UNITED STATES DEPARTMENT OF EDUCATION

OFFICE OF SPECIAL EDUCATION AND REHABILITATIVE SERVICES

REHABILITATION SERVICES ADMINISTRATION

WASHINGTON, DC 20202

INFORMATION MEMORANDUM

RSA-IM-99-11

> DATE: February 5, 1999

ADDRESSEES: STATE VOCATIONAL REHABILITATION AGENCIES (GENERAL)

> STATE VOCATIONAL REHABILITATION AGENCIES (BLIND)
>
> STATE REHABILITATION COUNCILS
>
> CLIENT ASSISTANCE PROGRAMS
>
> AMERICAN INDIAN VOCATIONAL REHABILITATION SERVICES GRANTS
>
> PROTECTION AND ADVOCACY OF INDIVIDUAL RIGHTS PROGRAMS
>
> RSA SENIOR MANAGEMENT TEAM

SUBJECT: Revised Monitoring and Technical Assistance Guide for the
Protection and Advocacy of Individual Rights (PAIR) Program

CONTENT: Section 509 of the Rehabilitation Act of 1973, as amended,
grants the RSA Commissioner the authority to conduct reviews and on-site
monitoring of the Protection and Advocacy of Individual Rights (PAIR)
program. The attached Monitoring and Technical Assistance Guide contains
the RSA procedures for the conduct of PAIR on-site monitoring reviews.

INQUIRIES: RSA Regional Commissioners

Fredric K. Schroeder, Ph.D.

> Commissioner

ATTACHMENT

###### PROTECTION AND ADVOCACY OF INDIVIDUAL RIGHTS PROGRAM

**MONITORING AND TECHNICAL ASSISTANCE GUIDE**

**UNITED STATES DEPARTMENT OF EDUCATION**

![](media/image1.png){width="2.0in" height="2.0in"}

###### OFFICE OF SPECIAL EDUCATION AND

**REHABILITATIVE SERVICES**

**REHABILITATION SERVICES ADMINISTRATION**

**Fredric K. Schroeder, Ph.D., Commissioner**

**February 1999**

##### INTRODUCTION TO THE GUIDE

This Monitoring and Technical Assistance Guide is intended to provide
guidance for RSA staff when conducting on-site monitoring reviews of the
Protection and Advocacy of Individual Rights (PAIR) program and when
providing technical assistance to the PAIR program. In carrying out the
spirit and principles of the Government Performance Results Act (GPRA),
RSA has developed a \"customer-driven\" monitoring system that focuses
on results, as well as customer/client satisfaction. This review
instrument emphasizes that \"customer-driven\" philosophy.

This Guide is composed of seven parts:

1\. Basic Information about the PAIR program;

2\. PAIR Assurances Review Guide;

3\. Case Review Guide;

4\. Fiscal/Program Review Guide;

5\. Interview Guide for Clients;

6\. Interview Guide for PAIR Director/casehandlers; and

7\. Interview Guide for Programs that Work with PAIR.

Most of the review guide sections provide the following:

1\. statutory and regulatory cites;

2\. actual requirements for compliance;

3\. suggested review questions to determine compliance;

4\. summary determination on whether compliance was met; and

5\. space to write notes and recommendations.

The last section of this Guide contain suggested questions to elicit
information from (1) clients about their experience with PAIR, (2) PAIR
advocates about their perspective of PAIR services, and (3) other
programs that work with PAIR about their experiences in dealing with the
PAIR program.

#### PURPOSE OF THE MONITORING REVIEW

The purpose of the on-site monitoring review of the PAIR program is
two-fold:

1\. to ascertain basic statutory and regulatory compliance with:

a\. Section 509 of the Rehabilitation Act of 1973, as amended (Act); and

b\. Federal PAIR regulations at 34 CFR 381; and

2\. to obtain information about the services PAIR provides eligible
individuals.

Information obtained during the on-site monitoring review will:

1\. assist RSA in assessing the need for technical assistance and
training for specific PAIR programs;

2\. enable RSA to identify specific model PAIR practices;

3\. determine technical assistance and policy development needed for
PAIR in general; and

4\. assist RSA in strengthening the effectiveness of the PAIR program.

##### GENERAL ADVICE

The reviewer is encouraged to use this Guide to ensure consistency among
the various PAIR monitoring reviews conducted across the country and to
ensure that all necessary compliance issues are reviewed. Furthermore,
the reviewer is encouraged to become as familiar with the particular
program to be reviewed prior to the on-site visit. This will make it
easier for the reviewer to focus on particular compliance issues.

##### GENERAL INSTRUCTIONS FOR USING THIS GUIDE

In order to use this Guide effectively, the reviewer should:

1\. set up appointments with a variety of individuals in the P&A to
obtain the necessary information to conduct this review. Suggested
individuals are:

a\. P&A Director;

b\. PAIR director and staff;

c\. PAIR clients;

d\. Members of the PAIR Advisory Council, if applicable;

e\. Directors of various consumer groups (as appropriate); and

f\. P&A\'s fiscal person.

2\. review the PAIR\'s most recent annual report submitted;

3\. compare the PAIR\'s most recent annual report submitted with the
following to determine discrepancies meriting follow-up during the
review:

a\. national PAIR data in the RSA Annual Report to Congress; and

b\. annual reports submitted by other PAIRs in the same region.

FYI: Some discrepancies that might merit follow-up during the on-site
review:

1\. PAIR served significantly fewer or more individuals/cases, on a
proportional basis, than other PAIRs;

2\. PAIR served significantly fewer, proportionately, minority
individuals; and

3\. PAIR report reflects a lack of systemic activities.

