SC 101: UNDERSTANDING WHAT IS EXPECTED FOR A HUD DESK AUDIT AND HOW TO PREPARE

Transcription

1 SC 101: UNDERSTANDING WHAT IS EXPECTED FOR A HUD DESK AUDIT AND HOW TO PREPARE 1

2 Learning Objectives 1. This webinar will prepare attendees for the periodic HUD Desk Audit Review of your Service Coordinator Program. 2. Gain a better understanding of the SC Review Form and how to use the SC Review Checklist. 3. Organize and create an all-in-one binder that has everything required for the HUD Desk Audit. 4. Help you document and organize training hours. 5. Addresses how to create your own system and organization for maintaining up to date HUD required documents. What is a Service Coordinator Program? The Service Coordinator Program is defined by HUD as the employment of a Service Coordinator and the funding (whether through a grant or other) that pays for the position. A Service Coordinator is a social service staff person hired or contracted by the development's owner or management company. The Service Coordinator is responsible for assuring that elderly residents, especially those who are frail or at risk, and those non-elderly residents with disabilities are linked to the specific supportive services they need to continue living independently in that housing development. Purpose (as defined by HUD): Independent living with assistance is a preferable, lower cost housing alternative to institutionalization for many frail older persons and persons with disabilities. An estimated 365,000 persons (year 2007) living in HUD-assisted housing experience some form of frailty, and this number will increase as people living in those units grow older. By arranging for delivery of some services, Service Coordinators can extend the length and improve the quality of independent living. 2

3 What is a HUD Desk Audit? A periodic HUD desk audit is when 1 or 2 HUD Representatives will come and do a site visit and a desk review at a SC s property to evaluate the SC, the resident satisfaction and accounting (reports and back up receipts). The audit is to determine whether the SC and Administration are in compliance with the requirements of the HUD Service Coordinator Program as stated in the HUD Handbook, Chapter 8. What does HUD typically examine during an audit of a service coordinator program? HUD staff will give the SC and Property Manager/Administration approximately 2 weeks to prepare for the audit. When HUD Reps visit they will use an evaluation form to determine if the SC and Administration are providing either Satisfactory or Unsatisfactory services. If the building does not pass, the SC and Administration will have an opportunity to rectify the gaps in service and reporting. HUD will specifically review resident files (assuming there is a signed consent form allowing HUD to see files *** this will be reviewed later in this webinar), grant files, and accounting records. HUD will come to the building and speak with the SC, Property Management Staff and Residents. Their objective is to ensure that programs are running successfully. 3

4 What monitoring form does HUD use when they visit? HUD does not yet have an official monitoring form. HUD Field staff use a sample provided by HUD Headquarters called the SC Review Form or design their own. All Service Coordinator programs, regardless of their funding source, must follow the same standards and requirements. Service Coordinator Development Review Form Project Name and Grant or Project No: Project Address: U.S. Department of Housing and Urban Loan Status: Insured Section 8 Contract Administration Subsidized - Yes No (If yes, indicate all that apply) Section 8 Rent Supplement HUD-Held HUD RAP PAC PRAC Non-Insured CA Other PBCA Date of On-site Review: Date of Report: Purpose of Report A. Site Visit B. Desk Review Number of Units Name of Service Coordinator: Date Hired:(mm/dd/yyyy) Project Status: Current Under Mortgage Delinquent Under Mortgage Current under Workout/Modification: Delinquent under Workout/Modification: Foreclosure in Progress 4

