Independent Living Services OIB Program Self-Assessment ... · Web viewIndependent Living Services OIB Program Self-Assessment and SWOT Analysis This in-depth self-assessment will

Independent Living Services OIB Program Self-Assessment and SWOT Analysis

This in-depth self-assessment will help start the development of a SWOT analysis. SWOT stands for strengths, weaknesses, opportunities, and threats. Strengths and weaknesses are internal variables, while opportunities and threats are external variables. The following categories will appear on the SWOT as a result of the completion of the self-assessment, including, but not exclusive to, the following:

Administrative, Program, Fiscal Policies and procedures Fiscal efficiency Data collection and analysis Personnel, including recruitment and retention of quality staff Evaluation of program performance methods Quality of OIB services Community outreach strategies Community partnerships

After completing the initial internal assessment of strengths and weaknesses from this self-assessment, stakeholder groups would be held to identify the external opportunities and threats.

Organizational and Administrative Structure

1. Name and state of DSA for the OIB program. 2. Address, telephone number, and website of the organization.3. Agency Director contact information, including name, telephone, and email 4. OIB Director/Program Manager contact information, including name, telephone

number, and email (if different from above).5. List the name, job title, and areas of the self-assessment of all employees who

assisted with this self-assessment.

Administrative and Financial Management of the OIB program

Personnel

6. How many full-time and part-time employees are assigned to the OIB program by the DSA? Please list the positions and the time and effort on the OIB program.

A. Name:B. TitleC. FTE (full-time equivalent) on OIBD. Percent of time on OIB

NOTE: Please place an X in front of the response that best describes your agency (the DSA). If you contract out services and would like to add info on the contractors please do so. Feel free to copy and paste the question and indicate answering from the contractor’s perspective as appropriate. (This is your self-assessment tool).

7. Do you believe there is adequate administrative support for the OIB program in your organization?

A. The OIB program is fully staffed and has adequate support to meet all timelines and complete all tasks accurately.

B. The OIB program is fully staffed. However, the tasks are not commensurate to the allocated staff time.

C. The OIB program does not have adequate staff or time to meet the administrative management of the OIB program fully.

8. Do you believe there is an adequate number of direct service providers to meet the needs of the OIB program in your state?

A. The OIB program is fully staffed with professional direct service staff, and OIB program participants receive services within one week of eligibility, and services are provided at least weekly during the service plan.

B. The OIB program is fully staffed, however it does not have adequate staff to initiate services within two weeks of eligibility and services at least weekly during the service plan.

C. The OIB program is not fully staffed, and OIB program participants often must wait several weeks before services are initiated, and services are not provided at least weekly during the service plan.

D. The OIB program has a long waiting list, and OIB program participants often receive services only once a month during their service plan.

E. Other, explain:9. Is there a policy and a procedure in place to document and track the time

allocated among staff to the OIB program?A. Yes, there is a clear policy and procedure for allocating all time.B. Yes, there is a policy, but no specific procedure to track C. Staff estimates their time spent in all programs, including OIB.D. No policy or procedure exists to track time.

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10.Does the agency analyze resource utilization, including staffing patterns, staff duties, staff training needs, and effectiveness of services?

A. Yes, a clear plan is in place to regularly analyze resource utilization. B. The agency occasionally conducts an analysis of resources. C. No plan is in place to analyze resource utilization.D. Other, explain:

11.Does the DSA maintain an up-to-date organizational chart delineating organizational structure and written job descriptions containing the qualifications for each staff position?

A. Yes, an up-to-date organizational chart is maintained, and job descriptions exist for all staff positions

B. Yes, an up-to-date organizational chart exists, with job descriptions existing for some staff positions

C. No, job descriptions do not exist for any staff positions12. Is there a current personnel manual with written personnel policies and

procedures for agency staff?A. YesB. No

9. When is the personnel manual provided to staff? A. The personnel manual is provided at the start of employment and when

updatedB. The manual is provided upon the start of employment only and available

on a shared drive thereafterC. the personnel manual is provided on a shared drive, and staff are

provided information on accessing it.D. A personnel manual exists but is not provided to staffE. No personnel manual exists

10. Is the personnel manual provided in an accessible format?A. Yes.B. No. C. No personnel manual exists

11.When was the most recent review or revision of the personnel manual? A. In the past 12 months (last year) B. In the last 12-18 months (year to year-and-a-half)C. In the last 18 – 24 months (year-and-a-half to two years)D. In the last 2-5 yearsE. More than five years ago

12.Which of the following are included in the personnel manual with clearly defined policies? Check all that apply.

A. Fringe BenefitsB. VacationC. Sick LeaveD. Work HoursE. Work ScheduleF. None of these are includedG. No personnel manual exists

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13.Which of the following ethical issues are included in the personnel manual with clearly defined policies? Check all that apply.

