Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
County Grantee Agency Name Address Telephone Date of Monitoring Visit Preparer of Response Report Date of Response Report
Compliance Indicators 1. Grantee is sole administrator of DJJDP contract. 2. Section 4A documentation of executed contract adequately defines roles/ relationships if Grantee is not sole administrator of DJJDP contract. 3. Articles of Incorporation and IRS 501(c)(3) status letter available. 4. Grantee’s Non-Profit Board of Directors monitors/reviews financial transactions and program operations. 5. Current list of Grantee’s Non-Profit Board of Directors available. 6. Grantee maintains organization chart for SOS operations. Chart delineates relationship to Grantee and subgrantees/subcontrators and employees within SOS operation. FINANCE & ACCOUNTING Compliance Indicators 1. Provider’s accounting records verify that SOS funds/expenditures are not commingled with other revenue sources. Corrective Action Response Report Page 1 of 8 Revised June 5, 2006 Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion ORGANIZATION STRUCTURE Required Corrective Action Provider Response/Action Plan (copy from DJJDP Report) Timeline for Completion
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
2. Provider maintains chart of accounts and documented pro-ration schedule for SOS expenditures. 3. Provider maintains budget file which includes most current approved budget. 4. Provider prepares bank reconciliations and utilizes documented reconciliation process. 5. Provider maintains a list of authorized check signers; checks contain dual signatures. 6. Provider maintains documentation of required insurance coverage including worker’s compensation, general comprehensive, vehicular insurance. PROPERTY & INVENTORY Compliance Indicators 1. Provider maintains current equipment list at each site including identification number, description, location of equipment, serial number, acquisition date and cost. 2. SOS equipment is tagged individually with permanent identification number. 3. Provider used competitive bidding process to purchase or lease vehicles/other equipment valued at over $1,000. Provider secured at least 3 bids. 4. Provider complies with fixed asset disposition procedure as outlined in SOS Requirements for Program Operations. 5. Provider maintains daily log at program detailing use of vehicles and documents approval process for vehicle usage. 6. Provider maintains documentation of Corrective Action Response Report Page 2 of 8 Revised June 5, 2006 Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
program space lease rental. 7. Provider received prior approval from DJJDP for rehabilitation or renovation exceeding the 4% cap. PAYROLL & PERSONNEL Compliance Indicators 1. Provider maintains a process of hiring employees and recruiting volunteers. 2. Provider maintains timesheets or attendance records on site for all employees/volunteers. 3. Provider has written personnel policies and written job descriptions. 4. Provider maintains personnel files for each employee/volunteer which includes a. completed application for employment and/or resume b. information pertaining to the hiring date and rate of pay, including new hire letter. c. signed, written job descriptions d. e. f. g. background screening performance appraisals copy of driver’s license Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
copies of at least two (2) professional references h. acknowledgement of receipt of policies/employee handbook 5. Volunteer records verify data reported on Monthly 1037. CONTRACTUAL AGREEMENTS Compliance Indicators Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion Corrective Action Response Report Page 3 of 8 Revised June 5, 2006
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
1. Provider obtained prior written approval from DJJDP for personal service contracts greater than $1,000. 2. If provider utilizes an outside contractor, provider must maintain all written contracts for services. Subcontracts contain: a. Name, address, SSN of subcontractor b. qualifications of subcontractor c. service to be provided d. hourly rate and duration of agreement e. required approval signatures PROGRAMMATIC Compliance Indicators 1. Provider maintains written program plan designed to meet the needs of students in attendance at each site. 2. Provider is serving minimum number of students in accordance with approved grant funding amount. 3. Services are being delivered as proposed in Provider’s Program Plan/proposal. 4. Provider maintains daily or weekly lesson/activity plans for services rendered. 5. Each program site provides at least 4 days of after-school programming of at least 3 hours per day or five days of programming of at least 2.5 hours per day. 6. File/record is established for each enrollee, containing the following information: a. referral documentation Corrective Action Response Report Page 4 of 8 Revised June 5, 2006 Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
b. c. d. e. enrollment form emergency contact information authorized individuals for student pick up release authorizations including medical, media, and records/information educational information
f. g.
participant progress/regular updates h. documentation of family communication and participation i. acknowledgement of program guidelines, code of conduct, and student rights. 7. Each program site maintains daily attendance records for youth enrolled. 8. Sample of attendance records at each site verify data reported in Monthly 1037 Form 9. Provider maintains written policy to protect the rights of students, including student grievance procedures. HEALTH & SAFETY Compliance Indicators 1. Provider’s fire/health/safety inspections are current. 2. Provider maintains current emergency preparedness plan. 3. Emergency procedures are posted and visible. Provider maintains documentation of practice drill activities. 4. At least one staff member on site is certified in CPR/First Aid. Corrective Action Response Report Page 5 of 8 Revised June 5, 2006 Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
5. Provider maintains daily log authorizing parent/guardian pick-up and/or drop-off for program participants. COLLABORATION/SUSTAINABILITY Compliance Indicators 1. Provider has written outline of philosophy, objectives, and goals of SOS programs. Outline is comprehensive to include array of services to youth. 2. Demonstrated availability of distribution to interested public. 3. Provider maintains documentation of collaboration with partners to promote sustainability. 4. Marketing materials contain DJJDP and/or SOS logo. COMMUNICATION Compliance Indicators 1. Provider requested and gained approval for modification to approved Program Plans 2. Provider notified DJJDP of changes in personnel listed on Form 1013, job responsibilities, or separation from the program. 3. Provider notified DJJDP of all email changes or other contact information. DATA & REPORTING Compliance Indicators 1. Provider has complied with all required reporting, as specified in SOS Policy, Requirements for Program Operations and Corrective Action Response Report Page 6 of 8 Revised June 5, 2006 Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
DJJDP contract, including but not limited to: a. Monthly 1037 (due 10th of month) b. Cost Reports (January & August) 3rd Quarter Accounting (April). Verify that report was prepared jointly by program director and fiscal officer. d. Program Plans and Annual Reports. e. Equipment Inventory Form (due with contract renewal and August 31st) f. Revenue Summary Form (due with contract renewal and August 31st) g. Provider submitted schedule of receipts and expenditures, sworn statement, and supplementary information form by December 31st. h. External evaluation data submissions i. Attendance at Mandatory Functions j. General communication/FollowUp with DJJDP 2. Provider maintains Board approved record retention policy that complies with DJJDP record retention policy as outlined in contract. c. PROFESSIONAL DEVELOPMENT Compliance Indicators Required Corrective Action (copy from DJJDP Report) Provider Response/Action Plan Timeline for Completion
Corrective Action Response Report Page 7 of 8 Revised June 5, 2006
Department of Juvenile Justice and Delinquency Prevention Support Our Students Program Corrective Action Response Report
1. Personnel files contain certificate of attendance and/or completion for all required training in accordance with SOS Requirements for Program Operations.
PROVIDER SIGNATURES Executive/Program Director Fiscal Officer Chair, Board of Directors
Printed Name Printed Name Printed Name
Date Date Date
Corrective Action Response Report Page 8 of 8 Revised June 5, 2006