Electronic Payment Processing Interface and Control (EPPIC) Reports File. All EPPIC reports provided to the local agency by the Indiana WIC Program should be maintained, reviewed, and responded to within the month that the report is generated. Records Retention There are specific records that must be kept for a specified length of time according to CFR Part 246.25 Food and Nutrition Service, USDA Federal Regulations and Indiana Code. Records must be retained for two, three, five or seven years beyond the closeout of the federal fiscal year depending on the type of record. The Indiana WIC Program Policy and Procedure Manual provides specific guidance on record retention and disposal. Prior to disposal of records a Request for Disposition of Records (SF 48055) must be completed and approved by the State WIC office. Disposal of records must be by incineration or shredding and not through trash removal. Voter Registration Transmittal Files are retained for two years from the date of the transmittal. Financial records and some client records are retained for three years beyond the federal fiscal year closeout. These files include: o Client Sanction Files o Client Complaint Files o Subpoena, Search Warrants and Court Orders File o In-service Education Attendance Records o Food Instrument Issuance Records (i.e. Xxxxxx'x Market) o Civil Rights and Fair Hearing Records o Breast Pump Log File o General ledger. o Time cards. o Time studies. o Cost allocation plans. o Unusable Card Logs o Vendor applications o Vendor price lists o Vendor agreements o Vendor agreement cover letters o General correspondence to vendors. o Client complaints against vendors and follow-up action taken. o Vendor complaints against WIC clients and follow-up action taken o Vendor training announcements. o Vendor monitoring forms completed by the local agency. o Pre-authorization reports completed by the local agency. o Vendor training materials o EPPIC reports and follow-up action taken o Vendor lists given to clients after certification o Payroll ledger. o Bank statements. o Invoices. o Bills. Client Daily File from December 2014 forward must be retained for five years beyond the federal fiscal year closeout. These records include documentation of Eligibility for Public Benefits; under the Indiana Code they must be retained for five years. Prescription Files, Release of Information Files from 2013 to 2015 must be retained for seven years beyond the federal fiscal year closeout. These hardcopy records contain client medical information that includes a diagnosis, treatment, or progress note and based on Federal Regulations and State law are considered "health records." All records created after the roll-out of the MIS in 2016 are scanned into the MIS, eliminating the need for these hard copy records. Client Fraud, Abuse, and Sanctions Sometimes clients may abuse WIC Program benefits in such a manner that require a sanction to occur. The type and frequency of abuse determines the sanction issued. The Indiana WIC Program Policy and Procedure Manual contains a list of possible abusive ac tions, the frequency of the offense, the corresponding sanction, and the duration of the sanction. Examples of program abuse include, purchasing non-WIC approved items, selling WIC foods on social media sites, dual participation etc. The Coordinator must make sure there is adequate evidence documented to sanction clients. The Sanctions Due to Program Violations form is used to sanction clients. The local agency should work with the State WIC office for sanctions involving major violations. If a tailored letter is used, it must be written very objectively and contain a description of the abuse that occurred, the sanction being imposed, the date that any suspension is to be effective, the length of the suspension, the date the client may return to the clinic to request services, the client's right to appeal, procedures to request a fair hearing, and the non- discrimination statement. With approval from the State WIC office, a Coordinator may waive the sanction if the sanction would impose a serious health risk to the client. Right of Appeal/Discrimination Complaint A WIC applicant or client has the right to appeal a decision regarding their eligibility, suspension, termination of benefits, or repayment of the value of food benefits. The applicant or client has 60 days from the date the local agency mails or provides the written notification of WIC Program denial or termination of benefits to request a hearing. If there is an appeal, there is a process with designated timelines for the local agency staff to follow in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. It involves up to three levels of review if the applicant or client is not satisfied with the decision they receive. The first review involves a fair hearing officer at the local agency level. After a decision is reached, reconsideration can be requested by the applicant/client to the State WIC Director. A judicial review is the third level of appeal. Any applicant or client who feels they have been discriminated against because of race, color, national origin, sex, age, or disability may file a civil rights complaint within 180 days of the alleged discriminatory action. USDA may extend the time limit due to special circumstances. A copy of all discrimination complaints must be sent to the U.S. Department of Agriculture, Office of the Assistant Secretary for Civil Rights and maintained on file at the local agency. If the basis of the discrimination complaint is because of religion, the applicant/client may fil e a complaint, which is sent directly to: Indiana Civil Rights Commission, Indiana Government Center-N103, 000 Xxxxx Xxxxxx Xxxxxx, Xxxxxxxxxxxx, XX 00000. The agency must maintain a paper copy of all occurrences. It is the responsibility of the local WIC clinic to ensure that discrimination does not occur. This is done through regular training of staff, providing outreach activities to reach minority populations, collecting racial/ethnic