A. Relationships with clients B. Boundaries to the scope of work/job dutiesC. Gift PoliciesD. ConfidentialityE. Conflict of interestF. Mandatory reportingG. None of these are includedH. No personnel manual exists

14.Are formal staff performance evaluations conducted?A. All staff participate in a formal performance evaluation process annually.B. All staff participate in performance evaluations bi-annually.C. There is no process for performance evaluations.

16.Which of the following are in the staff performance evaluation? Check all that apply.

A. QualificationsB. Professional developmentC. GoalsD. Work quality and quantity (effectiveness and efficiency) E. Performance evaluations do not review the above.

17.The agency has dedicated resources and a schedule for staff training and development?

A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

Fiscal Integrity

18.Does the agency have a budget for the OIB program?A. Yes, the agency has a spate and detailed budget for the OIB program.B. The agency has a budget that lists major expenditures of the OIB

program only. C. No budget exists for the OIB program.D. The agency does not have a budget for any programs.

19.The OIB staff, including the OIB manager, understand match.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

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20.The OIB program has fully met match in the past five years.A. Strongly agreeB. Agree (met match at least four times)C. Moderately agree (at least three times)D. The OIB program has difficulty meeting match consistently

21. If you met and exceeded the match, by how much on average, and what was your typical source for meeting match?

A. Explain: 22.Please identify the positions and individuals responsible for the following

(please list the back-up as well): (Note: coding will be based on the ability to identify these individuals, the job title of each, and internal controls).

A. Completing and submitting the Financial Status Report, Standard Form 425 (SF- 425).

B. Developing the budget.C. Purchasing.D. Processing Payments.E. Monitoring expenditures to ensure they are allowable costs.F. Personnel time and effortG. Tracking equipment/property.

23.The agency has an accounting system able to carry out all accounting functions and produce data and reports.


24.What financial accounting system/process is used to track income and expenditures?

A. Explain: 25.Do you have written policies and procedures about cost allocation for any of the

following? Check all that apply. A. Personnel timeB. TravelC. RentD. UtilitiesE. EquipmentF. No written policies exist

26.There is a transparent system that demonstrates a clear and documented audit trail for all expenditures.


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27.There are clearly defined payment procedures that outline how purchasing and payment functions are separated, authorization approval, and payment authority.


28.The OIB program has policies and procedures to review budget expenditures monthly regularly.


29.Do you have written policies and procedures for managing equipment and property for any of the following? Check all that apply.

A. PurchasingB. TrackingC. Conducting inventories D. Disposing of inventory.E. No written policies exist

30.There are clearly defined contracting processes, which identify the services procured through contracts.


31.The DSA has a policy for record retention and destruction.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

32.The DSA conducts audits as required (by agency, state, or federal/RSA). A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

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33.The DSA has not had any significant audit findings in the past five years.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

Data Collection and Analysis

34.Which of the following best describes the percentage of OIB who seek or are referred to OIB services for the first time each year?

A. At least 75% of OIB program participants in the DSA receive OIB services for the first time annually

B. At least 50% of OIB program participants in the DSA receive OIB services for the first time annually

C. At least 35% of OIB program participants in the DSA receive OIB services for the first time annually

D. At least 25% of OIB program participants in the DSA receive OIB services for the first time annually

E. At least 10% of OIB program participants in the DSA receive OIB services for the first time annually

35.Of the total number of individuals served in the last reported FY, what percentage were:

A. Totally blindB. Legally blindC. Severely visually impaired

36.Does the state have collaboration programs with Native Americans?A. YesB. NoC. The Native American population is not prevalent in our state

37. Is there a designated Deaf/Blind specialist in the state?A. YesB. No

Data Collection and Analysis Procedures

38.What system is used to document each OIB program’s case contacts, notes, and other pertinent information related to data collection?

A. AWARE, B. LIBREC. Agency-developed systemD. ExcelE. Other – (Please identify Other)F. No case management system is used

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39.How are case files maintained?A. Electronic onlyB. Hard copy onlyC. Both electronic and hard copyD. No case files maintained

40.Check all that apply regarding policies, procedures, and systems to ensure that participant information remains secure and confidential. Check all that apply.

A. Policies exist in a procedure manual. B. Staff are regularly trained on these policies.C. Staff are trained at the start of employment.D. None of the above

41.Regarding confidentiality in the past FY, what best applies?A. There have been no breaches of confidentiality that we are aware of. B. There have been minimal breaches in confidentiality.C. There have been extensive issues with confidentiality.

42.Check all that apply regarding the data collection process for the RSA-7-OB form for all OIB staff?