5 A. Qualifications and Training Are Service Coordinator s qualifications consistent with HBK Are training requirements met? First Year 36 hours On going 12 hours Is Service Coordinator training and certification documentation included? Is the Service Coordinator job description & resume on file? Is the Service Coordinator s job description/duties consistent with HBK , Chapter 8.4a.(3)? B. Program Administration Ye N Comments: Is the Service Coordinator office clearly identifiable, accessible, and private? Yes No Comments: Are the Service Coordinator s office hours clearly posted outside of office? Are the Service Coordinator s files kept locked and confidential? Is a directory of service agencies and contacts maintained that is available to all? Are copies of program (resources/agencies) information packaged provided to clients? (i.e.: pamphlets and brochures) What is the functional status of the resident population? Estimated number of frail elderly residents daily living) (deficient in 3 or more activities of Estimated number of at-risk elderly residents (deficient in 1 or 2 activities of daily living) Is the Service Coordinator program fulltime or part-time? Full-time Part-time Comments: Are the Service Coordinator s hours appropriate for the number of at-risk and frail elderly and non-elderly residents with disabilities? Yes File Review 1. Are tenant files organized and maintained? No 2. Are Intake/Assessment forms part of each case file? 3. Is a case management plan included in each case file? (must include all referrals to community agencies) 4. Is there a signed Release of Information form in each case file? 5. Is the disposition or termination of each case documented? 6. Is there a signed Confidentiality Agreement in each active file? 7. Are the progress notes/status detailed for each case file? Yes No Comments 5

6 C. Quality Assurance Does the grant/budget include Quality Assurance? Who is the QA provider? Is there a QA contract? Is QA provider a third party? Yes No Is there a job description for the QA provider? Yes No Does the QA provider conduct the following: Yes No Yes No Comments 1. Evaluation of resident satisfaction 2. First review completed 6 months after hire Additional reviews completed every 12 months thereafter 3. Interview of property manager 4. Review of tenant files 5. Interviews with residents 6. Provide written year-end report D. Reports Are the following completed? 1. Grant Award/Amendment (HUD-1044) 2. First-Time Funding Request (HUD-91186) 3. One-Year Budget (HUD A) 4. LOCCS/VRS Payment Vouchers (HUD SCMF) 5. Semi-Annual Performance Report (HUD-92456) 6. Financial Status Report (SF-269A)) 7. Logic Model Report (HUD-96010) 8. Year-End Quality Assurance Report For Owners using annual budget for SC positionthe date of last annual budget submitted Month Day Year E. Resident Participation Yes No NA Comments Have the residents been interviewed about the service coordinator s role? Are the residents knowledgeable about the service coordinator program? Is there positive feedback about the service coordinator program? Do residents believe the service coordinator program is beneficial? List the strengths of the program according to residents. List the weaknesses of the program according to residents 6

7 What is a Service Coordinator Review Checklist? Based on the HUD SC Review form, a has been created and will be presented and thoroughly reviewed. The Checklist has every item a HUD Rep will request and review during your desk audit. We will review the checklist one item at a time and then after reviewing each section of the SC Review Checklist, I will show you how to put a QA Binder together. Page 1 Project name and address: Person(s) Interviewed: Purpose of Report Site Visit Date: Desk Review Date: Name of Service Coordinator: Date Hired:(mm/dd/yyyy): * Know your date of hire Service Coordinator Funding (check all that apply) Grant Other funding source * Service Coordinator programs, whether funded through a grant or other funding streams are all to be monitored by HUD field staff in accordance with program requirements. Number of Units: 7

8 Part A. Qualifications and Training 1. Are the Service Coordinator s qualifications consistent with program requirements? *Qualification of a service coordinator (HUD Handbook, Ch. 8): A Bachelor of Social Work or degree in Gerontology, Psychology or Counseling is preferable; a college degree is fully acceptable. However, individuals without a degree, but with appropriate work experience may be hired. *Supervisory experience may be necessary in some team situations in which a professional supervises a number of nonprofessional or paraprofessional "aides". Part A. Qualifications and Training (continued) 2. Are training requirements being met? First Year 36 hours/year On going 12 hours/year *SCs must meet a minimum of 36 training hours of classroom/seminar time before hiring, or must complete this minimum training requirement within 12 months of initial hiring. *After the first year of employment, SCs must attend 12 hours of relevant continuing education on an annual basis. 8

