presenters: barbara smith and belva brennan april 12, 2012
DESCRIPTION
Presenters: Barbara Smith and Belva Brennan April 12, 2012 USDA, Food and Nutrition Service, Child Nutrition Division Program Analysis and Monitoring Branch. Child And Adult care food program Seriously deficient (SD) to The national disqualified list (NDL). - PowerPoint PPT PresentationTRANSCRIPT
![Page 1: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/1.jpg)
CHILD AND ADULT CARE FOOD PROGRAM
SERIOUSLY DEFICIENT (SD)TO THE
NATIONAL DISQUALIFIED LIST (NDL)
Presenters: Barbara Smith and Belva Brennan
April 12, 2012
USDA, Food and Nutrition Service, Child Nutrition Division Program Analysis and Monitoring Branch
![Page 2: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/2.jpg)
Seriously DeficientLearning Objectives
Serious Deficient Defined and Reg. Citations
Targeted Management Evaluation “SD” Findings
SD process
![Page 3: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/3.jpg)
Seriously Deficient (SD) Defined
7 CFR 226.2
“…the status of an institution or a day care home that has been determined to be non-compliant in one or more aspects of its operation of the Program…”
![Page 4: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/4.jpg)
SD Process Reg Citations For New Institutions…
226.6(c)(1) For Renewing Institutions…
226.6(c)(2) For Participating Institutions…
226.6(c)(3) For Day Care Homes…
226.16(l)
![Page 5: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/5.jpg)
Serious Deficiency Process
What exactly is the “serious deficiency process”?
EVERYTHING after a SD declared…
begins with the SD determination and
ends with the resolution of the SD
![Page 6: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/6.jpg)
Serious Deficiency Process SD notice is sent by certified mail (or
equivalent private delivery)
Include name(s) of RPI(s), SDs and request for CAP
SA must maintain a State agency list including SD information
![Page 7: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/7.jpg)
Serious Deficiency Process In response to the SD notice, the
institution or provider must submit a CAP
Acceptable CAP includes:
Name(s) of institution/provider and RPIs; Location; RPI birth dates; assurance that SDs are fully and permanently corrected.
![Page 8: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/8.jpg)
Serious Deficiency ProcessAn Acceptable CAP also answers these questions:
What are the serious deficiency(ies) and the procedures that will be implemented to address the serious deficiency(ies)?
Who will address the serious deficiency?
![Page 9: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/9.jpg)
Serious Deficiency ProcessAn Acceptable CAP also answers these questions:
When will the procedure for addressing the serious deficiency be implemented?
Where will the CAP documentation be retained?
![Page 10: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/10.jpg)
Serious Deficiency ProcessAn Acceptable CAP also answers these questions:
How will the new procedure(s) be transmitted to staff and facilities?
Additional supporting documentation
![Page 11: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/11.jpg)
Serious Deficiency Process
States must submit the SD notice and documentation to their FNSRO
DCH SO must provide SD notice and documentation to the State agency
If the CAP is deemed acceptable, SD determination is temporarily deferred.
![Page 12: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/12.jpg)
Serious Deficiency Process
If a timely CAP is not submitted or no CAP is submitted:
A NPTD, with appeal rights is sent
If SA action is upheld, a NTD is sent to institution or provider and RPIs
![Page 13: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/13.jpg)
Serious Deficiency Process If SA action is not upheld…
SD determination is temporarily deferred
Institution is not terminated but still must implement CA
![Page 14: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/14.jpg)
Serious Deficiency Process
SD fully and permanently corrected… SD temporarily deferred
SD not fully and permanently corrected ...SA issues NTPD
![Page 15: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/15.jpg)
FY2010 and FY2011TME Findings
![Page 16: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/16.jpg)
Serious Deficiency Process Use of “SD” warnings
Inadequate description of SDs and/or corrective action
NSDs or other documents lacked required information
Failure to name RPIs
![Page 17: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/17.jpg)
TME Findings: SA Level
Failure to issue SD-related correspondence to institution officers
Exceeding Corrective Action time periods
Failure to use “abbreviated” appeals
![Page 18: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/18.jpg)
TME Findings: SA Level
Self-terminate or Terminate for Convenience
Failure to issue NSD on a timely basis
No State agency list or list not complete/current
![Page 19: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/19.jpg)
TME Findings: SA Level Non-compliant appeals process/
procedures
Failure to resolve appeals within regulatory timeframes
Failure to issue Notice of Proposed Termination/Disqualification (NPTD)
![Page 20: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/20.jpg)