Following are hints and suggested questions to use when conducting the
review to determine compliance with Federal law and regulations.

**PART I**

**BASIC INFORMATION**

**Reviewer
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date of review \_\_\_\_\_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**PAIR Federal funding level for current fiscal year
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**ORGANIZATION OF THE PAIR:**

Name/address/telephone number of the P&A housing the PAIR program (to
make sure we have up-to-date information):

Contact person (including phone number) for the PAIR program:

Please provide 800 numbers and TTY numbers for the PAIR, if applicable.

**PAIR\'S ACCESSIBILITY:**

1\. Is the PAIR program located in an apparently accessible building?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a potential problem.)

2\. If no, please explain the situation and what steps are planned to
remedy it.

3\. Describe the set up for the TTY, if there is one. For example, is it
answered promptly or is it set to only take messages? How are the
messages checked? Also describe how frequently the PAIR uses the local
Relay Service.

4\. If you note any accessibility issues, describe steps that are
planned to remedy the situation.

###### PART II

**ASSURANCES**

**PART II**

**ASSURANCES**

**GENERAL STATUTORY/REGULATORY AUTHORITY:**

**Section 509(f)**

**34 CFR 381.10** sets forth the minimum requirements for the
information needed for the PAIR application. These minimum requirements
constitute the Assurances to which the eligible protection and advocacy
(P&A) system must agree.

The Assurances document contains 10 Assurances to which the eligible P&A
system must agree in order to operate a PAIR program and receive payment
from its allotment under the Act. This Guide will look at each Assurance
separately.

**ASSURANCE 1:**

The eligible system has in effect a system to protect and advocate for
the rights of eligible individuals with disabilities.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(1):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(1\) have in effect a system to protect and advocate the rights of
individuals with disabilities;\....

**34 CFR 381.10 (a)(1):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(1\) Have in effect a system to protect, and advocate for, the rights
of eligible individuals with disabilities;\....

**REVIEW QUESTIONS:**

1\. Does the State have a PAIR program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
1?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 2:**

The eligible system has the same general authorities, including access
to records and program income, as set forth in part C of the
Developmental Disabilities Assistance and Bill of Rights Act.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(2):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(2\) have the same general authorities, including access to records and
program income, as are set forth in part C of the Developmental
Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6041 et
seq.);\....

**34 CFR 381.10(a)(2):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(2\) Have the same general authorities, including access to records and
program income, as in part C of the DDA;\...

**See also:** 42 USC 6041-6043 (sections 141-143 of the Developmental
Disabilities Assistance and Bill of Rights Act) and 45 CFR 1386.19
through 1386.25, with special attention on 1386.21 and 1386.22. These
provisions set forth the requirements for the Protection and Advocacy
for the Developmental Disabilities (PADD) program and the protection and
advocacy system in general.

**REVIEW QUESTIONS:**

**NOTE:** Basically, all of the other assurances are included in this
catch-all assurance. Only questions related to issues that are not
covered in other assurances will be asked here.

1\. Does the PAIR program have the authority to investigate incidents of
abuse and neglect of individuals with disabilities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a compliance issue
because this is one of the general authorities listed in Part C of the
DD Act.)

2\. Does PAIR have access to residents of facilities that provide
services, support, and other assistance to individuals with
disabilities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a compliance issue
because this is one of the general authorities listed in Part C of the
DD Act.)

3\. Does PAIR have adequate access to necessary records when
representing individuals with disabilities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a compliance issue
because this is one of he general authorities listed in Part C of the DD
Act.)

4\. Does PAIR have the authority to educate policymakers?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a compliance issue
because this is one of the general authorities listed in Part C of the
DD Act.)

5\. Does PAIR have the authority to hire and maintain sufficient
qualified staff to carry out its functions?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If no, this is a compliance issue
because this is one of the general authorities listed in Part C of the
DD Act.)

6\. Does the State impose hiring freezes, reductions in force,
prohibitions on staff travel, or other policies to the extent that these
policies impact PAIR\'s ability to carry out its functions?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If yes, this is a compliance issue
because this is one of the general authorities listed in Part C of the
DD Act.)

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
2?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions are planned to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 3:**

The eligible system has the authority to pursue legal, administrative,
and other appropriate remedies or approaches to ensure the protection
of, and advocacy for, the rights of eligible individuals with
disabilities within the State.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(3):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(3\) have the authority to pursue legal, administrative, and other
appropriate remedies or approaches to ensure the protection of, and
advocacy for, the rights of such individuals within the State who are
ineligible for protection and advocacy programs under part C of the
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C.
6041 et seq.) and the Protection and Advocacy for Mentally Ill
Individuals Act of 1986 (42 U.S.C. 10801 et seq.) or client assistance
programs under section 112;\....

**34 CFR 381.10(a)(3):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(3\) Have the authority to pursue legal, administrative, and other
appropriate remedies or approaches to ensure the protection of, and
advocacy for, the rights of eligible individuals with disabilities
within the State;\....

**REVIEW QUESTIONS:**

1\. Does the PAIR program have the authority to pursue legal,
administrative and other appropriate remedies?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a potential
compliance issue.)

REVIEW QUESTIONS (CONTINUED):

2\. Has the PAIR program ever provided legal services to an individual?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_

\*\*\* NOTE: If no, review this issue more closely. Describe why PAIR
has not provided any legal, formal administrative or other remedies.