9 Part A. Qualifications and Training (continued) 3. Is the Service Coordinator s training and certification documented in accordance with program requirements? *SCs must document their completed training coursework and maintain the information in their program files. For each course, documentation should show the subject matter, length of time, sponsoring organization, dates, and cost. (Grant Agreement, Article V and Handbook Chapter 8, Section 8.9) Part A. Qualifications and Training (continued) 4) Is the Service Coordinator s training and certification documented in accordance with program requirements? *A Training Verification log has been created that lists the Statutory and Core Subject areas so you can easily match up your trainings with the subject areas and the log helps you plan what trainings you need to fulfill before the end of the yearly cycle. * The Training Verification log makes it easier to document trainings and easily categorize each workshop/seminar under the statutory subjects and core subjects required by HUD. *My SCs submit the log with their Semi Annual Report. The two reporting periods are October 1 through March 31 and April 1 to September 30. Reports are due to Field office representatives no later than 30 days following the end of each reporting period. *My SC s start a New Training Verification Log at the start of the AASC conference (whether they attend conference or not) in order to keep my SC team s trainings organized on a annual basis. The AASC conference trainings will fall under April 1 st - September 30 th Semi Annual and October 1 March 31 st and then they start again. *They keep current and previous year only *The language in the HUD handbook is a bit confusing regarding statutory and core trainings. The Log I have created is based on my companies interpretation of the HUD training requirement stated in the HUD Handbook, Chapter 8. *If you chose to use this form first talk to your QA Provider to ensure that this form fits with your companies interpretation of the HUD training requirements. 9

10 Training VerificationDATE: 10/1/12-3/31/2013 and the next Semi Annual will be 10/1/12-9/30/13 SUBJECT AREA COURSE OR TITLE SPONSOR DATE HOURS LOCATION COST INITIALS Statutory Subject Areas: The Aging Process Elder Services Disability Services Federal & Applicable State Entitlements Legal Liability Medication/Substance Abuse Mental Health Issues Communicating Effectively Dealing w/ Cognitive Impairments Core Subject Areas: The Professional SC Government Programs & Legal Requirements Community Relations Communications Current Issues Administration/Project Management What is the difference between Statutory and Core subject areas? In the HUD Handbook Chapter 8, it states: Service Coordinators must meet the statutory requirements before requesting approval for additional training in other core subject areas. *Each year the Statutory subject training areas should be attended first. Once you have fulfilled those specifics subjects you can then start fulfilling your Core subjects. *Because the training areas are so broad- most of the workshops you will attend can fit under BOTH Statutory subjects and certain Core subject areas. *On the next slide is a list of ideas for Core Subjects, however many of the ideas for workshops also fall under the Statutory subject areas. The trainings highlighted in red can be both Core and Statutory subjects. 10

