Fiscal Review Job Tool. Disaster Cycle Services Job Tools DCS JT REC

Transcription

1 Fiscal Review Jb Tl Disaster Cycle Services Jb Tls DCS JT REC January 2016

2 Change Lg Date Page(s) Sectin Change 9/28/15 Thrughut Thrughut Update fr cnsistency with new Direct Client Assistance mdel 1/1/16 Thrughut Thrughut Updated t reflect the launch f the CAS 2.0 fiscal review prtal Owner: Disaster Cycle Services 2 Authr: Recver Prcess

3 Table f Cntents Backgrund... 4 Steps t Cmplete a Fiscal Review... 4 Step 1: Identify Cases that Require Fiscal Review... 4 Step 2: Execute the Fur Basic Elements f Fiscal Review Independently Verify the Event Ensure Client Qualificatin fr the Direct Client Assistance Is Dcumented Make Sure That Assistance Prvided Adheres t the Direct Client Assistance Price List Ensure the Case is Free f Any Unusual Direct Client Assistance... 8 Step 3: Dcument that Fiscal Review Has Been Cmpleted r Reprt Suspicius Activity... 8 Reprt Suspicius Activity... 9 Appendix 1: Searching On Screen fr New Disbursements fr Fiscal Reviews Overview New Cases Requiring Fiscal Reviews Cases That Have Received Additinal Direct Client Assistance Require a Secnd, Third r Furth Fiscal Review fr Subsequent Lads Cases with Pending Fiscal Reviews Appendix 2: Using the Established Fiscal Mnitring Template Overview Steps fr Using the Established Fiscal Mnitring Template Owner: Disaster Cycle Services 3 Authr: Recver Prcess

4 Backgrund Direct Client Assistance fiscal review is crucial in establishing a sund financial cntrl envirnment. The purpse f the Direct Client Assistance fiscal review is t assure Direct Client Assistance (financial assistance) is prvided in accrdance with dctrine and financial cntrls, and t quickly identify ptential fraud. It is nt meant t be a cmprehensive case review f the casewrk prcess. The primary reference dcument fr Direct Client Assistance fiscal review is the Financial Cntrls fr Direct Client Assistance Standards & Prcedures. Specifically, Direct Client Assistance fiscal review is part f Functin 4 (day t day management f casewrk), and the Reginal Disaster Officer is accuntable fr ensuring that all disbursements in all cases invlving Direct Client Assistance are reviewed within the time frame stated in the Financial Cntrls fr Direct Client Assistance Standards & Prcedures. It is imprtant t nte that fiscal reviews are required n all disbursements, including thse assciated with the issuance f supplemental assistance issued after immediate assistance has been prvided. Reginal Disaster Officers may delegate respnsibility fr the fiscal review, but nt accuntability. Als refer t the: Casewrk and Recvery Planning Standards & Prcedures. Direct Client Assistance fiscal review must be perfrmed by an individual wh has n ther Direct Client Assistance functinal rle in any regin r territry. The fiscal reviewer may nt perfrm casewrk r casewrk supervisr tasks. The fiscal reviewer may nt act as Reginal Disaster Officer designee t make Reginal Disaster Officer Exceptins. Effective September 30, 2015, all disbursements f Direct Client Assistance (including the issuance f supplemental assistance) will be fiscally reviewed within 48 hurs f Direct Client Assistance being issued. If the 48th hur falls n a weekend r fficial Red Crss designated hliday, then review by the next business day. NOTE: In a situatin where significant lss f infrastructure wuld require an adaptatin t these prcedures, peratinal specific instructin will be prvided. Steps t Cmplete a Fiscal Review Step 1: Identify Cases that Require Fiscal Review All fiscal reviews must be perfrmed and dcumented in CAS 2.0. CAS 2.0 n screen searching and reprting are recmmended t help ensure the Reginal Disaster Officer and any designated fiscal reviewers identify all cases and disbursements f Direct Client Assistance requiring fiscal review. Please see the Appendix f this dcument fr additinal details abut searching and reprting. Use the reprting template in CAS 2.0 t assist with reprting n this activity. When the Fiscal Reviewer has started fiscal review but is unable t cmplete the fiscal review, the fiscal reviewer must select Pending. Step 2: Execute the Fur Basic Elements f Fiscal Review Independently verify the event. Ensure client eligibility fr Direct Client Assistance is dcumented in CAS 2.0. Make sure that assistance prvided adheres t the Direct Client Assistance Price List. Ensure the case is free f any unusual Direct Client Assistance. Owner: Disaster Cycle Services 4 Authr: Recver Prcess

