Operations Manual for Training Vendors

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Formerly the Training and Administrative Activities Project Operations Manual.

Contents

Operations Manual

The Operations Manual for Training Vendors (OMTV) provides essential guidance on contract/work plan implementation for those educational institutions and other organizations providing training services sponsored by the OCFS Bureau of Training and Development (BTD). Please note that the Bureau of Training and Development refers to these institutions and organizations collectively as "vendors" regardless of their public or private status.

The OMTV dated May 2019 (downloadable below) is a successor to the 2009 Project Operations Manual (POM) previously in use. The OMTV substitutes for all references to the POM found in existing contracts, memorandums of understanding, work plans, and other official documents. In addition to specific policies and procedures, it includes background information, a glossary, staff directory, list of forms, and other content designed to educate vendors and their staff about administrative requirements.

Please note that the OMTV's Appendix 4, the OCFS Bureau of Training and Development Copyright Policy, is a free-standing document. All vendor forms identified within the OMTV are also freestanding documents. Some were developed in MS Word and others in MS Excel format, depending on which was more suitable. Each form comes with accompanying instructions. They are identified below according to the primary process area where they come into play.

If you need further information relevant to the manual and associated forms, please contact your assigned BTD training manager for questions in the following process areas: Planning and Communication; Oversight and Controls; Information; Human Resources; Deliverables; Changes to Contracts/Work Plans; and Reporting. For questions on Procurement, and Cost Management and Reimbursement, please contact the Bureau of Training and Development's Finance and Administration Unit at 518-474-7039.

Select a link below to view, print and download the documents you need:

• Operations Manual for Training Vendors (June 2020)
  This is the complete manual setting forth operational requirements of all vendors with active contracts/work plans with the Bureau of Training and Development.
• OCFS Bureau of Training and Development Copyright Policy (Updated December 2013)
  This stand-alone document is referenced in the Operations Manual for Training Vendors as APPENDIX 4.
• Guidance for OCFS BTD Training Vendors on the NYS Branding Guidelines
  Guidance for OCFS Bureau of Training and Development (BTD) Training Vendors on the NYS Branding Guidelines.
• NYS Branding Initiative
• Cover page template
  Cover page template, including acknowledgement disclaimer statement for training documents.
• OCFS PowerPoint template for training documents

Vendor Forms

Planning and Communication

• OCFS-4895 Vendor Contact Update
  Provides a means for vendors to update their official contact information for OCFS use.

Human Resources

• OCFS-3108 Contractor Request to Attend Conference
  Provides a means for requesting BTD advance approval for vendors' employees/consultants to attend conferences to maintain or enhance their expertise.
• OCFS-4715 Confidentiality Non-Disclosure Form
  Provides a means to obtain assurance from a new employee or consultant that they will not disclose confidential or proprietary information.
• OCFS-4716 Contractor Employee and Volunteer Background Certification
  Provides a means to obtain a background check. Used only when applicable - that is, when the employee or consultant will be performing work in OCFS children and youth facilities.
• OCFS-4789 Revised Contract/Work Plan Personnel Cost
  Is used in conjunction with budget modifications and staffing changes. Intended to show entire personal services budget. This form becomes a replacement for the original form 3104 (II).

Procurement

• OCFS-2147 Request for Prior Approval of Subcontracting Agreement
  Provides a means for requesting BTD advance approval for hiring subcontractors.
• OCFS-4630 M/WBE Subcontractors and Suppliers Letter of Intent to Participate Form
  Identifies M/WBE subcontractor and proposed services. Completed by M/WBE supplier and submitted with the subcontractor utilization form.
• OCFS-4631 Subcontracting/Suppliers Utilization Form
  Identifies projected M/WBE subcontractor utilization. Submitted with proposals.

Deliverables

Creation and Use of Training Products

• OCFS-4381 Cover Sheet - Final Product Submission
  Serves as a cover sheet when submitting a final work product such as a curriculum, brochure, videotape, etc.
• OCFS-2148 Request for License to Use Work Products
  Provides vendor a means for requesting permission, and obtaining appropriate language regarding license rights, for using the material beyond the scope of the contact/work plan under which it was developed.

Provision and Evaluation of Training Events

• OCFS-4448 Training Roster
  Collects data on non-pre-registered individual training participants (names, job titles, codes, etc.) at outset of training program deliveries.
• OCFS-3246 Participant Reaction Questionnaire
  Standard training course evaluation (Level 1) form to be completed by program participants.