11 IDEAS FOR TRAININGS - The Red Highlights are ideas for Statutory Subjects Core Areas: Skills Areas: 1. The Professional Service Coordinator A. SupportiveServices for the Aging/Elder Services Aging Services B. SupportiveServiceNeeds of Non Elderly People with Disabilities Elder Services C. Role of Service Coordinator - Legal Liability D. IdentifyingServiceNeeds and Availability Elder Services; Disability Services E. Monitoring & EvaluatingServices, Effectiveness, Adequacy, & Need for Changes Legal Liability F. Networking G. CreativeStrategies in ServiceProvision Communication Effectively H. Ethics/Confidentiality Legal Liability I. Recordkeeping and Reporting 2. GovernmentPrograms and Legal Requirements A. Federal Programs & Requirements Federal & ApplicableState Entitlements & Legal Liability B. State-Administered Programs & Requirements/EntitlementPrograms - Federal & Applicable State Entitlements & Legal Liability C. Legal Liability - Legal Liability D. HUD's Service Coordinator Program - Legal Liability E. Locally-AdministeredPrograms Requirements - Federal & Applicable State Entitlements 3. Community Relations A. Working with Resident Organizations Communicating Effectively B. Support Networks for Residents Elder Services C. Peer Networks D. Working with Volunteers - Communicating Effectively E. Working with Aides - Communicating Effectively F. Working with Management Agents - Communicating Effectively 4. Communications A. Communicating Effectivelyin DifficultSituations - CommunicatingEffectively B. Negotiation/Brokering - Communicating Effectively C. Counseling Mental Health Issues; CommunicatingEffectively D. Advocacy - Communicating Effectively E. Teamwork/Consensus-Building - CommunicatingEffectively F. Motivation - Communicating Effectively G. Outreach Strategies - CommunicatingEffectively 5. Current Issues A. An Aging Population/Aging Process - The Aging Process B. Medication/Substance Abuse Medication/Substance Abuse C. Mixed Populations - Communicating Effectively, Disability Services D. The Disabled Population Disability Services E. Strategiesfor Dealing with CognitiveImpairment Dealing with Cognitive Impairment; The Aging Process F. Other Health Problems Among the Aging The Aging Process EXAMPLE: SC Training Verification Log 10/1/11-3/31/12 Subject Area Course of Title Sponsor Date Hours Location Cost Initials Statutory Subject Areas: The Aging Process Elder Services Disability Services Federal & Applicable State Entitlements Legal Liability Medication/Substance Abuse $209 (total of The Beauty of Aging/Laura SchurSchur Shot Productions 3/22/ AASC Symposium symposium ) ER & VF Finding the Balance in Caregiving Sharp 10/4/ Sharp Hospital 0 ER & VF San Diego Diabetes Conference Nancy Roy 11/12/ conventioncenter $30.00 ER & VF The Status of Aging Service Deliveryin California: A View AASC from the Capitol Joanne Handy 3/23/ Symposium $209 ER & VF Ethical Issues in the Care of the Elderly Ann Katz, Ph.D. 3/23/ Mental Health Issues Good Mental Health is Ageless Anabel Kuykendal 2/10/ Where To Start and What To Ask Communicating Effectively For Madelyne Pfeiffer, MSW 2/16/ AASC Symposium $209 ER & VF Memorial Balboa 0 ER & VF MJ Housing & Services, Encinitas 0 ER & VF Dealing w/ Cognitive Impairments Core Subject Areas: The Professional SC Alzheimer's Disease: Making Sense out of the Nonsense Jim Crabtree, RN 3/23/ Creating Cohesive Team with Management Madelyne Pfeiffer, MSW 11/15/ AASC Symposium $209 ER & VF MJ Housing & Services, Encinitas 0 ER &VF GovernmentPrograms & Legal Requirements HUD Update Kelly Boyer 3/23/ Communications Current Issues Administration/ Project Management NonviolentCommunication Toni Schlegel 10/13/ ServiceCoordinators and Property Managers: How to work Madelyne Pfeiffer, MSW as a Team & Jennifer Fleming, BA 3/22/ AASC Symposium $209 ER &VF Volunteer of America, Los Angeles 0 ER & VF AASC Symposium ER & VF 11

12 Continuing Education *REMEMBER - Continuing education is necessary in order to be an effective professional. At a minimum, service coordinators must remain current on changing statutes at all levels and current practices in aging and/or disability issues. *Education is not just about fulfilling the HUD requirements but also about life long learning and pushing the boundaries of our knowledge base so we can most effectively serve our residents! Part A. Qualifications and Training (continued) 4. Is the Service Coordinator job description on file? * You should have a copy of your organization s SC job description or the AASC job description (A copy of the SC job description has been provided by AASC ). 5. Is the Service Coordinator s job description consistent with duties being performed? Taken from AASC JOB DESCRIPTION Objective of the position: The Service Coordinator (SC) must work from an empowerment model. The goal of the program is selfactualization of residents. Residents should do as much as they are capable of doing themselves. The SC works in conjunction with the property manager. The SC and manager maintain a mutually respectful, collaborative relationship. Functions: Provides general service management which includes intake, education (services available and application procedures) and referral of residents to service providers in the general community. These social services may include meals-on-wheels, transportation, home health aides, homemakers, financial assistance, counseling, preventative health screening, and other needed services. Develops a Resource Directory. This directory may include a listing of state and/or local service providers that residents can contact for assistance (e.g. services to families, children, individuals who are elderly, persons with disabilities, emergency assistance). In many cases, State and local governments can also provide a listing of the non-profit agencies with which they contract for services. Sponsors educational events which may include subject relating to health care, agency support, life skills, referral sources, etc. Facilitates the formation of Resident Associations within the property if the resident s are interested. The formation of these groups assists the residents in planning social events, organizing activities and discussing daily life issues. Monitors the ongoing provision of services from community agencies and keeps the case management and provider agency current with the progress of the individual. Manages the provision of supportive services where appropriate. Serves as a liaison to community agencies, networks with community providers and seeks out new services available to the residents. Assists the residents in building informal support networks with other residents, family and friends. 12