3\. Are there any restrictions on PAIR when pursuing legal remedies?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a potential
compliance issue. Describe restrictions. It could be that the
restrictions found here are applicable to the answer to #2 above.)

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
3?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 4:**

The eligible system provides information on and makes referrals to
programs and services addressing the needs of individuals with
disabilities in the State, including individuals with disabilities who
are exiting from public school programs.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(4):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(4\) provide information on and make referrals to programs and services
addressing the needs of individuals with disabilities in the State;\....

**34 CFR 381.10(a)(4):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(4\) Provide information on and make referrals to programs and services
addressing the needs of individuals with disabilities in the State,
including individuals with disabilities who are exiting from public
school programs;\....

**REVIEW QUESTIONS:**

1\. Does PAIR provide information, upon request, about programs and
services for individuals with disabilities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

2\. If yes, in what way?

a\. brochures \_\_\_\_\_\_\_\_

b\. letters \_\_\_\_\_\_\_\_\_

c\. fact sheets \_\_\_\_\_\_\_\_

d\. other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Does PAIR make referrals to other programs serving individuals with
disabilities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
4?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 5:**

The eligible system develops a statement of objectives and priorities on
an annual basis, and a plan for achieving these objectives and
priorities.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(5):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(5\) develop a statement of objectives and priorities on an annual
basis, and provide to the public, including individuals with
disabilities and, as appropriate, their representatives, an opportunity
to comment on the objectives and priorities established by, and
activities of, the system including \--

\(A\) the objectives and priorities for the activities of the system for
each year and the rationale for the establishment of such objectives and
priorities; and

\(B\) the coordination of programs provided through the system under
this section with the advocacy programs of the client assistance program
under section 112, the State long-term care ombudsman program
established under the Older Americans Act of 1965 (42 U.S.C. 3001 et
seq.), the Developmental Disabilities Assistance and Bill of Rights Act
(42 U.S.C. 6000 et seq.), and the Protection and Advocacy for Mentally
Ill Individuals Act of 1986 (42 U.S.C. 10801 et seq.);\....

**34 CFR 381.10(a)(5):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(5\) Develop a statement of objectives and priorities on an annual
basis and a plan for achieving these objectives and priorities;\....

**REVIEW QUESTIONS:**

1\. Did PAIR develop a statement of objectives and priorities for the
current fiscal year?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

2\. If yes, is PAIR\'s statement of objectives and priorities separate
from those developed for the PADD and PAIMI programs?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

3\. Has PAIR developed a plan for achieving these objectives and
priorities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

\*\*\*\* Get a copy of the PAIR statement of objectives and priorities
for the current fiscal year, as well as the PAIR\'s plan for achieving
those objectives and priorities.

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
5?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 6:**

The eligible system provides to the public, including individuals with
disabilities and, as appropriate, their representatives, an opportunity
to comment on the objectives and priorities established by, and
activities of, the eligible system including:

\(A\) the objectives and priorities for the activities of the eligible
system for each year and the rationale for the establishment of such
objectives and priorities; and

\(B\) the coordination of programs provided through the eligible system
with the advocacy programs of the Client Assistance Program under
Section 112 of the Rehabilitation Act of 1973, as amended, the State
Long-Term Care Ombudsman program established under the Older Americans
Act of 1965 (42 USC 3001-3030), Part C of the Developmental Disabilities
Assistance and Bill of Rights Act (42 USC 6041-6043), and the Protection
and Advocacy for Individuals with Mental Illness Act of 1986, as amended
(42 USC 10801-10851).

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(5)** \-- See Assurance 5 for reprint of the cite.

**34 CFR 381.10(a)(6):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(6\) Provide to the public, including individuals with disabilities
and, as appropriate, their representatives, an opportunity to comment on
the objectives and priorities established by, and activities of, the
eligible system including \--

\(i\) The objectives and priorities for the activities of the eligible
system for each year and the rationale for the establishment of those
objectives and priorities; and

\(ii\) The coordination of programs provided through eligible systems
with the advocacy programs of the CAP under section 112, the State
long-term care ombudsman program established under the older Americans
Act of 1965, part C of the DDA, and the PAIMI;\....

**REVIEW QUESTIONS:**

1\. Did the public, including individuals with disabilities and their
representatives, have the opportunity to comment on PAIR\'s proposed
statement of objectives and priorities?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

2\. If yes, how was the public informed about the proposed statement of
objectives and priorities?

3\. Did PAIR receive any public comments?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, get copies if possible.)

4\. Did PAIR modify its statement of objectives and priorities based on
the public comments?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why?)

5\. Does the PAIR\'s statement of objectives and priorities seem to
reflect the needs of individuals with disabilities in the State?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_

6\. Does PAIR\'s statement of objectives and priorities demonstrate how
PAIR coordinates its activities with the CAP, PADD, PAIMI and Older
Americans Project?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
6?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 7:**

The eligible system establishes a grievance procedure for clients or
prospective clients of the eligible system to ensure that individuals
with disabilities are afforded equal access to the services of the
eligible system.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(6):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(6\) establish a grievance procedure for clients or prospective clients
of the system to ensure that individuals with disabilities are afforded
equal opportunity to access the services of the system;\....

**34 CFR 381.10(a)(7):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(7\) Establish a grievance procedure for clients of prospective clients
of the eligible system to ensure that individuals with disabilities are
afforded equal access to the services of the eligible system;\....

**REVIEW QUESTIONS:**

1\. Does PAIR have a grievance procedure?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

\*\*\* If yes, get a copy of the grievance procedure.