Costs Management and Reimbursement

• OCFS-4821 Contract Management System Authorization Form
  Enables vendors to add, inactivate or modify users with online CMS accounts.
• AC 22-S General Ledger Journal Entry
  Used to transfer funds into the State University of New York (SUNY), City University of New York (CUNY), or other NYS agencies’ accounts. It is also used to transfer funds from the SUNY campus account to OCFS when necessary (for example, cost sharing reconciliation and recoupment of advance payments). Replaces AC-2414 Journal Transfer/Revenue Transfer, which is obsolete.
• AC 3253-S Claim for Payment
  Used by private vendors to submit claim for reimbursement for expenditures. Replaces AC-092 Standard Voucher, which is obsolete.
• OCFS-3106 (I-VIII) Summary of Costs
  Provides a means for the vendor to certify expenses. Provides a summary and breakout of contract/work plan objects of expense (costs) for the claiming period and cumulatively, by budget category. Establishes supporting documentation for claims. Assists with tracking of costs to date relative to the budget.
• OCFS-3106A Summary of Administrative Activities Costs
  Provides a summary of the administrative activities objects of expense (costs) during the claiming period and cumulatively (for Title IV-E funded projects only). Enables vendor to report (not claim) Administrative Activities Costs.
• OCFS-4793 Overlapping Contract Certification
  Used to certify that the vendor is not double charging for expenses across different contracts/work plans.
• OCFS-4795 Record of Equipment Purchases
  Provides supporting documentation regarding equipment purchases made during the claim period.
• OCFS-4798 Public Vendor Share Worksheet
  Documents the public cost sharing associated with the contract/work plan.
• AC3243-S (Rev. 5/13) Electronic Payment (ePayment) Request
  Initiates process at OSC so vendors can receive electronic payment of approved claims.

Changes to Contracts/Work Plans

• OCFS-4796 Request for Modification of Contract/Work Plan Budget
  Initiates vendor’s request for approval to reallocate funds within the approved budget. Requires Form 3104 as supporting documentation.
• OCFS-3104 (I-VIII) Contract/Work Plan Budget
  Establishes current contract/work plan budget. To be updated with each budget modification request. If the budget modification is approved, it becomes the replacement budget.
• OCFS-3104A (I-VIII) All Other Administrative Activities Sub-Budget and DAB-1666 Reporting
  Used as for all budget modification requests where the project is funded in part or in whole with Title IV-E funds. This form is included in the proposal packet and must be updated if there is a budget change request.
• OCFS-4789 Revised Contract/Work Plan Personnel Cost
  Used in conjunction with budget modifications, staffing changes, and claims submittals. This form becomes a replacement for the original form 3104 (II).
• OCFS-3102 Training and Administrative Activities List (TAAL)
  A specification and proposal document that is adjusted when impacted by a contract/work plan programmatic change. Used to identify deliverables and maintain clarity and accuracy of scope throughout the Delivery Year. The BTD Training Manager is the creator of the TAAL originally provided to the vendor.
• OCFS-3856 Training/Administrative Activity Summary (TAAS)
  This is primarily a specification and proposal document. It provides detail concerning a particular training or administrative activity. It may also come into play when there is a programmatic change. An existing TAAS may need to be created or new TAAS may need to be developed.

Reporting

• OCFS-4799 Training and Administrative Activities Quarterly Report
  Provides a quantitative and qualitative summary of training and administrative activities accomplished during the completed quarter.
• OCFS-4734 Training and Administrative Activities Quarterly Evaluation Report
  Summarizes the results of evaluations conducted during the quarter, including response rate, evaluation ratings, findings and conclusions, training activity enhancements, and recommendations for future enhancements.
• OCFS-4797 Individual Field Staff Quarterly Report
  Provides a report on contract/work plan activities for each individual field staff member.
• OCFS-4876 Field Staff Quarterly Report Summary
  Provides a report on contract/work plan activities for all field staff collectively.
• OCFS-4441 M/WBE Quarterly Report
  Summarizes the use of MWBEs on the contract/work plan. Included in the Affirmative Action packet.
• OCFS-4629 Project Staffing Plan Form
  Summarizes staffing diversity. Staffing plan is submitted with proposals and resubmitted when changes occur during the Delivery Year. Also submitted with quarterly reporting.
• OCFS-4630 M/WBE Subcontractors and Suppliers Letter of Intent to Participate Form
  Identifies M/WBE subcontractor and proposed services. Completed by M/WBE subcontract/supplier and submitted with the subcontractor utilization form.
• OCFS-4631 Subcontracting/Suppliers Utilization Form
  Identifies projected M/WBE subcontractor utilization. Submitted with proposals.
• OCFS-4843 Form B State Consultant Services - Contractor’s Annual Employment Report
  Used to disclose all project staff for purposes of state law regarding the use of consultants. It is submitted once a year after the close of the state fiscal year.