Finding 1174130 (2024-003)

Material Weakness Repeat Finding
Requirement
E
Questioned Costs
-
Year
2024
Accepted
2026-02-18

AI Summary

  • Core Issue: Three cases lacked required signatures or dates, and nine cases had missing documentation, impacting eligibility verification.
  • Impacted Requirements: Proper documentation must be maintained in case files as outlined in the Food and Nutrition Services Certification Manual.
  • Recommended Follow-Up: Conduct internal reviews of case files, retrain workers on documentation standards, and ensure all supporting documents are complete and reconciled.

Finding Text

Criteria: Food and Nutrition Services case files to require proper documentation be contained in the case record to verify eligibility. The case file should contain a completed, signed (telephonic signature is allowable) and dated Food and Nutrition Services application (DSS-8207 or electronically generated ePASS application). The form must be signed by an adult household member (or an authorized representative), and NC FAST captures the user ID which serves as the worker’s electronic signature. Additionally, employment program participation is required for specified applicants. Eligibility criteria further outlined in Food and Nutrition Services Certification Manual, Section 305 through Section 350. Condition: There were Three (3) cases lacking the required signature or date certifying the documentation, and Nine (9) cases in which the proper documentation was not provided for the client. Questioned Costs: There was no affect to eligibility and there were no questioned costs. Context: We examined 60 out of 2,676 Food and Nutrition Services case files active during the fiscal year to ensure verifications used to determine eligibility were properly documented. Effect: For the active cases, there was a chance that information was not adequately documented or were not accessible NC FAST which affect general adherence to prescribed guidelines. Identification of a repeat finding: This is not a repeat finding. Cause: Ineffective record keeping and ineffective case review process, incomplete documentation, and incorrect application of rules for purposes of determining eligibility. Recommendation: Files should be reviewed internally to ensure proper documentation is in place for eligibility. Workers should be retrained on what files should contain and the importance of complete and accurate record keeping. We recommend that all supporting documentation used for eligibility verification be reviewed for completeness and reconciled to the information provided in worker dictation. Views of responsible officials and planned corrective actions: The County agrees with the finding. Supervisors will perform second party reviews to ensure proper documentation is contained in files to support eligibility determinations. Workers will be retrained on what information should be maintained in case files, the importance of complete and accurate record keeping, and reserve calculations. The County finance office will also participating in the review process.

Corrective Action Plan

Name of contact Person: Brittany Naylor, Director of Social Services Corrective Action: Lenoir County will implement the following for the Food and Nutrition Services case actions cited for the Single County Audit Fiscal Year ending June 30, 2024. • All workers will be given a 2nd party review form to utilize as a check off sheet to make sure everything needed was documented, attached, and forms sent correctly, etc. to ensure each case is updated correctly • Staff meeting will be held Wednesday, January 29, 2025 and the following printouts of policy/DSS Administrative letter will be given out to each worker and reviewed together as a group. DSS Administrative letter EFS_FNS_AL-35-2020 in regards to Telephonic Signature for Food and Nutrition Services Applications and Recertifications (amended) as of September I, 2020. (Where to document on applications and recertifications and must have a standalone note and cannot contain any additional characters or spaces). FNS policy 260 paragraph 12. Verbally explain and provide the ABAWD with the DSS 8569 Consolidated Work Notice, and explain that the case file must be documented with the date the notice was verbally explained, how the notice was given, if by hand deliver or mailed. Findings showed that the 8569 was created, but not changed to SENT from DRAFT. FNS 305 Rules for Budgeting Income, FNS 310 Budgeting New, Changed and Terminated Income, FNS 3 I 5 Special Budgeting Income, FNS 40 Deductions, FNS 350 Whose Income is Counted. Also explain to workers to double check attachments to make sure after being attached it could be pulled back up to review and to make sure information is attached as it should be. Ensure that SUA 's are updated correctly, that case information is documented and verified. • Supervisors will run and monitor NCF AST O&M reports daily to disparage overdue reviews or overdue applications. • Lead Worker turn in 2nd party reviews at least once or twice a week to be evaluated for error trends to the Staff Development Specialist for review. • Error trend rep011s are compiled by Staff Development Specialist and turned in monthly to Economic Services Administrator. • Staff Development Specialist will keep an excel spreadsheet detailing the errors cited and determine any error trends that need to be addressed. Unit meetings and individual conferences provided by the Supervisors in an effort to effectively catch and manage error trends that have been reported by the Staff Development Specialist. • Meetings held with Lead Workers, Medicaid Supervisors, Staff Development Specialist and Administrator to evaluate error trends. Monthly trainings held, as needed, to review error trend findings of 2nd party reviews completed with staff. • Providing staff with the knowledge of the audit information, the performance improvement plan and what staff expectations are. Staff Meeting to be held to address audit findings and to start training process for staff to obtain knowledge needed to remain in compliance with policy standards. Proposed Completion Date: February 15, 2025