5 1. Independently Verify the Event Direct Client Assistance fiscal review includes ensuring that there is an independent verificatin f events (see Financial Cntrls fr Direct Client Assistance Standards & Prcedures) that result in the issuance f Direct Client Assistance. This is critical in ensuring a sund financial cntrl envirnment. The methd used t verify the event must be dcumented in CAS 2.0 in Step 3: Dcument that Fiscal Review Has Been Cmpleted r Reprt Suspicius Activity Althugh there may be circumstances where it will nt be pssible t independently verify a specific event, regins are still accuntable fr having prcesses in place that prvide reasnable assurance that the events triggering Direct Client Assistance ccurred. T dcument independent verificatin f the event, navigate t the Livability Verified field n the Hw Affected tab, and select the methd used fr independent event verificatin. Independent event verificatin can be accmplished in a variety f ways by referencing ne f these: Fire Dispatch Lg Disaster Dispatch Lg DCS Ops Lg Answering Service Lg Lcal Lg Emergency Management dcumentatin (include cmment with name f dcument r persn cntacted) Verificatin that tw disaster actin team members, disaster assessment wrkers r casewrkers were n the scene f the event and verified damage. (This can be dcumented via t apprpriate supervisrs.) Media cnfirmatin f event When dcumenting cnfirmatin f the independent event verificatin, recrd imprtant supprting details t include, but nt limited t, the names f individual(s) cmpleting the independent event verificatin (Red Crss wrker(s), fire department fficials, etc.), when the verificatin ccurred, surce f dcumentatin nting the individuals cmpleting the independent event verificatin ( frm Duty Officer, fire department lg, frm Reginal Disaster Officer, etc.). Fr review f disbursements that ccurred after the first fiscal review, check t make sure the initial fiscal review clearly dcumented hw the event was independently verified. If it was nt clearly dcumented, yu must nw independently verify the event and bring it t the attentin f the supervisr that it was nt clearly dcumented during the first review. Fr cases n a Disaster Relief Operatin, the fiscal reviewer is n lnger verifying the event ccurred but is nw fcused n verifying that the client was impacted by the event. The verificatin will be dne using damage assessment infrmatin. The fiscal reviewer will verify t ensure damage assessment infrmatin and the assistance prvided is apprpriate. Belw are the varius methds available fr verifying damage assessment. 1. The Damage Assessment team will upladed fficial damage assessment int CAS The Damage Assessment team will btain the preliminary damage assessment (PDA)/disaster damage assessment (DDA) by street address n damage assessment frms cmpliant with current FEMA guidelines. These frms are CAS 2.0 cmpatible and allw fr easy uplad int CAS 2.0. Casewrkers will attach the DDA-Official Damage Assessment t each case when this verificatin methd is used. 3. If the DDA-Official Damage Assessment is nt available, and a Damage Assessment wrker is nt available, then tw casewrkers will cnduct damage assessment. Each casewrker will dcument the level f damage in the narrative individually, and als add the infrmatin t the Casewrker DDA s that the recrd is cmplete. Owner: Disaster Cycle Services 5 Authr: Recver Prcess