**REVIEW QUESTIONS (CONTINUED):**

2\. When are applicants/clients informed of the grievance procedure?

\*\*\* Best practice would be that the applicant/client is informed, at
a minimum, when the case is opened or closed or when advocacy services
are denied.

3\. Who is the ultimate decision-maker in the grievance procedure?

\*\*\* Best practice would be that someone other than the P&A director
would be the ultimate decision-maker. For example, the P&A\'s Board of
Directors or the Advisory Council could appoint someone or a group of
members to be the ultimate decision-maker.

4\. Have any grievances been filed against the PAIR during the past
and/or current fiscal year?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

5\. If yes, how many? Describe the actions taken.

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
7?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 8:**

The eligible system uses funds made available to the PAIR program to
supplement and not supplant the non-Federal funds that would otherwise
be made available for the purpose for which Federal funds are provided.

**COMPLIANCE REQUIREMENTS/CITES:**

**Section 509(f)(7):**

\(f\) In order to receive assistance under this section, an eligible
system shall submit an application to the Commissioner, at such time, in
such form and manner, and containing such information and assurances as
the Commissioner determines necessary to meet the requirements of this
section, including assurances that the eligible system will \--

\(7\) provide assurances to the Commissioner that funds made available
under this section will be used to supplement and not supplant the
non-Federal funds that would otherwise be made available for the
purposes for which Federal funds are provided.

**34 CFR 381.10(a)(8):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(8\) Use funds made available under this part to supplement and not
supplant the non-Federal funds that would otherwise be made available
for the purpose for which Federal funds are provided;\....

**REVIEW QUESTIONS:**

1\. Does the PAIR receive non-Federal funds for its program operations?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

2\. If yes, from what sources are those funds received?

3\. If #1 is yes, what kinds of services does PAIR provide that it
otherwise could not provide but for those other funds?

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
8?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 9:**

The eligible system implements procedures designed to ensure that, to
the maximum extent possible, mediation (and other alternative dispute
resolution) procedures, which include good faith negotiation, are used
before resorting to formal administrative or legal remedies.

**COMPLIANCE REQUIREMENTS/CITES:**

**34 CFR 381.10(a)(9):**

\(a\) Regardless of the amount of funds appropriated for the PAIR
program in a fiscal year, an eligible system shall submit to the
Secretary an application for assistance under this part at the time and
in the form and manner determined by the Secretary that contains all
information that the Secretary determines necessary, including
assurances that the eligible system will \--

\(9\) Implement procedures designed to ensure that, to the maximum
extent possible, mediation (and other alternative dispute resolution)
procedures, which include good faith negotiation, are used before
resorting to formal administrative or legal remedies.

**REVIEW QUESTIONS:**

1\. Does the PAIR program engage in mediation activities before pursuing
an administrative or legal remedy?

yes \_\_\_\_\_\_ no \_\_\_\_\_ (If no, this is a compliance issue.)

\*\*\* Get a copy of PAIR\'s mediation/ADR policy.

2\. Did mediation (or ADR) precede every case that rose to the
administrative or legal remedy level during the prior fiscal year
(according to the annual report)?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ (If yes, skip #3 below.)

\*\*\* NOTE: If there is a discrepancy between the number of individuals
who were served by PAIR at the administrative or legal level versus
those provided mediation (or ADR) services, look at this issue more
closely to determine whether PAIR satisfied its regulatory mandate to
engage in mediation to the maximum extent possible prior to initiating a
formal administrative or legal action.

3\. If #2 is no (there were some cases in which mediation/ADR was not
used prior to initiating the formal hearing or legal action), were the
reasons documented in writing in the casefile?

yes \_\_\_\_\_\_\_ no \_\_\_\_\_ (If no, this is problematic. Case files
should document why mediation/ADR is not used in a particular case.)

4\. If #3 is yes, describe the reasons given.

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
9?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**ASSURANCE 10:**

The eligible system assures that direct payment of funds under the PAIR
program is not prohibited by nor inconsistent with State law, regulation
or policy.

**COMPLIANCE REQUIREMENTS/CITES:**

**34 CFR 381.10(b):**

\(b\) To receive direct payment of funds under this part, an eligible
system must provide to the Secretary, as part of its application for
assistance, an assurance that direct payment is not prohibited by or
inconsistent with State law, regulation, or policy.

**REVIEW QUESTIONS:**

1\. Is there any provision of State law that would prohibit PAIR from
receiving federal funds to carry out PAIR\'s mandate?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance issue.)

2\. If yes, what is the prohibition? Describe.

**COMPLIANCE:**

1\. Does the evidence support that the P&A has complied with Assurance
10?

yes \_\_\_\_\_\_\_\_ no \_\_\_\_\_\_ need more information
\_\_\_\_\_\_\_\_\_

2\. If more information is needed, what is missing to make this
determination?

3\. If no, what actions does the P&A plan to assure that compliance is
achieved?

**NOTES/RECOMMENDATIONS:**

**PART III**

###### CASE REVIEW GUIDE

**PART III**

**CASE REVIEW GUIDE**

**LEGAL REQUIREMENTS/CITES:**

**ELIGIBILITY:**

1\. Section 509(a). See also 42 USC 6041 et seq. and 42 USC 10801 et
seq.