Categories

Eligibility

Other Findings in this Audit

  • 1174128 2024-001
    Material Weakness Repeat
  • 1174129 2024-002
    Material Weakness Repeat

Programs in Audit

ALN Program Name Expenditures
93.778 MEDICAL ASSISTANCE PROGRAM $1.80M
93.563 CHILD SUPPORT SERVICES $1.19M
10.557 WIC SPECIAL SUPPLEMENTAL NUTRITION PROGRAM FOR WOMEN, INFANTS, AND CHILDREN $481,106
20.509 FORMULA GRANTS FOR RURAL AREAS AND TRIBAL TRANSIT PROGRAM $222,450
93.596 CHILD CARE MANDATORY AND MATCHING FUNDS OF THE CHILD CARE AND DEVELOPMENT FUND $132,165
16.585 TREATMENT COURT DISCRETIONARY GRANT PROGRAM $120,089
93.323 EPIDEMIOLOGY AND LABORATORY CAPACITY FOR INFECTIOUS DISEASES (ELC) $117,860
16.838 COMPREHENSIVE OPIOID, STIMULANT, AND OTHER SUBSTANCES USE PROGRAM $113,431
20.526 BUSES AND BUS FACILITIES FORMULA, COMPETITIVE, AND LOW OR NO EMISSIONS PROGRAMS $85,175
93.268 IMMUNIZATION COOPERATIVE AGREEMENTS $67,537
93.767 CHILDREN'S HEALTH INSURANCE PROGRAM $66,553
93.217 FAMILY PLANNING SERVICES $58,351
93.994 MATERNAL AND CHILD HEALTH SERVICES BLOCK GRANT TO THE STATES $49,859
97.042 EMERGENCY MANAGEMENT PERFORMANCE GRANTS $39,698
93.667 SOCIAL SERVICES BLOCK GRANT $36,211
93.069 PUBLIC HEALTH EMERGENCY PREPAREDNESS $35,768
10.561 STATE ADMINISTRATIVE MATCHING GRANTS FOR THE SUPPLEMENTAL NUTRITION ASSISTANCE PROGRAM $35,670
93.917 HIV CARE FORMULA GRANTS $32,645
93.991 PREVENTIVE HEALTH AND HEALTH SERVICES BLOCK GRANT $30,431
93.116 PROJECT GRANTS AND COOPERATIVE AGREEMENTS FOR TUBERCULOSIS CONTROL PROGRAMS $25,538
93.558 TEMPORARY ASSISTANCE FOR NEEDY FAMILIES $14,800
93.645 STEPHANIE TUBBS JONES CHILD WELFARE SERVICES PROGRAM $10,489
93.556 MARYLEE ALLEN PROMOTING SAFE AND STABLE FAMILIES PROGRAM $9,528
93.898 CANCER PREVENTION AND CONTROL PROGRAMS FOR STATE, TERRITORIAL AND TRIBAL ORGANIZATIONS $7,980
21.027 CORONAVIRUS STATE AND LOCAL FISCAL RECOVERY FUNDS $5,380
93.658 FOSTER CARE TITLE IV-E $4,690
93.674 JOHN H. CHAFEE FOSTER CARE PROGRAM FOR SUCCESSFUL TRANSITION TO ADULTHOOD $558
93.977 SEXUALLY TRANSMITTED DISEASES (STD) PREVENTION AND CONTROL GRANTS $42
93.568 LOW-INCOME HOME ENERGY ASSISTANCE $-120