6 4. The Damage Assessment team will prvide the Casewrk Manager and fiscal review team a daily srtable damage assessment spreadsheet update fr a secndary methd f damage assessment verificatin by address, as needed. 5. If a client requests Red Crss Direct Client Assistance befre damage assessment infrmatin has been laded int CAS 2.0, r if a client presents dcumentatin indicating that his r her residence has been impacted by the flds, the casewrker will cntact the Damage Assessment team t verify the status f the client s hme. This status will be included in future uplad f damage assessment frms int CAS 2.0. The casewrker will nte in the narrative when this methd f damage verificatin has been used. The fiscal reviewer must still verify damage assessment using either the fficial damage assessment in CAS, r by using a srtable damage assessment wrksheet prvided by the damage assessment team. 2. Ensure Client Qualificatin fr the Direct Client Assistance Is Dcumented The CAS 2.0 client recrd needs t include an indicatin f the type f disaster caused need fr which the assistance is being prvided. Fr example, the client s residence is Nt Livable, and they d nt have a place t stay wuld be justificatin fr prviding ldging assistance. Check that the qualificatins fr Direct Client Assistance match the assistance prvided. Additinal fiscal review prcedures may be required if a Dctrine Bulletin fr a disaster peratin includes specific fiscal review standards and prcedures fr that peratin. Yu shuld find a narrative nte nly when tw identificatin types were used t dcument the client s identity and pre-disaster address. Each case shuld als include ne f the types f identificatin listed n the next page dcumented in CAS 2.0: Identificatin Types and Frmats fr Recrding Client Identificatin in CAS 2.0 Driver s License Other Gvernment Dcument (Typically a gvernment ID such as a military ID r a state ID, ften held by thse wh d nt drive) Letter/Utility Bill Neighbr Fire r Plice Passprt r Freign ID, Other type MD DL 1234 Exp 6/20: Tw-letter state identifier fllwed by DL, the last fur digits f the license number, and then the mnth and year when the license expires DD 1234 Exp 6/18 (Military ID) MD ID 1234 Exp 6/20 (State ID card) 12/13 Pwer Bill: The mnth and year f the bill s date and an indicatr f the type f utility Name and phne number f the neighbr The fficer s name and badge number Passprt USA 1234 Exp 6/20 ID type, cuntry, last 4 digits, then the mnth and year when the identificatin expires Owner: Disaster Cycle Services 6 Authr: Recver Prcess

7 3. Make Sure That Assistance Prvided Adheres t the Direct Client Assistance Price List Check t ensure that the amunt laded nt Client Assistance Card(s) matches the amunt the client qualifies fr based n the Direct Client Assistance Price List. Als, verify that the number f peple being prvided Direct Client Assistance matches the number f peple indicated in the husehld cunt. Fr Immediate Direct Client Assistance, check t ensure: The livability indicated in the case matches assistance prvided. The number f clients in the case matches the number f clients fr which assistance was issued. The same immediate assistance is nt given multiple times. Fr Ldging Assistance, check t ensure: The amunt f Ldging Assistance crrelates t the number f peple in the case. Fr example, each tier f Ldging Assistance is intended t supprt up t fur peple fr apprximately tw nights ldging in ne htel rm. If a case has five individuals, then Ldging Assistance shuld be dubled t accmmdate the need fr a secnd rm. The amunt f Ldging Assistance is cnsistent with that jurisdictin s ldging tier. Fr Supplemental Direct Client Assistance, check t ensure the fllwing are dcumented in the case in CAS 2.0: Client has an identified recvery gap. Client s resurces are depleted. Cmmunity referrals are inadequate. Client has tw r mre recvery radblcks. (See Casewrk and Recvery Planning Standards and Prcedures and Supplemental Direct Client Assistance Radmap.) Supervisr has apprved. Narrative ntes are nt required fr Supplemental Direct Client Assistance. Fr Reginal Disaster Officer Exceptins, check t ensure the fllwing are dcumented in CAS 2.0: Apprval f exceptin and name f apprver. RDO Exceptin Ntes dcumented in CAS 2.0 t supprt use f exceptin. Mst ften these will include: Replace balance n Client Assistance Card because card has been cnfirmed lst withut full expenditure f funds, Livability f the hme has changed frm Livable t Nt Livable, Ldging assistance when shelter is available and why clients cannt stay in shelter (if shelter is available), Supplemental Direct Client Assistance fr an unusual recvery gap and dcumentatin f what that gap is, Health Services/Disaster Mental Health Direct Client Assistance issued fr mre than $500 and why, Crrect an errr by a casewrker including detail n what the errr was. the Reginal Disaster Officer r designee infrming f the exceptin: Dcument in the Fiscal Review ntes field that was sent infrming f the exceptin. A respnse frm the Reginal Disaster Officer r designee is nt required t cmplete the fiscal review. Owner: Disaster Cycle Services 7 Authr: Recver Prcess

