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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 Presentation
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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
Seriously DeficientLearning Objectives
Serious Deficient Defined and Reg. Citations
Targeted Management Evaluation “SD” Findings
SD process
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…”
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)
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
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
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.
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?
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?
Serious Deficiency ProcessAn Acceptable CAP also answers these questions:
How will the new procedure(s) be transmitted to staff and facilities?
Additional supporting documentation
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.
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
Serious Deficiency Process If SA action is not upheld…
SD determination is temporarily deferred
Institution is not terminated but still must implement CA
Serious Deficiency Process
SD fully and permanently corrected… SD temporarily deferred
SD not fully and permanently corrected ...SA issues NTPD
FY2010 and FY2011TME Findings
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
TME Findings: SA Level
Failure to issue SD-related correspondence to institution officers
Exceeding Corrective Action time periods
Failure to use “abbreviated” appeals
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
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)
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
“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
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
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
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
Submissions to the NDL
Institution:
Name and Address
Termination date;
Amount of debt owed, if any, noting the RPI;
Reason/s for the disqualification
Submissions to the NDL
RPI:
Name
Address
Date of birth; and
Position in the institution
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
Submissions to the NDL
Accurate and complete information
Incomplete submissions returned
Review by FNS Regional Office
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
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
Early Removal Requests
Institutions and RPIs:
SA submits supportive documentation
FNS RO reviews documentation
FNS National Office concurrence
Early Removal Requests
Day Care Home Providers:
§ 226.6(c)(7)(vi) gives SAs authority to remove providers from NDL
FNS’ responsibility
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.
Debt Collection
7 CFR §226.14
Repayment plan
Effect on NDL
Uncollectible Debt
Debt Collection
Assessment of Interest
Interest accrual on debts
Responsibility of the State Agency
Debt Collection Example
See Handout
One uniform rate (Current Value of Funds Rate)
CVFR is published annually at http://www.fns.treas.gov
Debt Interest Rate
The NDL System
MOVING FORWARD
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
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
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
THANK YOU!
QUESTIONS ?????