13 Part B. Program Administration 1. Is the Service Coordinator office clearly identifiable, accessible, and private? *The SC must have sufficient separate and private office space available to meet with residents without adversely affecting normal activities. Remember Your office should be in compliance with ADA, so make sure your residents with wheel chairs/walkers etc. can get into your office and meet with you. 2. Are the Service Coordinator s office hours clearly posted? * Have a name plaque with your title and next to the name plaque have your hours posted and sign on the door that states if they are available or in a meeting (optional). 3. Are the Service Coordinator s files kept secure and confidential? *Confidential client files. The Service Coordinator should maintain detailed notes regarding any assistance and services provided to the residents. The Service Coordinator must keep the client files in a secured location and accessible ONLY to the Service Coordinator and to management to the extent necessary. 4. Are paper files kept in a locked cabinet? * The HUD Rep will check that your key works in your file cabinet to ensure the files are secure. Part B. Program Administration (continued) 5. Are electronic files secured with a password? * Ensure you can easily access your AASC-ONLINE System, password and username (if you use the AASC program). 6. Is a directory of service agencies and contacts maintained and available to all parties? * You must set up Service Agency Listing for Resident Self-Referral. This directory may include a listing of State and/or local service providers that residents can contact for assistance (e.g., services to families, children, individuals who are elderly, persons with disabilities, emergency assistance). In many cases State and local governments can also provide a listing of the non-profit agencies with which they contract for services. *My Coordinators use local resource guides AND are required to create their own Resource Directory- The SC s enter in all the local agencies they work with into their AASC Online program, they can then print the contacts out in categories (ex. Transportation, Food, Legal Aid etc.) and put in an organized binder with Tabs. They also print one for themselves that is helpful for their own use and when residents meet with the Coordinator face to face. *Remember - put the Resource Directory in the community room so that the residents can look up referrals on their own without the need of the SC, this will empower them to help themselves. Also, on the weekends residents will have access to emergency services. 13

14 Part B. Program Administration (continued) 7. Are informational packages (i.e., pamphlets and brochures) available for tenants and interested parties? *SC should keep info packages in the office. * Brochures and pamphlets do not count as part of a resource directory. * Many of my SC s have hanging brochure wall holder so residents can see the options of local services and brochures are organized and easily accessible for the SC. Part B. Program Administration (continued) 8. What is the functional status of the resident population? Estimated number of frail elderly residents (deficient in 3 or more activities of daily living)? Estimated number of at-risk elderly residents (deficient in 1 or 2 activities of daily living)? Estimated number of non-elderly with disabilities? *In order to justify a full time SC position HUD expects to see a minimum of 50 residents that are frail, at risk or non-elderly disabled. 14

15 What are Adult Activities of Daily Living (ADLs)? Basic ADLs Basic ADLs (BADLs) consist of self-care tasks, including: Personal hygiene and grooming Dressing and undressing Self feeding Functional transfers (getting into and out of bed or wheelchair, getting onto or off toilet, etc.) Bowel and bladder management Ambulation (walking with or without use of an assistive device (walker, cane, or crutches) or using a wheelchair) Instrumental ADLs Instrumental activities of daily living (IADLs) are not necessary for fundamental functioning, but they let an individual live independently in a community: Housework Taking medications as prescribed Managing money Shopping for groceries or clothing Use of telephone or other form of communication Using technology (as applicable) Transportation within the community Part B. Program Administration (continued) 9. Is the Service Coordinator program full-time or part-time? *The SC will be asked this because A full time SC should have at minimum 50 residents who are frail, at-risk or non elderly disabled. 10. Are the Service Coordinator s hours appropriate for the number of at-risk and frail elderly and persons with disabilities in residence? *A part time SC will have 25 or more residents that are frail, at risk or non elderly disabled. *A full time SC will have 50 or more residents who are frail, at risk or non elderly disabled. 15