8 4. Ensure the Case is Free f Any Unusual Direct Client Assistance Check fr activity that may be cnsidered unusual. In rder t identify unusual activity, the fiscal reviewer must cnsider the verall facts and circumstances f the case and the Direct Client Assistance that was prvided. Sme examples f triggers f ptential unusual activity include, but are nt limited t: A high amunt f assistance being issued n a particular case, A significant Reginal Disaster Officer exceptin, Immediate Direct Client Assistance issued a secnd time, Immediate Direct Client Assistance prvided mre than 7 days after the event withut a Reginal Disaster Officer exceptin, Ldging Assistance was issued a secnd time fr the same family members in a case, Ldging Assistance prvided at a higher tier than is nrmally prvided in a regin, Multiple issuances f Supplemental Direct Client Assistance, Supplemental Direct Client Assistance prvided mre than 30 days after case creatin withut a Reginal Disaster Officer exceptin, Lack f clear dcumentatin f the client qualificatin fr the assistance prvided, Incnsistencies between facts and circumstances dcumented in different parts f the case (e.g. facts differ between multiple tabs in CAS 2.0). While the items abve dn t necessarily indicate fraudulent activity, they are triggers that warrant anther review t ensure that apprpriate justificatin and apprvals are dcumented in the case. This element f the fiscal review in particular shuld fcus n trend identificatin as much as pssible. An example f a trend wuld be a particular casewrker cnsistently: Recmmending Supplemental Direct Client Assistance fr every case, Issuing multiple Client Assistance Cards per case, Prviding a higher than average amunt f assistance. Step 3: Dcument that Fiscal Review Has Been Cmpleted r Reprt Suspicius Activity Once the fiscal review has been cmpleted and n suspicius activity has been identified, the reviewer must first click the bx Fiscal Review Cmplete: First Fiscal Review if this is the first time that the case is being reviewed. The fiscal reviewer must nt check the Fiscal Review Cmplete bx unless they are cnfident that the Direct Client Assistance prvided is in accrdance with dctrine and financial cntrls. Then the reviewer shuld make a ntatin in the Fiscal Review Ntes sectin f the Fiscal Review prtal, clearly stating hw they independently verified that the event ccurred. Fr a secnd disbursement, the fiscal reviewer must select the bx Fiscal Review Cmplete: Secnd Fiscal Review. Then, enter Fiscal Review Ntes fr the secnd fiscal review. Use the Fiscal Review Cmplete: Third Fiscal Review field and the Fiscal Review Cmplete: Furth Fiscal Review field t dcument fiscal reviews fr subsequent disbursement, and enter additinal Fiscal review Ntes. When the fiscal review is cmplete, select Fiscal Review Cmplete: Yes. Hwever, in the case f suspected fraud r ther suspicius activity, d nt mark the case Fiscal Review Cmplete until any issues have been reslved and fllw the steps in the next sectin. When the Fiscal Reviewer has started a fiscal review but is unable t cmplete the fiscal review befre lgging ut, the fiscal reviewer must select Pending withut changing the field Fiscal Review Cmplete. Owner: Disaster Cycle Services 8 Authr: Recver Prcess

