, this finding will be documented in the contract folder. Completion of Form NRCS-CPA-13 is not required for these contracts. 3 512.55 Contract Reviews B. Annual Reviews Required The Designated Conservationist will review contract implementation annually. (ii) If the provisions of the contract are not being followed, the NRCS representatives will document those findings on Form NRCS-CPA13. (note: these should all be documented in the ProTracts Contract Review module for all new NRCS-CPA-13’s) 4 512.55 B(ii) Contract Reviews The contract review will be signed by the NRCS representative. When the NRCS representative is a person other than the Designated Conservationist (DC), both the reviewing representative and DC will sign Form NRCS-CPA-13. A copy will be provided to the participant, and the original will be placed in the contract folder. 5 512.55 Contract Reviews (iii) The DC will work with the participant(s) to resolve all issues and document all actions that need to be taken to complete the contract, including establishing a timeframe for the participant to comply with the contract provisions. The document will be signed by the DC and the participant. (Form NRCS-CPA-153 may be used.) (iv) If the participant cannot or will not complete the contract obligations as previously agreed to, follow the procedure in section 512.57 to terminate the contract. Since contract termination is an adverse action, program participants must be offered appeal rights as described in CPM Part 510, Subpart B. 6 512.55 Contract Reviews Did you see the policy reference for a final contract review? Answer: No, there is no policy that we do a final contract review. We should be monitoring contracts annually as required and when no practices remain to be installed (potential for behind schedule is over) document other contract provisions (including maintenance) are being met. 7 512.55 Contract Reviews: ‘Other Provisions’ C. Elements to be Reviewed Elements that will be annually reviewed with CPC participants include the following: (i) Success of practices and systems completed. (ii) Operation and maintenance of practices and systems completed. (iii) Location and condition of all portable equipment purchased with CPC assistance. (iv) Confirmation that at least the benchmark level of treatment is maintained (CSP only). (v) Status of practices not completed. (vi) Reasons for lack of progress. (vii) Need for revision of the conservation plan schedule of operations. (viii) Description of any potential violations of the CPC. (ix) Agreement on practices to be implemented next fiscal year. (x) Confirmation that participants still control all land under contract. 8 Understand Policy = Understand Workflow 1. Search for contracts on schedule, document other provisions are met. 2. Search for contracts on schedule, document if other provisions are not met, complete CPA-13, affix NRCS esignatures, provide participant copy. 3. Search for contracts not on schedule, document on CPA-13, affix NRCS esignatures, provide participant copy. 9 Contract Non-Compliance Non-compliance form NRCS-CPA-153 is provided in a partially electronically filled format with participant information. Much of form will be completed on hard copy. ProTracts will store in Contract History that CPA-153 was completed. 10 512.55 D. Annual Administrative Review of Certifications Have not incorporated selection of 5% spot check of LRP/BF within ProTracts as some states do reviews on contracts and some on applications. Have included required letters per 512.91 J & K under Manage Applications and Manage Contracts. 11 Find Contracts for Review Very detailed selection criteria, including participant number or contract number. Must select one radio button under each of the Find Contract and Display options. Managers can use as monitoring tool for status updates on Contract Review activities in any geographic area. 12 Find Contracts for Review Participant Name and Contract Number search boxes may result in “no contracts found” message since you are always searching for multiple criteria because you must select one radio button under each of the Find Contract and Display options in conjunction with the name or number. This is because the workflow differs if you are on schedule or not on schedule. 13 Explanation of Terms  Review Year= Calendar year of Annual Contract Review  Prior Year Incomplete = contract item planned year is less than review year and contract item status is Planned or Partial Certified  Items Scheduled in the Review Year = contract items planned year is the same as the review year AND the contract item status is Planned or Partial Certified  Contracts on Schedule will have no Prior Year Incomplete Items and may or may not have items scheduled in the Review Year  Contracts Not on Schedule will have Prior Year Incomplete Items and may or may not have items scheduled in the Review Year 14 Explanation of Query Results  Search is for active contracts only  Includes all practice and activity codes including TSP TA items  Includes Non-cost share items which are required items  Only items are displayed that meet the respective criteria (prior year incomplete or scheduled in the review year.) All other items are filtered out. 15 Process: Contracts on Schedule  Displays zero prior year items since “on schedule” and the number of items to be scheduled in current year (which could also be zero if nothing scheduled.)  