2\. 34 CFR 381.5(b)

**AUTHORIZED SERVICES TO BE PROVIDED:**

1\. Section 509(f)(1), (3)-(4)

2\. 34 CFR 381.10(a)(1), (3)-(4)

**OTHER CASE WORK REQUIREMENTS/PROHIBITIONS:**

1\. Mediation \-- 34 CFR 381.10(a)(9)

2\. Confidentiality \-- 34 CFR 381.31

**SELECTION OF CASES TO BE REVIEWED:**

Randomly select a sample of cases closed in the fiscal year being
reviewed. The number of cases to be reviewed is dependent upon the size
of the program being reviewed.

**KEY ELEMENTS TO REVIEW IN THE CASE FILE:**

1\. Eligibility for PAIR services.

2\. Minority representation.

3\. Alternative formats/accessible communication.

4\. Issues raised fall within the purpose of the PAIR program.

5\. PAIR pursued all appropriate/authorized remedies for the individual.

6\. Resolution of the issue and PAIR\'s involvement in that resolution.

7\. Timing in terms of intake, initial contact with the client,
resolution of the issues, and case closure.

8\. Client confidentiality protected; release in file.

9\. PAIR services provided.

10\. Attempts to resolve case at lowest possible level.

11\. Was mediation or ADR used?

12\. Case closure/grievance procedure.

**CASE FILE REVIEW GUIDE**

**Reviewer\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date of review\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Client/File #\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**THE CASE FILE:**

1\. At the time of the review, was the case file open?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

2\. Intake date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Case opening date (if different from intake
date)\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Case closure date (if closed)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\*\*\* Note any unusual time delays/lapses in the provision of PAIR
services.

**ACCESSIBILITY:**

1\. Does the case file indicate that PAIR met the individual\'s needs in
terms of providing written information in alternate formats or oral
communication in an accessible manner when needed?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

2\. If no, please explain the situation and what steps are planned to
remedy the situation.

**ELIGIBILITY:**

1\. Is the individual eligible for the CAP program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, pay close attention to #2
below.)

2\. If yes, does the individual\'s concern fall within the scope of CAP
services?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance issue.
The individual is not eligible for PAIR services.)

\*\*\* NOTE: An individual CAN be eligible for both the CAP and PAIR
programs. However, if the individual\'s concern falls within CAP\'s
scope of services, as set forth in section 112 of the Act, then PAIR
cannot represent the individual on those issues. PAIR could, on the
other hand, represent the individual on OTHER issues regardless of
whether the individual is being represented by CAP on different issues
at the same time. The key to PAIR eligibility depends on whether the
individual\'s issues fall within CAP\'s scope of services. This is
different than with the PADD and PAIMI programs, as will be shown below.

3\. Is the individual eligible for services from the Protection and
Advocacy for Developmental Disabilities (PADD) program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance issue.
The individual is not eligible for PAIR services.)

\*\*\* NOTE: This is true even if the individual\'s concern does not
fall within the priorities set by the PADD program. Eligibility for the
PAIR program is based on the fact that the individual is INELIGIBLE for
the PADD program because the individual does not have a developmental
disability as defined in the DD Act. Eligibility for PAIR does NOT hinge
on whether the individual\'s issue falls within the PADD priorities.

4\. Is the individual eligible for services from the Protection and
Advocacy for Individuals with Mental Illness (PAIMI) program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, this is a compliance issue.
The individual is not eligible for PAIR services.)

\*\*\* NOTE: This is true even if the individual\'s concern does not
fall within the priorities set by the PAIMI program. Eligibility for the
PAIR program is based on the fact that the individual is INELIGIBLE for
the PAIMI program because the individual is not an \"individual with
mental illness\" as defined in the PAIMI Act. Eligibility for PAIR does
NOT hinge on whether the individual\'s issue falls within the PAIMI
priorities.

**ISSUES/SCOPE OF PAIR SERVICES:**

1\. With whom/what entity is the individual having problems?

2\. What are the problem areas/issues raised by the individual?

a\. Abuse \_\_\_\_\_\_\_\_\_\_

b\. Admission/Commitment to Institution \_\_\_\_\_\_\_\_\_\_

c\. Architecture Barriers \_\_\_\_\_\_\_\_\_

d\. Conditions in Facilities \_\_\_\_\_\_\_\_

e\. Consent \_\_\_\_\_\_\_\_\_\_

f\. Contracts/Ownership of Property \_\_\_\_\_\_\_\_\_

g\. Criminal Justice Issues \_\_\_\_\_\_\_\_\_

h\. Day Care \_\_\_\_\_\_\_\_

i\. Early Intervention (Part H) \_\_\_\_\_\_\_

j\. Education \_\_\_\_\_\_\_

k\. Employment \_\_\_\_\_\_\_\_

l\. Financial Entitlements \_\_\_\_\_\_\_

m\. Guardianship/Conservatorship \_\_\_\_\_\_\_\_

n\. Habilitation Services \_\_\_\_\_\_\_

o\. Housing \_\_\_\_\_\_\_\_

p\. Insurance \_\_\_\_\_\_\_\_\_

q\. Medical Services \_\_\_\_\_\_\_\_

r\. Neglect \_\_\_\_\_\_\_\_\_

s\. Records (access, confidentiality, etc.) \_\_\_\_\_\_\_\_\_

t\. Rehabilitation Services \_\_\_\_\_\_

u\. Rights of Privacy \_\_\_\_\_\_\_\_

v\. Sterilization \_\_\_\_\_\_\_\_

w\. Transportation (non-education related) \_\_\_\_\_\_\_

x\. Voting \_\_\_\_\_\_\_\_\_\_\_\_

y\. Wills/Estate Planning \_\_\_\_\_\_\_

z\. Zoning \_\_\_\_\_\_\_\_\_\_

aa. Other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PAIR SERVICES PROVIDED:**