A. No policies or procedures are in place for RSA-7-OB collection and submission.

B. Our policies and procedures define the data collection process. C. Our policies and procedures explain the staff responsible for data

collection. D. Our policies and procedures include a timeline for data collection. E. We provide annual training opportunities for ALL staff regarding data

collection. F. Only staff responsible for analyzing and submitting data for the 7-OB are

trained. 43.The DSA RSA-7-OB data is analyzed for accuracy by a designated staff

member or team within the OIB program. (§367.30)A. There are policies and procedures identifying staff responsible, timelines,

a review of prior 7-OB data, and other relevant documents in place for data analysis before submission.

B. The OIB manager reviews the data to identify any anomalies before submission.

C. The data is not analyzed or checked for accuracy regularly.

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44.The DSA submits the RSA 7-OB report on time (within 90 days from the end of the fiscal year).

A. There are policies and procedures in place to ensure the RSA 7-OB report is submitted on time. The report has been submitted on time for at least the past five years.

B. Policies and procedures exist to ensure the RSA 7-OB report is submitted on time, and the report has been submitted on time for at least the past two years.

C. Procedures to ensure timely submission do not exist, but the RSA 7-OB report has been submitted on time for at least the past three years.

D. Procedures do not exist for timely submission, and the RSA 7-OB report has been submitted late at least once in the past three years.

E. The RSA 7-OB report has been submitted late at least three times in the past 5 years.

Community Outreach

45.The DSA has a written outreach strategy for the OIB program to ensure those individuals with disabilities who traditionally have been unserved, or underserved are aware and referred to the OIB program.


46.The DSA has designated staff and strategies to assess the effectiveness of community outreach efforts.


47.The DSA has established written policies and procedures that support capacity-building activities, including collaboration with other agencies and organizations; promote community awareness, involvement, assistance; and outreach efforts, including methods to identify local resources that can help identify and help meet client needs.


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48.The DSA has partner organizations that regularly make referrals to the OIB program.

A. The DSA has strong relationships/partnerships with organizations state-wide that include medical /eye care, aging, social services, faith-based organizations, and other community-based organizations that regularly make referrals

B. the DSA receives referrals from a wide variety of organizations, but most from eye care providers

C. the DSA primarily receives all referrals from eye care providersD. the DSA receives most referrals through word of mouth by prior or

current program participantsE. Other, please explain:

49.Community Outreach reaches all areas of the service area, including rural, under-served, and unserved populations.


50.Community outreach materials, including brochures, information sheets/flyers, referral forms, and websites, all contain the program purpose, eligibility, and referral information.


51.Community outreach includes various formats, including updated brochures, websites, presentations, etc., to reach unserved and underserved populations.


52.Community outreach materials are available in accessible formats, including large print, braille, audio, and appropriate languages.


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53.Provision of Information and Referral (I&R) is provided to everyone who asks for assistance.


54.State legislators are knowledgeable about OIB services.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

55.Social service agencies are familiar with OIB services, know how to make referrals, and make regular referrals.


56.Aging services, such as senior centers, the Area Agency on Aging, etc., are familiar with OIB services, know how to refer and make regular referrals.


57.There are designated staff who are responsible for and have the time and materials needed for effective community outreach for the agency.


58.The staff responsible for community outreach have which of the following resources? Check all that apply.

A. TrainingB. Allocated time to conduct outreachC. Necessary materials to conduct effective community outreach. D. None of the above

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Evaluation of Quality of Services

59.The Program manager is confident in the administration of all aspects of the OIB program.


60.The DSA has methods to monitor and evaluate the effectiveness of the OIB services provided by OIB staff and OIB contractors.


61.The DSA has a standard formal contract and process for vended or contracted services. The agreement and policies and procedures include a description of the scope of work, goals and objectives, expected deliverables, performance measures, evaluation of the service delivery model, staff qualifications, services provided, documentation, reporting, and a plan for monitoring at least annually.

A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagreeF. Not applicable. No contractors provide OIB services

62. If services are contracted out, who is responsible for auditing/monitoring contractors?

A. The state conducts regular monitoringB. The state conducts annual monitoringC. The state conducts monitoring every 1 to 3 yearsD. Contract monitoring currently does not occurE. Contractors are expected to provide the annual audit findings F. Contractors are required to be accredited by AER Accreditation CouncilG. The contractor is required to be accredited by NFBH. Other, explain:

63.Staff and/or contractors are compliant with OIB policies and procedures.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagreeF. Not applicable

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64.The agency has a process to ensure the timely correction of noncompliance identified through its monitoring process.

A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagreeF. Not applicable

65.The DSA regularly conducts a case file review to identify issues with case documentation, data collection accuracy and thoroughness, quality of reporting, and service provision quality.


66.Although not required by Federal statute or regulation, the DSA has a client satisfaction survey provided to all consumers in an accessible and confidential format to evaluate the IL OIB services provided.