group data, evaluating racial/ethnic data of clients receiving s ervices at the local agency to ensure representation of staff from those communities, and appropriately processing civil rights complaints. Civil Rights training must be provided annually to local agency WIC clinic staff. New local agency staff Civil Rights training occurs during the Indiana WIC Program Clinic Services training. The Indiana WIC Program provides annually updated Civil Rights training materials for clinic staff. It is required that the nondiscrimination statement be incorporated into all materials and sources including Web sites that inform applicants, clients, and potentially eligible persons about the WIC program. A "Justice for All" posters in sufficient numbers must be placed in a prominent location within the clinic, such as the wait ing room. The local agency must include activities in the annual publicity and outreach plan that encourages minorities to participate in the WIC Program. Programs that serve a large number of non-English speaking clients should ensure translation resources are available, and make efforts to employ members of non-English speaking communities to ensure appropriate cultural competence and better program accessibility for clients. The Indiana WIC Program reimburses local agencies for non-English speaking translation resources and for communication needs for the deaf. Reasonable effort should be made to accommodate the communication needs of people who are blind and/or deaf. Confidentiality Local WIC agencies must limit the disclosure of information obtained from clients and applicants. There are specific persons designated by Food and Nutrition Service, USDA Federal Regulations, 7CFR Part 246.26(g), who may have access to WIC records. They include: The Department (USDA) and the Comptroller General of the United States. The chief State health officer must designate in writing the permitted non-WIC uses of the information and the names of the organization to which such information may be disclosed. All local agency employees, contracted persons, and volunteers must sign an Indiana WIC Program Staff Confidentiality Statement. Data Sharing Agreements and Memorandums of Understanding There are specific state agencies that have a written Data Sharing Agreement with IDOH to allow the release of WIC client information. The Indiana WIC Program state office is responsible for releasing information to agencies with a Data Sharing Agreement. The agreements allow client information to be used by the receiving agency to conduct outreach and establish eligibili ty in health or assistance programs. This allows WIC clinics the opportunity to provide limited client information only for the purpose of establishing program eligibility or outreach. The client must sign the consent for services line on the Indiana WIC Signature Page allowing the information to be released. The information cannot be provided to a third party by the agency entering into the Data Sharing Agreement; nor can the agency release information to the Indiana WIC Program, local agency, or WIC clinics. The local WIC agency may choose to enter into an agreement with an outside agency, or with another program within the local agency, that is not involved in a Data Sharing Agreement with IDOH. These agreements are made through a Local Agency Memorandum of Understanding (MOU) for the purpose of outreach and eligibility determination for the other program. The Management Chapter of the Indiana WIC Policy and Procedure Manual includes policy guidance on how to prepare the MOU document. All MOUs must be reviewed by the State WIC Director and/or State WIC Epidemiologist prior to signing to ensure that the information being shared is appropriate. The client must sign an Attachment A at Certification which states the agencies to which referral by clinic staff will result in the limited release of the client's information. Data is generated from the MIS referral screen when the WIC Coordinator submits a data request to the State WIC Epidemiologist unless a local agency uses a paper intra-agency form for referrals. The data will be prepared by the State WIC Epidemiologist and forwarded to the WIC Coordinator to share with the agreeing agency. Any information released about a WIC client to agencies not covered by a Data Sharing Agreement or a Local Agency MOU must be done using a Release of Information form that is signed by the client. Reporting of suspected child abuse or neglect Federal WIC Regulations allow state law to be followed regarding the reporting of suspected child abuse or neglect. All Indiana residents age 18 and older are considered mandated reporters, but if possible any reporting should be handled in conjunction with the local agency's legal counsel or agency director. According to Indiana code IC 31-33-5 Duty to report, IC 31-9-2-14 Child abuse or neglect, IC 31-34-1 Circumstances under which a child is a Child in Need of Services, any reporting of known or suspected child abuse or neglect should be directed to the local Child Services office. The criteria for reporting can be found in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. Subpoenas, Search Warrants, and Court Orders Upon receipt of a search warrant or court order, the local agency must notify the Indiana WIC Program and follow procedures found in the Management Chapter of the Indiana WIC Policy and Procedure Manual. If the Indiana WIC Program determines that the information requested in a subpoena is confidential and prohibited from being used or disclosed, the local agency will be advised to attempt to quash the subpoena through the local agency's legal counsel. If the Indiana WIC Program determines that disclosing the confidential information is in the best interest of the program, the local agency will be instructed to comply with the subpoena through the local agency's legal counsel. Health Information Portability and Accountability Act The WIC Program is not covered under the Health Information Portability and