16 C. File Review Has tenant signed a Release of Information form authorizing HUD staff access to the case file? * HUD Requires SC to have in every file a Release of Information stating that HUD can do a file review. Based on information I heard from a HUD Rep, it is expected that this Release get updated every 6 months. 2. If no, reviewer cannot review the case file unless a Release of Information form is obtained from the tenant. If no, proceed to Section D. *It is very important that the SC start getting these signed as soon as possible. If you haven t done so you will have difficulty passing the audit. 3. Are intake/assessment forms included in each case file? *My team of SCs put Intake, Assessment and Case Mgt plan on the left side and all the signed documents on the right side. We keep everything updated every year and pull out all old docs. Assessment and Case Management Plans and Signed documents (besides the HUD Release) should be re-done EVERY year. 4. Is a case management plan included in each case file? (must include all referrals to community agencies). * If you do not have a case management plan, talk to your QA Provider about creating one. My team uses our own Case Mgt. plan that we created. 5. Is the disposition or termination of each case documented? * We keep files on residents for 3 years after they age out or evicted from the building. 6. Are progress notes/status detailed in each case file? * A Progress note should have: Problem statement what was intervention/action taken what was outcome/result. If problem has not been resolved, SC should state what they will be doing next to resolve issue (ie. Will follow up with family member on 8/2/2012). The next Progress note you write about same issue should state the original problem (1 sentence is fine) an what next follow up action was and result. * You do not have to have progress notes printed out. The HUD Rep will chose a couple of files and then ask you to print out the latest progress notes for those particular residents. Part D. Quality Assurance A Description of a Quality Assurance Provider has been provided by AASC 1. Does the program include Quality Assurance? WHAT IS QUALITY ASSURANCE? *The Quality Assurance Supervision (QA) focuses on assuring that the service coordination function is effectively implemented. * Management/Ownership must assure that the service coordinator function is effectively implemented. Therefore, quality assurance is an allowable administrative expense. A project may propose a cost of 8-10 percent of the service coordinator salary to provide limited monitoring oversight of the service coordinator by a qualified third party. The project must provide a written justification along with the budget. 16

17 Part D. Quality Assurance (continued) 2. Who is the QA provider? * The grantee must ensure and provide documentation to HUD that confirms that the individual employed to perform Quality Assurance is qualified to do so. The Grantee shall submit documentation (i.e., a resume) to HUD indicating the qualifications of the individual employed to perform Quality Assurance. The Grantee shall submit such documentation with their first semi-annual Federal financial and performance reports. The documentation shall also be maintained in the Grantee s files, for future reference.(grant Agreement, Article I.K., NOFAs, and Handbook Chapter 8, Section 8.5) Example: I have an MSW in Social Work and have worked in the field of housing and the senior and disabled population for 10 years. 3. Is QA provider a third party? *HUD does not want QA Providers to be employed by ownership or the property management company but instead by a third party organization. *Regarding next 8 questions If you do not know the answers, your Administrator or Property Manager should have this information. 4. If yes, is there a QA contract? 5. Is there a job description for the QA provider? Provided by AASC 6. Does the QA provider: A.Conduct a QA review annually? *The QA provider must conduct one program evaluation review six months following the Program s start date and then one review every 12 months thereafter. The Grantee must provide copies of the program evaluation reports received from the QA provider to the local Field Office staff on or before October of each year. * I use the HD SC Review Form to do my annual reviews with the SCs (Provided by AASC). Part D. Quality Assurance (continued) B. Interview residents to evaluate resident satisfaction? C. Interview with the property manager to evaluate program effectiveness? D. Review resident files for program compliance? E. Prepare written annual/year-end report 17