A. YesB. No

67.The DSA has a formal grievance procedure for individuals who are dissatisfied with decisions made or services provided through the OIB program.

A. YesB. No

68.How many grievances have been filed against the OIB program over the past five fiscal years?

A. No grievancesB. One grievance C. Two of three D. Four of fiveE. More than five

Quality of Staff

69.The DSA has established a formal recruitment strategy to attract high-quality candidates.


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70.The DSA has not had issues with the recruitment or retention of qualified staff in the past five years.


71.The DSA has policies in place to recruit and retain direct service staff with appropriate qualifications and credentials to provide OIB services (certified and trained staff).


72.All direct service staff must have professional certification and degree and training and/or experience working with older individuals.


73.The DSA requires all OIB direct service staff to have at least a Bachelors’ degree in a related field.

A. YesB. No

74.The DSA requires OIB direct service staff to have experience working with older individuals with visual impairments.


75.Professionals within their area of expertise (rehabilitation therapy/teaching, orientation and mobility, assistive technology) provide all direct services to OIB.


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76.New professionals are supervised by a qualified professional until qualified in their area of expertise


77.The DSA has policies and procedures in place to ensure the provision of professional development opportunities for OIB and subcontractor personnel to ensure the provision of quality OIB services to consumers


Service Delivery

78.Does the DSA have a policy and procedure in place to determine an individual’s eligibility for the OIB program?

A. YesB. No.

79.The agency has a policy about how quickly to respond to first contact?A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

80.The agency has a policy in place to prioritize clients if a waitlist exists?A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagreeF. No waitlist exists

81.Does the DSA have information or arrangements to provide any material or documentation (including appointment letters and other correspondence) in alternate formats for individuals? Check all that apply.

A. Yes, for braille. B. Yes, for large print. C. Yes, for other languages.D. No

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82.Does the DSA have policies and procedures used when an individual’s ability to pay is considered in determining his or her participation in the costs of OIB services?

A. Not applicable. B. Policies and procedures are clearly defined and meet state requirements.C. The formal policy does not exist, yet needs tests are used informally.

83.Does the DSA have policies and procedures for notifying consumers about the Client Assistance Program (CAP)?

A. YesB. Yes, including notifying them of the purposes of the CAPC. Yes, including notifying them of the availability of CAP servicesD. Yes, including how to contact the CAPE. No.

84.Does the agency have a procedure for the development of OIB Individual Service Plans?

A. YesB. Yes, and they are developed based on assessment. C. Yes, and they include client input.D. Yes, and they are developed based on assessment AND client input. E. No

85.The DSA utilizes a comprehensive discipline-specific pre and post-assessment A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

86.Program participant plans/goals are individualized and linked to assessed needs.


87.Which of the following describes the assessment of the OIB consumer?A. A formal pre-post assessment is conducted by a certified professional.B. A pre-assessment only is conducted by a certified professional.C. A post-assessment only is conducted by a certified professional. D. A pre-post assessment is conducted by the case manager or OIB

provider who is not certified.E. A pre-assessment only is conducted by a non-certified staff member.F. No assessment is conducted.

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88.The DSA has specific methods to determine the level of progress towards achieving an individual’s goals.


89.All program participants receive referrals to partner organizations that will increase their ability to maintain independence.


90.All OIB staff have an updated list of potential referral sources/organizations, agency contacts, and referral processes.


91.The agency has an updated list in accessible formats provided to all program participants that lists important local, state, and national resources that will help them maintain their independence.


92.Staff providing direct services have demonstration kits and provide basic instruction of devices before providing them


93.Clients are given a trial period with each deviceA. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

Explain which devices and trial period:

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94.Provided devices are consistent with assessed needs, the need is documented, and the individual’s ability to use and benefit from the aid/device are documented.


95.All aids and devices provided by the agency promote safety, health, and independence and are related to visual impairment.


96.Program participants are provided with training in a method that meets their individual needs.


97.Services are provided in short and frequent sessions to maximize program participants learning and retention.

A. Most clients receive training sessions at least twice a week while the case is open

B. Most program participants receive training at least once a weekC. Most clients receive training once every two weeksD. Most clients receive training 2 to 4 weeks apartE. Most clients receive training once a monthF. Other, explain:

98.Program participants receive information about consumer and peer /support groups to increase their adjustment to vision loss.


99.The agency has a process and procedure in place for case closure.A. Strongly agreeB. AgreeC. Moderately agreeD. DisagreeE. Strongly disagree

100. What is the satisfaction rate from your most recent FY feedback surveys? Percent satisfaction:

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Documents

Independent Living Services OIB Program Self-Assessment ... · Web viewIndependent Living Services OIB Program Self-Assessment and SWOT Analysis This in-depth self-assessment will