Information can be exported to Excel. 16 Process: Contracts on Schedule  Select contract to complete (yellow).  Select Review from menu bar.  Answer Provisions Met Question (see 512.55C) 17 Process: Contracts on Schedule  Review is now complete and displayed when query Contracts on Schedule AND Contracts Reviewed is selected.  Option: Go to Letters, select Annual Practice reminder letter, and send the participant a reminder of his currently scheduled practices and contract follow-up is complete. 18 Process: Contracts on Schedule Ver. 2  Select contract to complete (yellow).  Select Review from menu bar.  Answer Provisions Met Question (see 512.55C) 19 Process: Contracts on Schedule Ver. 2 When other provisions are not met, this message is displayed. User is sent directly to the CPA-13 form. 20 Process: Contracts on Schedule Ver. 2  In this example have “selected land is not under the control of the participant”, and entered reason in text box. 21 Process: Contracts on Schedule Review is complete( once electronic signatures are affixed) and displayed when query Contracts on Schedule AND Contracts Reviewed is selected. Note: Review WAS on schedule so will appear on this query even though CPA-13 was needed for other provision concerns. 22 Process: Contracts Not On Schedule Displays prior year incomplete and items to be scheduled in current year.  Information can be exported to Excel. 23 Process: Contracts Not On Schedule  Displays prior year incomplete and items scheduled in current year at the individual contract level.  Select contract and Review to complete the CPA-13. 24 Process: Contracts Not On Schedule  Displays prior year incomplete and items scheduled in current year at the individual contract level.  Select contract and Review to complete the CPA-13. 25 26 CPA-13 Signatures NRCS Representative must Sign the review. This permission has been provided to field users. (States may change the permissions and add other roles). Designated Conservationist must Approve the review. This permission has been provided to Designated Conservationists. (States may change the permissions and add to other roles). Both Sign Review and Approve Review have an undo. The participant does not sign the review. It is not an adverse action, doesn’t change signed documents or obligations, and is a communication tool. 27 CPA-13 Signatures If same person signs and approves the review the name and date of approver is printed once with the last date. Both Sign Review and Approve Review have an undo. 28 29 Process: Contracts Not On Schedule Completed reviews are displayed when query Contracts Not on Schedule AND Contracts Reviewed is selected. Note: Provisions Met box is displayed but empty because the question is answered on the CPA-13 and allows display of All Contracts Reviewed (regardless of status) on one screen. 30 Contract Review History Available on a single contract basis. Can print the most recent CPA-13 from the review screen. Example: Can print 2007 form until next one is completed in 2008. Will not be archiving in ProTracts. However, can save the file into Toolkit folders or other location if desired. 31 Contract Review: Forms  Access to CPA-13 and CPA-153.  Note CPA-13 form selected and saved from the menu does not complete a Contract Review. Follow the previously defined workflow. 32 Non-Compliance Process Select CPA-153 from the forms menu Select radio button reason and enter details Print Form. Save. The remainder of form must be completed outside of ProTracts. Note: Can use Acrobat: File: Save as to distribute an electronic copy of file to other staff involved in the non-compliance determination and assessment. 33 Non-Compliance Process  When CPA-153 is saved, record is stored in contract history. There is no undo. This is not an action to be used casually. 34 512.55 Contract Reviews D. Annual Administrative Review of Certifications (1) For the purposes of verification, the NRCS State Office will select 5 percent of all contract participants in the year of obligation (preferably before payment is made) who have selfcertified as either— (i) Limited Resource Farmer or Rancher, and/or (ii) Beginning Farmer or Rancher. (2) In addition, NRCS will conduct verification of all other participants who certify as being either a Limited Resource Farmer or Rancher or Beginning Farmer or Rancher where NRCS receives a complaint or otherwise has information that a participant’s certification is incorrect. These verifications must be completed early enough in the year to re-obligate any funds from contracts that must be terminated due to incorrect participant certification. (3) Sample letters for use in notifying participants of this review are included in Exhibit, sections 512.91 J and K. (and now available in ProTracts) 35 Contract Reviews: Letters Same process as currently used in Manage Applications and Manage Contracts. LRP/BF letters also now available in Manage Applications. LRF/R letter requires manual insertion of county data from the self determination tool and due date. 36 Training Slides and Training Recording will be posted indefinitely at ProTracts Home Page: Reference Materials: Training Materials 37 Questions and Support State level ProTracts support staff should send their business questions on the process to: mary.grande@ftc.usda.gov Software problems should be sent from state designated support staff to: ProTractsSupport@ftc.usda.gov 38