1\. The following PAIR services were provided to the individual:

a\. Information/advice about rights \_\_\_\_\_\_

b\. Referral to another appropriate entity \_\_\_\_\_\_\_\_\_\_

c\. Counseling/advice (advisory/interpretational) \_\_\_\_\_\_\_\_

d\. Assistance/advocacy through negotiation \_\_\_\_\_\_\_\_

e\. Assistance/advocacy through mediation (or ADR) \_\_\_\_\_\_\_\_

f\. Assistance/advocacy with administrative remedies
\_\_\_\_\_\_\_\_\_\_

g\. Assistance/advocacy with legal remedies \_\_\_\_\_\_\_\_\_

h\. Other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. If mediation was not marked in #e above, but PAIR assisted the
individual in pursuing an administrative or legal remedy (in #f or #g
above), why was mediation/ADR not used?

\*\*\* Indicate if reason was not stated in the file.

**ISSUE RESOLUTION/PAIR INVOLVEMENT:**

1\. Was the issue(s) resolved?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

2\. If no, is the case activity still ongoing?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why not?)

3\. Is it clear in the file how PAIR assisted in effecting a resolution?

**CONFIDENTIALITY OF CLIENT INFORMATION:**

1\. Is there a signed written release form in the case file?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no but information was shared,
this is a compliance issue.)

\*\*\* NOTE: Best practice would encourage PAIRs to document that all
rights of confidentiality are explained to the individual prior to the
individual signing a consent for release of information form.

**CASE CLOSURE:**

1\. Is the case closed?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, skip this section.)

2\. How was the client told case was closed?

a\. closing letter \_\_\_\_\_\_\_\_

b\. telephone call \_\_\_\_\_\_\_\_

c\. in-person meeting \_\_\_\_\_\_\_\_

d\. other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

e\. client was not notified (explain)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Is the notification documented in the case file (i.e. copy of
closing letter, case note)?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

**OTHER REVIEWER COMMENTS/NOTES:**

**PART IV**

###### FISCAL REVIEW GUIDE

**PART IV**

**FISCAL REVIEW GUIDE**

**COMPLIANCE/LEGAL REQUIREMENTS/CITES:**

Section 509(f)(7), 509(g), and 509(j) of the Rehabilitation Act of 1973,
as amended

**34 CFR 381.33**

**Other Fiscal Issues to Review:**

**Fiscal Management System:** See 34 CFR 74.21; 74.40 through 74.48;
74.51 and 74.52; 34 CFR 76.700 through 76.707, except 76.704; 76.720;
and 76.730; 34 CFR 80.20; 80.36; 80.40; and 80.41.

**Funding Sources:** See 34 CFR 74.22; 34 CFR 76.707 and 76.760; and 34
CFR 80.21.

**Contract Provisions:** See 34 CFR 74.48; 34 CFR 80.36(i) and 80.37;
and 34 CFR 381.30.

**Record Retention:** See 34 CFR 74.53 and 34 CFR 80.42.

**Accounting System:** See 34 CFR 74.21 and 34 CFR 80.20.

**Grant Related Income:** See 34 CFR 74.24 and 34 CFR 80.25.

**Property/Equipment:** See 34 CFR 74.30 through 74.37 and 34 CFR 80.31
through 80.32.

**Personnel System:** See 34 CFR 381.21.

**Travel Expenditures:** See OMB Circulars 87 and A122.

**Financial Audits:** See OMB Circular A133 (promulgated 6/30/97); and
34 CFR Part 80 Appendix.

**Lobbying:** See 34 CFR Part 82.

**Debarment and Suspension Requirements:** See 34 CFR 74.13; 34 CFR
80.35; and 34 CFR 85.100 through 85.510.

**Drug Free Workplace Requirements:** See 34 CFR 85.600 through 85.630.

**FISCAL REVIEW GUIDE**

**FISCAL MANAGEMENT SYSTEM:**

1\. Does the PAIR director have copies of the Federal statutes and
regulations pertinent to the PAIR program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If not, why?)

2\. Who is responsible for maintaining information relating to Federal
law, regulations and other requirements affecting PAIR?

3\. Have appropriate staff received orientation and instruction in the
Federal requirements related to PAIR?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If not, why?)

4\. Does the PAIR program have policies and procedures for:

a\. accounting yes \_\_\_\_\_ no \_\_\_\_\_

b\. budgeting yes \_\_\_\_\_ no \_\_\_\_\_

c\. internal controls yes \_\_\_\_\_ no \_\_\_\_\_

d\. purchasing yes \_\_\_\_\_ no \_\_\_\_\_

e\. personnel yes \_\_\_\_\_ no \_\_\_\_\_

f\. travel yes \_\_\_\_\_ no \_\_\_\_\_

g\. record retention yes \_\_\_\_\_ no \_\_\_\_\_

h\. property management yes \_\_\_\_\_ no \_\_\_\_\_

5\. Identify the individuals who have fiscal responsibility for the
receipt, obligation and expenditure of PAIR funds? (A PAIR
organizational chart may be helpful.)

6\. Who is responsible for developing the PAIR budget?

7\. Is there coordination between program and fiscal staff in the
development of the PAIR budget?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (Describe further.)

8\. What is the approval process for the PAIR budget?

9\. Who monitors PAIR expenditures to assure they are appropriate and
within budgeted costs?

10\. How often are expenditures reviewed?

