FDPIR Management Evaluations Purpose Process Common Findings NAFDPIR 2015.
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Transcript of FDPIR Management Evaluations Purpose Process Common Findings NAFDPIR 2015.
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FDPIR Management Evaluations
PurposeProcessCommon Findings
NAFDPIR 2015
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New Program Integrity and Monitoring Branch
Monitor MEs for trends: Need for additional training Technical assistance Change or develop policies or
procedures
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Purpose
Ensure compliance with Federal regulations and other guidance materials
Identify needs for technical assistance
Take back best practices to share
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Format
• Most MEs are conducted on-site, with a desk review of some documents and/or case files prior to the on-site portion of the review
• Some MEs may be conducted as “focused” MEs and consist of an off-site review of case files or other documentation.
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Timeline
> 30 days before on-site review: - Notify State Agency/ITO of ME - Requested documents/questionnaire due
to RO On-site review
- Typically 3-5 days 60 days after on-site review or exit
conference:- Report due to SA/ITO
60 days after ITO/SA receives ME report:- SA/ITO’s initial corrective action response
due to RO
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Timeline (cont.)
Corrective Action negotiation continues until RO accepts Corrective Action Plan (CAP)- When CAP is accepted, RO must also verify that
the actions have taken place. ME will remain open/in progress until corrective actions have been verified.
RO sends closure letter
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Process: Before the On-Site Review
• Negotiate schedule for review• Send official notification letter• Request any documents needed for pre-on-
site review, which may include:- Plan of Operation- Case Files- Self-Assessment- Questionnaire
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Process: During the On-Site Review
• Entrance Conference• Interview:
- Program director - Financial/grants management staff- Other staff as needed (i.e.: warehouse,
certifiers)• Inspect:
- Condition of the warehouse- Temperature logs- Food storage organization- Accessibility
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Process: During the On-Site Review (cont.)
• Review: - Case files - Equipment list- Training materials and logs
• Observe (when possible): - Tailgate distribution - Certification appointments- Inventory procedures
• Exit Conference- Discussion on potential findings and observations
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How to Prepare
The best way to prepare for an ME is to complete an annual self-assessment and ongoing monitoring of your program
Use the FNS FDPIR ME module to anticipate what reviewers look for and request: http://www.fns.usda.gov/fdpir-management-evaluation-module
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Tips
Invite all interested parties to the entrance conference
Share any cultural tips or etiquette that you want reviewers to know
Have documents organized and ready for review
Hold a brief meeting to introduce reviewers to help put your staff at ease
Be prepared to share best practices and ideas
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ME Report – What to Expect
Executive summary Noteworthy initiatives: May include
best practices that exceed regulatory requirements.
Findings: Identification of non-compliance with program regulations, policies, or procedures.
Required Corrective Actions: Actions that must be taken to change or improve operational effectiveness and correct non-compliance.
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ME Report – What to Expect (cont.)
Observations: Identification of a weakness involving management practices or unregulated activity.
Suggestions: Actions that address observations made in the ME- may not be required under the regulations but should be taken to improve program operations and management.
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Common ME Findings – Plan of Operation
The Plan of Operation must be in compliance with FNS regulations. The program must be in compliance with its Plan of Operation.
Not up-to-date with FNS policies that have changed
Does not reflect current program operations
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Common ME Findings – Staffing
There are limitations to the type of staff who may perform certification functions.
Volunteers used inappropriately
Staff who work on multiple programs or non-FDPIR activities do not correctly allocate time for budget purposes
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Common ME Findings – Records & Reports
• Late reports
• Records not kept for required 3 year time period/inaccessible
• Equipment list not kept or missing required information
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Common ME Findings – Inventory Control
• Outdated product in inventory
• FNS-152 reports show frequent losses and gains
• Food losses not adequately tracked
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Common ME Findings - Warehousing
Warehouse must be clean, temperature-controlled, and protect against the elements, infestation, and theft.
• USDA Foods were improperly stored with no space separation; with non-food items; or with non-USDA Foods
• Temperature logs were not being kept.
• Sanitation/health inspections of the warehouse are not up-to-date.
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Common ME Findings – Eligibility
• Case files do not contain adequate documentation
• Income deductions are applied incorrectly
• Two-year certification periods incorrectly assigned
• Common errors in case files
• Conversion factors or earned income deduction incorrectly applied or not used when necessary
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Common ME Findings – Nutrition Education & Outreach
• Public notification system (e.g., brochures, bulletins, leaflets, letters, newspapers, etc.) to inform potentially eligible persons, is not effective/inadequate
• No records of nutrition education activities held at the ITO warehouse/tailgates for FDPIR recipients
• Nutrition Education funds spent on inappropriate items
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Common ME Findings – Civil Rights
• Non-discrimination statement is incorrect or missing on program forms
• All staff do not complete annual CR training
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Common ME Findings – Training
Programs must have a continuing training program for all staff, including volunteers.
• Program does not assess training needs / staff do not receive training on all required elements
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Common ME Findings – Program Monitoring
Programs must monitor and review their operations and local agency operations at least annually.
• Annual self-monitoring review is not conducted
• Annual self-monitoring review does not include all required elements
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PROGRAM MONITORING & SELF-ASSESSMENT
NAFDPIR 2015
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Program Monitoring
Program Monitoring Conducting an Annual Review / Self-
Assessment Annual and Periodic Case File Review
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Annual Review – Requirements
Programs are required to conduct an annual self assessment that includes:
Certification Determination of food preferences Distribution Civil Rights compliance Fair hearing procedures Warehousing and inventory Timeliness and accuracy of reports Training
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Annual Review – Tools & Documentation
Programs should develop their own tools for self assessment and/or share tools that other FDPIRs have developed.
The completed annual review, plus the corrective action plan, must be documented.
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Discussion on Annual Review
• When do you do it? / How often?• Who does it?• What tools do you use?• What common issues do you find?• What corrective actions do you take?
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Annual & Ongoing Case File Review
Case file review must be a part of your annual review.
Additionally, periodic case file reviews are a best practice to ensure program integrity and to identify staff training needs.
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Discussion on Case File Review
• When do you do it? / How often?• Who does it?• What tools do you use?• What common issues do you find?• What corrective actions do you take?