TME Findings: SO Implementation and SA Oversight
Inadequate description of SDs and/or corrective action in NSD
NSDs or other documents lack required information
Failure to issue SD-related correspondence to institution officers, if applicable
![Page 21: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/21.jpg)
“Promise” not to do it again
TME Findings: SO Implementation and SA Oversight
Rescission of NSD w/o evaluation/receipt of corrective action
Failure to use SD process when license is revoked
![Page 22: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/22.jpg)
FNS CND Findings
Multiple Terminations
Institutions Terminated w/o RPIs
“Trial Periods” as NDL removal prerequisite
Removing DCH providers w/o adequate Corrective Action
Failure to collect interest on debt
![Page 23: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/23.jpg)
National Disqualified List (NDL) Learning Objectives
NDL Authority
Provide guidance on what is required for submissions to the NDL
Removal from NDL process to include:
FNS expectations of acceptable CAP Collection of Debt and interest
New Web-Based NDL System
![Page 24: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/24.jpg)
42 U.S.C. 1766 (d)(5)(E)(i) and (ii), the Richard B. Russell National School Lunch Act
§ 226.6(c)(7) of the Program regulations
The National Disqualified List
![Page 25: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/25.jpg)
Submissions to the NDL
Institution:
Name and Address
Termination date;
Amount of debt owed, if any, noting the RPI;
Reason/s for the disqualification
![Page 26: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/26.jpg)
Submissions to the NDL
RPI:
Name
Address
Date of birth; and
Position in the institution
![Page 27: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/27.jpg)
Submissions to the NDL
Provider: Name(s) of the provider; Address; Date of Birth; Termination date; Amount of debt owed, if any; Name of the individual’s sponsor; and Reason(s) for the disqualification
![Page 28: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/28.jpg)
Submissions to the NDL
Accurate and complete information
Incomplete submissions returned
Review by FNS Regional Office
![Page 29: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/29.jpg)
No removal if there is a debt owed
After 7 years from termination
“Reinstated” records retained 3 years
Early removal requests
Removal from the NDL
![Page 30: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/30.jpg)
End of 7 Years
If debt remains upon completing 7 years, no removal.
Institution/RPIs/Providers remain on the State agency list.
Upon reapplication, SA must ensure serious deficiencies are fully resolved prior to approving the application
![Page 31: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/31.jpg)
Early Removal Requests
Institutions and RPIs:
SA submits supportive documentation
FNS RO reviews documentation
FNS National Office concurrence
![Page 32: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/32.jpg)
Early Removal Requests
Day Care Home Providers:
§ 226.6(c)(7)(vi) gives SAs authority to remove providers from NDL
FNS’ responsibility
![Page 33: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/33.jpg)
Early Removal RequestsCorrective Action Plans:
For institutions, § 226.6(c), requires the submission of corrective actions taken to the State agency.
For providers, § 226.16(k)(3)(F)(ii) requires the submission of corrective actions to the sponsoring organization.
![Page 34: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/34.jpg)
Debt Collection
7 CFR §226.14
Repayment plan
Effect on NDL
Uncollectible Debt
![Page 35: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/35.jpg)
Debt Collection
Assessment of Interest
Interest accrual on debts
Responsibility of the State Agency
![Page 36: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/36.jpg)
Debt Collection Example
See Handout
![Page 37: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/37.jpg)
One uniform rate (Current Value of Funds Rate)
CVFR is published annually at http://www.fns.treas.gov
Debt Interest Rate
![Page 38: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/38.jpg)
The NDL System
MOVING FORWARD
![Page 39: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/39.jpg)
A robust, scalable and expandable web-based application for NDL
Replaces the MS Access NDL application
Integration with the USDA e-Authentication system
Web-Based NDL System
![Page 40: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/40.jpg)
Sponsoring Organization: e-Auth Level 1
State Agency: e-Auth Level 2
FNS Regional Office: e- Auth Level 2
FNS National Office: e-Auth Level 2
Web-Based NDL SystemAccess
![Page 41: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/41.jpg)
Client Verification Testing Period – April to May 2012 (CND and FNS RO staff)
Training Webinars for State agency staff - June 2012 and prior to implementation date
System Forms: OMB Approval Clearance Process begins mid-June 2012
Launching Live – Beginning of FY2013 (Estimation)
Web-Based NDL SystemProjected Timeline
![Page 42: Presenters: Barbara Smith and Belva Brennan April 12, 2012](https://reader036.vdocuments.us/reader036/viewer/2022081418/568163ee550346895dd56455/html5/thumbnails/42.jpg)
THANK YOU!
QUESTIONS ?????