Accountability Act (HIPAA). The Indiana WIC Program, local agencies, and WIC clinics are required to comply with the regulations of the USDA, including those focused on the protection of WIC applicant and client confidentiality. Once applicant or client information is included in WIC files, WIC confidentiality protections are attached to the information. It is possible that WIC confidentiality protections are more stringent than HIPAA requirements, and thus, further protect applicant and client information. Local agencies affected by HIPAA regulations may want to consider evaluating whether or not to declare the agency "hybrid entities" to allow compliance for HIPAA - covered entities while the WIC program would remain a non-covered entity and would continue to follow WIC confidentiality requirements. Annual Plans There are plans and policies that need to be maintained by the Coordinator. The WIC staff may assist with carrying out some of the plans, which include:
Appears in 1 contract
Samples: Grant Agreement
Electronic Payment Processing Interface and Control (EPPIC) Reports File. All EPPIC reports provided to the local agency by the Indiana WIC Program should be maintained, reviewed, and responded to within the month that the report is generated. • Records Retention • • There are specific records that must be kept for a specified length of time according to CFR Part 246.25 Food and Nutrition Service, USDA Federal Regulations Regulations, and Indiana Code. Records must be retained for 2 (two), 3 (three), five 5 (five) or seven 7 (seven) years beyond the closeout of the federal fiscal year depending on the type of record. The Indiana WIC Program Policy and Procedure Manual provides specific guidance on record retention and disposal. Prior to disposal of records a Request for Disposition of Records (SF 48055) must be completed and approved by the State WIC office. Disposal of records must be by incineration or shredding and not through trash removal. • • Voter Registration Transmittal Files are retained for two 2 (two) years from the date of the transmittal. • Financial records and some client records are retained for three 3 (three) years beyond the federal fiscal year closeout. These files include: o Client Sanction Files o Client Complaint Files o Subpoena, Search Warrants and Court Orders File o In-service Education Attendance Records o Food Instrument Issuance Records (i.e. Xxxxxx'x Xxxxxx’x Market) o Civil Rights and Fair Hearing Records o Breast Pump Log File o General ledger. o Time cardsTimecards. o Time studies. o Cost allocation plans. o Unusable Card Logs o Vendor applications o Vendor price lists o Vendor agreements o Vendor agreement cover letters o General correspondence to vendors. o Client complaints against vendors and follow-up action taken. o Vendor complaints against WIC clients and follow-up action taken o Vendor training announcements. o Vendor monitoring forms completed by the local agency. o Pre-authorization reports completed by the local agency. o Vendor training materials o EPPIC reports and follow-up action taken o Vendor lists given to clients after certification o Payroll ledger. o Bank statements. o Invoices. o Bills. • • Client Daily File from December 2014 forward must be retained for five years beyond the federal fiscal year closeout. These records include documentation of Eligibility for Public Benefits; under the Indiana Code they must be retained for five 5 (five) years. Prescription Files, Release of Information Files from 2013 to 2015 must be retained for seven years beyond the federal fiscal year closeout. These hardcopy records contain client medical information that includes a diagnosis, treatment, or progress note and based on Federal Regulations and State law are considered "health records." All records created after the roll-out of the MIS in 2016 are scanned into the MIS, eliminating the need for these hard copy records. • • Client Fraud, Abuse, and Sanctions • • Sometimes clients may abuse WIC Program benefits in such a manner that require a sanction to occur. The type and frequency of abuse determines the sanction issued. The Management Chapter of the Indiana WIC Program Policy and Procedure Manual contains a Client Fraud, Abuse, and Sanction policy along with a list of possible abusive ac tions, violations and sanctions and the Sanction Due to Program Violations form. The list of possible violations and sanctions includes the frequency of the an offense, the corresponding sanction, and the duration of the sanction. Examples of program abuse include, purchasing non-The Indiana WIC approved items, selling WIC foods on social media sites, dual participation etcMIS will print the Sanction Due to Program Violations form to be completed when issuing a client sanction. The Coordinator must make sure there is adequate evidence documented to sanction clients. The Sanctions Due to Program Violations form is used to sanction clients. The local agency should work with the State WIC office for sanctions involving major violations. If a tailored letter is used, it must be written very objectively and contain a description of the abuse that occurred, the sanction being imposed, the date that any suspension is to be effective, the length of the suspension, the date the client may return to the clinic to request services, the client's right to appeal, procedures to request a fair hearing, and the non- discrimination statement. With approval from the State WIC office, a Coordinator may waive the sanction if the sanction would impose a serious health risk to the client. • • Right of Appeal/Discrimination Complaint • • A WIC applicant or client has the right to appeal a decision regarding their eligibility, suspension, termination of benefits, or repayment of the value of food benefits. The applicant or client has 60 (sixty) days from the date the local agency mails or provides the written notification of WIC Program denial or termination of benefits to request a hearing. If there is an appeal, there is a process with