18 E. Resident Participation 1. Have the residents been interviewed about the service coordinator s role? If no, proceed to Section F. 2. Are the residents knowledgeable about the service coordinator program? 3. Is there positive feedback about the service coordinator program? 4. Do residents believe the service coordinator program is beneficial? 5. List the strengths of the program according to the residents. 6. List the weaknesses of the program according to the residents. * The next two slides are examples of questions HUD will ask and a resident satisfaction survey distributed my SCs every December. Sample 1 Service Coordinator Resident Questions HUD will ask residents A. Introduction 1. Did management advise you that a SC is available to residents? 2. Do you know the function of a SC? 3. Do you know the SC s name? 4. Do you know the days and hours he/she is available? B. Direct Services Provided 1. Were you interviewed by the Service Coordinator upon his/her arrival and, if so, how? 2. Did you complete a Consent Form? 3. Do you feel a sense of confidentiality and privacy when with the Service Coordinator while in his/her office? 4. What type of services does he/she provide? 5. Were you provided with a contact name or telephone number of agencies or programs? 6. Are you actively involved in any programs or activities? 7. Would you like to be more active or have more interaction with friends or family? 8. Have you any difficulties finding physicians or going to appointments? 9. Are your physician and emergency contact phone number noted (VISIBLY) in case of emergency? 10. Do you have any questions regarding the Service Coordinator and his/her function? 11. Are there any issues or services you would like addressed or provided? C. Case Resolution 1. What assistance did you obtain or solicit from the Service Coordinator? 2. How was your situation resolved? 3. Did you receive contact names or numbers for community agencies or programs? 18

19 Sample 1 of Resident Satisfaction Survey (Pg 1) RESIDENT SATISFACTION SURVEY * This Survey is distributed 1x year by my SCs This Survey is completely confidential. You came put your name on the bottom or choose to leave it blank. I know what a Resident Service Coordinator is & what they do: StronglyAgree Agree Disagree Strongly Disagree I feel that the Resident Service Coordinator position is necessary in my building. StronglyAgree Agree Disagree Strongly Disagree In the last year, the number of activities I attended that the Resident Service Coordinator planned is: or more I see the Resident Service Coordinator regarding individual issues or problems this many times each year: or more I regularly benefit from the services provided by my Resident Service Coordinator. StronglyAgree Agree Disagree Strongly Disagree Sample 1 of Resident Satisfaction Survey (Pg. 2) I could benefit from the following services: My Service Coordinator has helped me with following services in the last 12 months: Transportation Transportation Visiting Nurse Visiting Nurse Personal Care Personal Care Financial Assistance Financial Assistance Help with Banking Help with Banking Making Appointments Making Appointments Home Making Home Making Insurance Assistance Insurance Assistance I would be very unhappy if we no longer had a Resident Service Coordinator in our building: Strongly Agree Agree Disagree Strongly Disagree My Resident Service Coordinator is available whenever I need him or her. Strongly Agree Agree Disagree Strongly Disagree I would rate my Resident Service Coordinator as: Top Notch Very Effective Effective Minimally Effective 19

20 Part F. Reports Are the following completed accurately and submitted timely? Date of last reports * Make sure your Administrator, QA Provider or Supervisor has these reports prepared for the audit. 1. Federal Financial Report (SF-425)? (Required for grant recipients only) 2. Semi-annual Performance Report (HUD 92456) for grant recipients? * You should have your latest Semi Annual Report readily available. The Semi Annual Report will also give you the information Part B. Program Administration- Question 9 & 10 on the break down of frail, at risk and disabled residents. * Remember when organizing your wellness and educational programs that are required once a month, you should have associations like the Alzheimer's Association or other organizations that you know will not solicit services! These in-services are only for education purposes, signing up for services can be done at a later time. 3. Other Project Financial reports: a. Annual Financial Statement (AFS) Profit and Loss Statement, Account Do SC expenses agree with itemized expenses on HUD or A? b. WhenAFS not applicable, narrative report of funds used? c. HUD-925 (s), Release Authorizations, for use of residual receipts? d. Annual narrative report of Excess Income used? 4. Annual/Year-End Quality Assurance Report? 40 20

