Raymond L. Williams, Jr. External Financial Auditor Virginia Department for the Aging 2003 Financial Management Training Presentation (FY 2002 Program/Financial Compliance Review ) Raymond L. Williams, Jr. External Financial Auditor

Program/Financial Compliance Review Objective Perform a follow-up review of completed corrective-action; Evaluate compliance with applicable state and federal laws, regulations, for care coordination; Respite, Title III Home Services, Nutrition & Disease Prevention/Health Promotion, Title V, Budgeting procedures, Governing Board responsibility, procurement practices and Guardianship program and records review.

Program/Financial Compliance Review Objective Verify AAA adherence with the program and reporting requirements specified in our contracts; Identify potential problems and possible resolutions; Ensure effective services are delivered to our citizen clients; Provide technical assistance in meeting regulatory requirements.

Review Staff Faye Cates, Information & Assistance\Referral Pat Cummins, Title V Carol Driskill, Nutrition Services Ellen Nau, CHORE Services Terry Raney, Guardianship Raymond L. Williams, Jr., Financial

Findings & Observations Definition Findings are deficiencies identified during the review which are determined to be non-compliant with federal or state requirements. Observation are potential deficiencies, however there is no specific regulatory requirement, but staff experience indicates that some evaluation should occur by the program to consider incorporating recommendations to assist with improving program outcome. Positive observations are those applications which appear to work exceptionally well.

Review Activities Total of 47 individual reviews were were completed. 25 Area Agencies on Aging. 7 Guardianship Programs. 12 General Program Contracts. 3 Title V Programs.

Financial Review Findings/Observation (AAA-Contractor) Review Highlights Advisory Council not meeting as required. AMR and AIM Data not consistent. Reassessments not completed as required.

Adult Day Care Review Finding /Observation (AAA-Contractor) Review Highlights Incomplete or the lack of data on UAI. No assessment, presenting problems documented.

Client name and social security not listed on all pages of the UAI. Information and Assistance\Referral Record Review Finding /Observation (AAA-Contractor) Review Highlights Client name and social security not listed on all pages of the UAI. Uniform Consent to Exchange information not complete. Whiteout used on records. Staff not signing off on documents in client files. Various required data elements missing from files. Staff not documenting work complete for a client.

In-Home and Respite Services Programs Finding /Observation (AAA-Contractor) Review Highlights Homemaker program policies and procedures should be documented. Required documentation not client files. Maintenance of case logs. Maintenance of care plans.

Care Coordination Program Records Review Finding /Observation (AAA-Contractor) Review Highlights Use of whiteout on client files. Client’s name and social security number are missing from pages. Documents missing from client files.

Congregate Nutrition and Home Delivered Nutrition Finding /Observation (AAA-Contractor) Review Highlights Inconsistent meal temperature documentation for congregate meals and home delivered meals. Refrigerators and freezers that store food for the elderly nutrition program don’t have thermometers. Documentation of milk temperatures for congregate meals should be improved. Material Safety Data Sheets (MSDS) were not available for hazardous materials used at congregate nutrition sites. The lack of complete fire drill reports.

Title V Program Review Review Finding/Observation (AAA-Contractor) Review Highlights Insufficient eligibility determination documentation was in client files. Obtaining enrollee signatures on documents that had not been completed with the required personal information about the enrollee. No documentation of the required quarterly on-site monitoring visits to work sites. Job placement goals are not being met.

Review Activities – Future (AAA-Contractor) Beginning July 1, 2003 (contractors) October 1, 2003 (AAA) Financial – cost allocation; Client confidentiality; Aim; Corrective action follow-up review. Programs – selected AAAs and contractors: corrective action follow-up review..

Review Activities - Future (AAA-Contractor) Future Program & Financial Compliance Reviews FY 03 July 1, 2003 – June 30, 2004 FY 04 October 1, 2004 – September 30, 2005

Program / Financial Compliance Review 2003 Financial Management Training PFCR Presentation Questions & Answers Thank You!!!!!!!!!!!!!!!!!!!!!!!!!!