Monitoring


  1. 1. Local Agency Monitoring Activity (to be updated each year)
  2. 2. Local Agency Monitoring Procedures
  3. 3. Use of Local Agency Review Data

DOES NOT APPLY (PROCEED TO NEXT SECTION)

1. Local Agency Monitoring Activity (to be updated each year)

  1. Local agencies/clinics monitored:
    • 59 number of local agencies monitored last annual period
    • 125 number of clinics monitored last annual period
    • 41 number of local agencies to be monitored this current annual period
    • 140 number of clinics to be monitored this current annual period
    • Specify last annual period, from: July 1, 2006 to June 30, 2007 (month/day/year - month/day/year; must be applied consistently)
    • Specify current annual period, from: July 1, 2007 to June 30, 2008 (month/day/year - month/day/year; must be applied consistently)
  2. Number of local agencies required to submit Corrective Action Plans (CAPs) to redress deficiencies identified during monitoring last year: 37 (Number)
  3. The State agency uses a tracking device, such as a chart or spreadsheet, which summarizes the reviews of all local agencies.
    • Yes  - Checked
    • No
    • If the State agency uses a tracking device, it shows (check all that apply):
      • date of most recent review for each local agency  - Checked
      • date of last review for each local agency  - Checked
      • number of clinics reviewed in most recent review for each local agency  - Checked
      • listing of findings for most recent review of each local agency  - Checked
      • date of State agency notice of findings in most recent review for each local agency  - Checked
      • date of local agency corrective action plan in most recent review for each local agency  - Checked
      • outcome of corrective action plan  - Checked
  4. In preparing to conduct a local agency review, the State agency reviews data reports on:
    • no-shows by category  - Checked
    • administrative costs claimed  - Checked
    • financial reports  - Checked
    • priorities served  - Checked
    • caseload  - Checked
    • racial/ethnic  - Checked
    • staff/participant ratios  - Checked
    • participant nutrition surveillance data for participants in that local agency
    • other (specify):

2. Local Agency Monitoring Procedures

  1. The State agency uses an established protocol when it monitors local agencies.
    • Yes  - Checked
    • No
    • If yes, attach in Monitoring and Audits Appendix or specify location in Procedure Manual below:
    • This monitoring protocol includes:
      • advance notification of monitoring visit  - Checked
      • determination of timeframes for conducting the review  - Checked
      • designation of local agency staff to assist State agency staff during review  - Checked
      • discussion of review findings on-site with local agency  - Checked
      • specified time frame for providing written review report  - Checked
      • specified time frame for local agency submission of corrective action plan, not to exceed 60 days from receipt of State agency's report  - Checked
      • instructions or guidance for preparation of corrective action plan (e.g., inclusion of implementation time frames)  - Checked
      • evaluation of adequacy of corrective action  - Checked
      • follow-up with local agency to ensure corrective action measures are implemented  - Checked
      • written notification of closure of the review  - Checked
      • other (specify):
  2. Monitoring of local agencies is conducted by (check all that apply):
    • State WIC staff  - Checked
    • district or regional staff  - Checked
    • other health programs
    • other (specify):
  3. Specialists in the following areas monitor the areas of their expertise:
    • certification and eligibility determination  - Checked
    • caseload management  - Checked
    • nutrition services  - Checked
    • breastfeeding promotion and support  - Checked
    • targeting and outreach policies  - Checked
    • financial management of administrative funds  - Checked
    • food delivery system  - Checked
    • vendor management  - Checked
    • civil rights  - Checked
    • Information Systems security  - Checked
    • other (specify):
  4. If the State agency uses reviewers to monitor areas in which they do not have expertise and/or prior knowledge, describe how the State agency trains or equips its reviewers to conduct the review:
  5. The State agency uses a standard local agency/clinic review form.
    • Yes  - Checked
    • No
    • (If yes, please ensure that it is included in the monitoring and audits appendix if it is not included in the procedure manual or elsewhere in the State Plan.)
    • If yes, the review form covers the following areas:
      • an assessment of local agency management  - Checked
      • an assessment of patient flow  - Checked
      • certification case file reviews, including procedures for determining adjunctive income eligibility  - Checked
      • caseload management  - Checked
      • training of local agency and clinic staff  - Checked
      • nutrition education  - Checked
      • breastfeeding promotion and support  - Checked
      • targeting and outreach policies  - Checked
      • financial management of administrative funds  - Checked
      • validation of staff time spent on WIC  - Checked
      • food instrument accountability  - Checked
      • vendor training and monitoring, if these functions are delegated to local agency  - Checked
      • civil rights compliance  - Checked
      • other (specify):
  6. The State agency has developed procedures for local agencies to use when they evaluate:
    • their own operations  - Checked
    • subsidiary/satellite operations (e.g., county health department clinic)  - Checked
    • subcontractors (e.g., community action program, hospital)  - Checked
    • homeless facilities/institutions
    • other (specify):
    • If yes, these procedures include a monitoring tool.
      • Yes  - Checked
      • No
      • If yes, all local agencies are required to follow these procedures.
        • Yes  - Checked
        • No (specify basis for exemptions):

ADDITIONAL DETAIL: Monitoring & Audits Appendix H, Part X, Monitoring and Audits and/or Procedure Manual (citation):

3. Use of Local Agency Review Data

  1. The State agency analyzes the results of local agency monitoring visits to determine whether deficient areas are common among its local agencies.
    • Yes  - Checked
    • No
  2. The State agency utilizes local agency review data to (check all that apply):
    • identify outstanding operational approaches that could be shared with other local agencies  - Checked
    • track individual local agency performance  - Checked
    • compare administrative costs/expenses among local agencies  - Checked
    • compare staffing and organization among local agencies  - Checked
    • other (specify):

ADDITIONAL DETAIL: Monitoring & Audits Appendix and/or Procedure Manual (citation):