21 The goal of creating a QA Binder is to have documents and information requested by HUD readily available and organized. Being prepared and having a system will make you feel prepared and will keep your anxiety down!!! The Binder should be organized, have an Index and Tabs. 1) Training Verification Log 2) Training Certificates 3) Proof of Training 4) SC Job Description 5) SC Resume 6) Semi-Annual Report 7) Service Coordinator Review Forms 8) QA Provider Job Description 9) Resident Surveys *** Additional resources ****** Separate binder 10) Code of Ethics Calendars 11) HUD Chapter 8 Handbook Flyers/Sign in Sheets 21

22 QA Binder The Binder will include: Index, 11 Tabs and will be updated 1x/year. First page of the binder is the Index it corresponds in order with the questions on the SC Review Checklist. If you want to add or delete a tab you can tailor it to your needs. QA Binder TABS REFER TO: Part A. Training and Qualifications The first tab is your training verification form. The second tab is where you will document training certificates (CEUS). In this tab you will put your AASC Conference and Chapter Symposium Certificates and any other certificates you receive. *Trainings do not HAVE to be based on CEU s. You can still receive credit for attending workshops that are not CEU certified. The third tab is where you will put your confirmations of trainings when you do not receive a certificate of completion. Proof of trainings can be an invoice, agenda, confirming the training attended. The fourth tab is the SC job description. The fifth tab is your resume. 22

23 QA Binder TABS REFER TO: Part B. Program Administration The sixth tab is your Semi Annual Report which will give your HUD Reviewer the information on frail and at risk (Questions 9 & 10). REFER TO: Part C. Quality Assurance The seventh tab you will put a QA Provider job description (if you have a QA Supervisor). The eighth tab put a copy of your annual Service Coordinator Review Form (or other annual QA Review form used), if you receive a review. REFER TO: Part E. Resident Participation The ninth tab place a Resident Survey under this tab, if your QA Provider administers one. I provided the survey that my SCs put out to the residents every December. In order to ensure confidentiality, the SCs create a drop box with a slit on top that is taped around the sides and can not been opened. Additional Resources TABS The tenth tab - My team puts a copy of the SC Code of Ethics in their Binder. As a group we review these often and it s very important to have them readily available and use them as a reference. The eleventh tab - The SC HUD Chapter 8 will be the last tab. It is important to have this document easily accessible to review SC program requirements. 23

24 Additional Resources Recently one of my SC who had a HUD Desk review was asked by the HUD Reviewer for her calendars, flyers and sign in sheets. *Calendars/Flyers and sign in sheets are evidence to HUD of your monthly Wellness and Educational Programs. I would start a new binder for these documents The first tab put your monthly Calendars (only keep 1 year of calendars). The second tab you can put your sign in sheets and flyers. 24

25 Madelyne J Pfeiffer, MSW, CFRE MJ HOUSING & SERVICES madelynepfeiffer@gmail.com Contracted QA Provider Work with 22 Senior SCs in multiple states (7 different owners and 5 property management co.) Meet and or Teleconference with SCs every month (6-8 hours/month of supervision & AASC online review) Contracted Grant Administrator Write and submit HUD SC grants for organizations Provide accounting, financial reporting and monthly LOCCS drawdowns for multiple buildings Fundraiser Teach SCs how to fundraise and set annual fundraising goals based on the needs of the community Certified fundraiser: write grants; solicit funds and build partnerships and alliances with local agencies in order to fulfill gaps in services due to limited budgets Program Development Develop and implement afterschool programs and family service programs Supervise After school Coordinators and Family SCs Trainer/Instructor Provide trainings for groups of SCs, Property Managers and Youth and Adult Coordinators around the country Work with Universities to provide training and oversight for MSW students 25