11\. What are the regular requirements and practices of the organization
with respect to bonding or insurance?

12\. Who prepares the Financial Status Report, Standard Form 269
(SF-269)?

13\. Who signs the SF-269?

14\. Is the SF-269 submitted to RSA on a timely basis?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why?)

15\. Is the SF-269 reconciled with the Education Payment System SF-272?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, why?)

16\. Review a sample of expenditures charged to each object class to
determine whether the charges are reasonable, allowable, and allocable.

\*\*\*\* Request to review with the PAIR director, or designee, copies
of the PAIR budgets for the grant years included in the review. Also,
review SF-269 and annual reports for the same time periods.

**FUNDING SOURCES:**

1\. How does the designated (and/or operating) PAIR agency receive the
Federal funds for operation of the PAIR (i.e. letter of credit, treasury
check, etc.)?

2\. Has the PAIR experienced delays in receiving Federal funds?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, explain.)

3\. Are PAIR services funded only with RSA funds?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, list all other sources and
amounts of funding.)

4\. Specify the total amount of funds budgeted for the present fiscal
year. Be sure to include Federal and non-Federal funds.)

5\. Specify the total funds expended last fiscal year.

6\. Is the designated agency aware that PAIR funds not obligated or
expended at the end of the appropriated fiscal year remain available for
obligation and expenditures during the succeeding fiscal year?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

7\. Is the designated agency aware that it is considered a State and
governed by 34 CFR 76.707 for the purposes of when obligations are to be
made with PAIR funds?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

8\. Given the fact that the designated agency operates programs in
addition to the PAIR program, is there an approved cost allocation plan
or indirect cost rate? (NOTE: There is no prior approval requirement for
non-profits using a direct allocation methodology.)

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

9\. If no, what methodology is used for the allocation of administrative
costs?

10\. If yes, does the cost allocation plan include all programs that are
administered by the designated agency, including the PAIR?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

11\. Did the review of the cost allocation plan reveal an equitable
distribution of administrative costs to the program? (NOTE: Only
allowable costs should be included.)

yes \_\_\_\_\_ no \_\_\_\_\_ (if no, explain.)

\*\*\*\* Request a copy of the cost allocation plan.

12\. If the eligible system is located in a State agency, did the State
or State agency expend not more than 5 percent of the allotment for the
costs of administering the PAIR program?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_ not applicable \_\_\_\_\_\_

**CONTRACT PROVISIONS:**

1\. Is the designated agency the sole provider of PAIR services?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, skip the rest of this
contracts section.)

2\. If no and the designated PAIR contracts with another entity to
provide PAIR services, list the amounts and purposes of each of the
contracts funded, in whole or part, by the designated PAIR agency.
(NOTE: Some designated PAIR programs contract with more than one entity
to provide services.)

3\. Do all contracts specifically relate to the purposes of PAIR?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.
Explain.)

4\. Do the contracts contain sufficient provisions to define a sound and
complete agreement?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

5\. Are advance payments made to contractors?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

6\. For those contracts in excess of \$100,000 are there provisions or
conditions that will allow for administrative, contractual, or legal
remedies in instances in which contractors violate or breach contract
terms, and provide for such remedial actions as appropriate?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_\_\_

7\. For those contracts in excess of \$100,000 are there suitable
provisions for termination by the awarding party?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ not applicable \_\_\_\_\_\_\_\_\_

8\. Have the contractors provided adequate documentation for bonding and
insurance?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

**RECORD RETENTION:**

1\. For what period of time does the PAIR program retain its fiscal
records?

2\. Do the record retention policies or guidelines of the PAIR program
meet, at a minimum, the 3-year retention requirements in EDGAR 34 CFR
74.53 or 80.42?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

\*\*\*\* Request a sample of fiscal records to verify minimum compliance
with retention requirements.

**ACCOUNTING SYSTEM:**

1\. How is the accounting system maintained?

computerized \_\_\_\_\_\_\_\_\_\_\_\_\_ manually \_\_\_\_\_\_\_\_\_\_\_

2\. The organization maintains a formal accounting system as reflected
by:

a\. general ledger \_\_\_\_\_\_\_

b\. general journal \_\_\_\_\_\_

c\. grant ledger \_\_\_\_\_\_\_

d\. other (specify)
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Do the records permit a clear and documented audit trail?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem. Explain.)

4\. Did the reviewer have total access to the PAIR accounting records?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

5\. Are PAIR funds accounted for separately?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

6\. Does the accounting system provide for recording expenditures for
PAIR by budget cost category?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

7\. Does the accounting system adequately identify receipts and
expenditures for PAIR?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

8\. Does the accounting system require that all entries be supported by
adequate documentation?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.
Explain.)

9\. Are the purchasing and payment functions separated?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

10\. Who signs the payments/authorizations?

11\. In your opinion, does the internal control system for
payment/billing have sufficient safeguards built into it?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem. Explain.)

12\. Does the accounting system provide for the prompt recording and
reporting of all financial transactions?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

13\. Are all vouchers consistent in detail and accountability?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

14\. If yes, are they based upon written policies and procedures of the
organization?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

\*\*\*\* If a sampling of vouchers for several months indicates there is
a trend of inconsistency or faulty documentation and accounting, you may
want to review vouchers for an entire grant period.

**GRANT-RELATED INCOME:**

1\. Has the grantee generated grant-related income, or does it
anticipate generating such income?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

2\. If yes, specify the sources and anticipated amounts.