9 Reprt Suspicius Activity If there are prblems with any f the items checked bring them t the immediate attentin f the Reginal Disaster Officer. A Client Assistance Card must be suspended if there is bvius fraudulent activity that des nt recncile with ther knwn facts f the case. Wrk with a supervisr t endure the user s access is suspended. If yu suspect fraud within the Direct Client Assistance prgram yu may: Call the Cncern Cnnectin Line: , r reprt fraud nline ( Send an t the fllwing individuals and accunts. (Please cpy all 5 n ne single ): Yur Divisin Disaster Executive and Divisin Disaster Directr, Yur regin s Disaster Services Finance Senir Analyst, Frank Favilla, Office f the General Cunsel, frank.favilla@redcrss.rg, Client Card Services, clientcard@redcrss.rg, Ensure reginal leadership is engaged apprpriately. Owner: Disaster Cycle Services 9 Authr: Recver Prcess

10 Appendix 1: Searching On Screen fr New Disbursements fr Fiscal Reviews Overview CAS 2.0 allws users t make bth brad and granular searches against a number f cases, given multiple criteria selectins. The sectin belw prvides instructins n hw t perfrm each search. New Cases Requiring Fiscal Reviews Click CAS 2.0: My Tls. Click Case Search. Click n the Search Primary Client tab: Search by state, cunty and/r servicing chapter r reginal chapter. Click n the Qualificatins Tab: Select CAC Items: Date (Use a date range that includes the date the funds were laded int the CAC, rather than the case creatin date). Click Search. Cases That Have Received Additinal Direct Client Assistance Require a Secnd, Third r Furth Fiscal Review fr Subsequent Lads Fllw steps 1-5 abve frm the New Cases Requiring Fiscal Reviews sectin and then the fllwing: Select a new date range thrugh CAC Items: Date (Use a date range that the subsequent funds were laded int the CAC, rather than the case creatin date.) Select the Apprvals tab, scrll dwn t the Filter Cases by Apprvals r Exceptins sectin. Select: First Fiscal Review. Click the applicable review fr yur search. 10. Click Search. Cases with Pending Fiscal Reviews Fllw steps 1-5 abve frm New Cases Requiring Fiscal Reviews' sectin and then the fllwing: Select the Apprvals tab. Select: Pending under the FR-Fiscal Review Cmpleted sectin. Click Search. Owner: Disaster Cycle Services 10 Authr: Recver Prcess

11 Figure 1: Case Search Click Case Search Figure 2: Search Primary Client Tab Fill in applicable cunty, state and/r chapter Owner: Disaster Cycle Services 11 Authr: Recver Prcess

12 Figure 3: Qualificatins Tab Select the apprpriate date Figure 4: Search Select Search Owner: Disaster Cycle Services 12 Authr: Recver Prcess

13 Figure 5: Apprvals Tab, Pending Select Pending Figure 6: Apprvals Tab, Review type Select the apprpriate review Owner: Disaster Cycle Services 13 Authr: Recver Prcess

14 Appendix 2: Using the Established Fiscal Mnitring Template Overview The Updated Fiscal Mnitring Template (Additinal Fields) has been established t aid in the prcess f identifying cases that require fiscal review. Key infrmatin has been included in the reprt. Hwever, the reviewer is als respnsible fr reviewing the case in CAS 2.0 as necessary t ensure a cmplete review. Cmpletin f the fiscal review must be dcumented in CAS 2.0 n the summary tab by: Setting Fiscal Review Cmplete t Yes. Currently the system des nt accmmdate dcumentatin f subsequent fiscal reviews n a case. Therefre, thse shuld be dcumented in the narrative. (Enhancement Planned fr FY16). Steps fr Using the Established Fiscal Mnitring Template 1. Lg int CAS 2.0 and g t the Client Exprt link. 2. Find the Updated Fiscal Mnitring Template (Additinal Fields) under Templates frm All Agencies. 3. Select Cntinue. 4. Fllw the fllwing screenshts and embedded prmpts. Figure 1: Client Exprt Wizard Owner: Disaster Cycle Services 14 Authr: Recver Prcess

15 Figure 2: Client Exprt Field Selectins Owner: Disaster Cycle Services 15 Authr: Recver Prcess

16 Figure 3: Client Exprt - Criteria Figure 4: Client Exprt Exprt Optins Owner: Disaster Cycle Services 16 Authr: Recver Prcess

17 Fiscal Review Jb Tl I Disaster Cycle Services 2016 The American Natinal Red Crss