3\. For non-State agencies: Has the designated agency deposited advances
of grant funds in interest-bearing accounts or earned other investment
income?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

4\. If yes, have these funds been returned to the Department of
Education?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

5\. If program income has been or will be generated, how is the income
used?

6\. Is the program income earned under the PAIR grant documented in the
grantee\'s records and reported on the SF-269?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain.)

7\. If the agency used the additional alternative for reporting program
income, was prior approval received from RSA?

yes \_\_\_\_\_ no \_\_\_\_\_

**PROPERTY/EQUIPMENT:**

1\. Does the organization maintain a record of all property/equipment
purchased with grant funds, including date of purchase and costs?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem. Explain.)

\*\*\*\* If yes, review the record of all property/equipment purchases
with grant funds.

2\. Is the property tagged or otherwise marked to identify it as
organizational property?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

3\. How frequently does the organization conduct property inventories?

4\. Who conducts the property inventories?

5\. Does the organization have written policies, procedures and controls
for purchasing/disposing equipment/property obtained with grant funds?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

**PERSONNEL SYSTEM:**

1\. Does the organization have a current personnel manual with written
personnel policies and procedures?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

2\. Is the manual periodically reviewed and updated?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

3\. Does the manual contain clearly defined compensation policies,
including fringe benefits, vacation, sick leave, etc.?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

4\. Do the policies address conflict of interest matters?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a compliance issue.)

5\. Does the PAIR program maintain time and attendance records for each
employee by pay period?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (You may want to review
time/attendance sheets.)

6\. Are PAIR employee salaries based upon the level of compensation for
non-Federally funded employees of equal status?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

**TRAVEL EXPENDITURES:**

1\. Does PAIR have a clearly written travel policy and implementing
procedures?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, you may want to review
them.)

2\. If no, what policies and procedures does PAIR use for travel?

3\. If yes, does the travel reimbursement policy comply with State or
the organization\'s internal policies and procedures?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

4\. The PAIR travel policy, if applicable, provides for reimbursement
by:

a\. actual expense \_\_\_\_\_\_\_\_\_\_; or

b\. per diem rate \_\_\_\_\_\_\_\_\_\_\_\_\_\_.

5\. Are all trips using Federal funds justified and documented?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

6\. What is the ratio of staff training travel to travel used in serving
PAIR clients?

7\. Are funds provided to PAIR clients to assure their attendance at
required meetings or appointments?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

8\. If yes, how much was spent for this purpose during the past year?

**FINANCIAL AUDITS:**

1\. Has the designated agency been audited in accordance with the
requirements in the revised OMB Circular A-133, which was promulgated on
June 30, 1997?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

\*\*\*\* If yes, get a copy of the PAIR audit reports and related
findings by the auditors, including the auditor\'s management letter.

2\. If yes, has a copy of the audit report been sent to the appropriate
Federal office?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_

3\. Was the audit conducted in accordance with generally accepted
auditing standards, including those of the U.S. General Accounting
office, as specified in OMB Circular A-133?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

4\. If the designated agency has not had an audit, is it familiar with
the Federal audit requirements for grantees?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

5\. If the PAIR was included in the recent audit, did the report contain
any PAIR recommendations?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, explain.)

6\. If yes, were the recommendations implemented?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, explain why.)

**ANNUAL REPORT:**

1\. Who is responsible for preparing the Annual PAIR Report?

2\. Is the report reviewed by another individual to check the accuracy
of reported financial and statistical information prior to the sign-off?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If yes, by whom?)

3\. Who signs the Annual Report?

**LOBBYING:**

1\. Does the designated PAIR agency engage in lobbying and/or political
activities as defined in appropriate OMB Circulars?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, skip the rest of this
section.)

2\. If yes, what funds does the designated agency use to support these
activities?

3\. How does the designated agency record these activities to assure no
Federal funds are used?

**DEBARMENT AND SUSPENSION REQUIREMENTS:**

1\. Does the agency comply with the government-wide requirements
concerning debarment and suspension?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

**DRUG-FREE WORKPLACE REQUIREMENTS:**

1\. Does the agency comply with the government-wide requirements for a
drug-free workplace?

yes \_\_\_\_\_\_ no \_\_\_\_\_\_\_ (If no, this is a problem.)

**PART V**

**INTERVIEW GUIDES**

##### CLIENT SATISFACTION REVIEW GUIDE

**Reviewer \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date \_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

1\. How did you hear about PAIR?

2\. What services did you receive from PAIR?

3\. Were you satisfied with the services you received from PAIR?

4\. How could PAIR improve it services?

5\. Would you come back to PAIR if you had problems again?

6\. Additional comments:

**INTERVIEW GUIDE FOR PAIR ADVOCATES**

**Reviewer
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Advocate\'s name \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

1\. When you are assigned a case, how do you approach it initially?

2\. How do you see your role when working with a client?

3\. Describe your style/approach to conflict resolution.

4\. Are there any barriers that prevent you from doing your job
effectively? If yes, what changes would you recommend?

5\. Additional comments:

**INTERVIEW GUIDE FOR OTHER PROGRAMS**

**Reviewer \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Date
\_\_\_\_\_\_\_\_\_\_\_ State \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Interviewee\'s Name
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Program
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

1\. What is your title? Responsibilities?

2\. In what circumstances do you interact with PAIR and its staff?

3\. In your opinion, how effective is the PAIR\'s advocacy? Explain.

4\. What are PAIR\'s strengths?

5\. What are PAIR\'s weaknesses?

6\. What suggestions, if any, do you have for improving PAIR?