designated timelines for the local agency staff to follow in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. It involves up to three 3 (three) levels of review if the applicant or client is not satisfied with the decision they receive. The first review involves having a WIC Steering Committee member serve as a fair hearing officer at the local agency level. After a decision is reached, reconsideration can be requested by the applicant/client to the State WIC Director. A judicial review is the third level of appeal. • • Any applicant or client who feels they have been discriminated against because of race, color, national origin, sex, age, or disability may file a civil rights complaint within 180 (one hundred and eighty) days of the alleged discriminatory action. USDA may extend the time limit due to special circumstances. A copy of all discrimination complaints must be sent to the U.S. Department of Agriculture, Office of the Assistant Secretary for Civil Rights and maintained on file at the local agency. If the basis of the discrimination complaint is because of religion, the applicant/client may fil e file a complaint, which is sent directly to: Indiana Civil Rights Commission, Indiana Government Center-N103, 000 Xxxxx Xxxxxx Xxxxxx, Xxxxxxxxxxxx, XX 00000. The agency must maintain a paper copy of all occurrences. • • It is the responsibility of the local WIC clinic to ensure that discrimination does not occur. This is done through regular training of staff, providing outreach activities to reach minority and disadvantaged populations, collecting racial/ethnic group data, evaluating racial/ethnic data of clients receiving s ervices services at the local agency to ensure representation of staff from those communities, compliance with the State WIC Racial Equity, Customer Service and Clinic Environment policies, and appropriately processing civil rights complaints. Civil Rights training must be provided annually to local agency WIC clinic staff, and all WIC-funded staff must complete the provided training and keep record of that completion. New local agency staff Civil Rights training occurs during the Indiana WIC Program Clinic Services training. The Indiana WIC Program provides annually updated Civil Rights training materials for clinic staff. It is required that the nondiscrimination statement be incorporated into all materials and sources including Web sites that inform applicants, clients, and potentially eligible persons about the WIC program. A "“Justice for All" A l” posters in sufficient numbers must be placed in a prominent location locations within the clinic, such as the wait ing waiting room. The local agency must include activities in the annual publicity and outreach plan that encourages minorities to participate in the WIC Program. Programs that serve a large number of many non-English speaking clients should ensure translation resources are available, available and make efforts to employ members of non-English speaking communities to ensure appropriate cultural competence and better program accessibility for clients. • • The Indiana WIC Program reimburses local agencies for non-English speaking translation resources and for communication needs for the deafdeaf and hard-of- hearing. Reasonable effort should be made to accommodate the communication needs of people who are blind and/or deaf. • • Confidentiality • • The Management Chapter of the Indiana WIC Program Policy and Procedure Manual contains two policies that address confidentiality. Local WIC agencies must limit the disclosure of information obtained from clients and applicants. There are specific persons designated by Food and Nutrition Service, USDA Federal Regulations, 7CFR Part 246.26(g), who may have access to WIC records. They include: • • The Department (USDA) and the Comptroller General of the United States. • The chief State health officer must designate in writing the permitted non-WIC uses of the information and the names of the organization to which such information may be disclosed. • • All local agency employees, contracted persons, and volunteers must sign an Indiana WIC Program Staff Employee Confidentiality Statementand Compliance Agreement. • • Data Sharing Agreements and Memorandums of Understanding • • There are specific state agencies that have a written Data Sharing Agreement with IDOH to allow the release of WIC client information. The Indiana WIC Program state office is responsible for releasing information to agencies with a Data Sharing Agreement. The agreements allow client information to be used by the receiving agency to conduct outreach and establish eligibili ty eligibility in health or assistance programs. This allows WIC clinics the opportunity to provide limited client information only for the purpose of establishing program eligibility or outreach. The client must sign the consent for services line on the Indiana WIC Signature Page allowing the information to be released. The information cannot be provided to a third party by the agency entering into the Data Sharing Agreement; nor can the agency release information to the Indiana WIC Program, local agency, or WIC clinics. • • The local WIC agency may choose to enter into an agreement with an outside agency, or with another program within the local agency, that is not involved in a Data Sharing Agreement with IDOH. These agreements are made through a Local Agency Memorandum of Understanding (MOU) for the purpose of outreach and eligibility determination for the other program. The Management Chapter of the Indiana WIC Policy and Procedure Manual includes policy guidance on how to prepare the MOU document. All MOUs must be reviewed by the State WIC Director and/or State WIC Epidemiologist prior to signing to ensure that the information being shared is appropriate. The client must sign an Attachment A at Certification which states the agencies to which referral by clinic staff will wi l result in the limited release of the client's ’s information. Data is generated from the MIS referral screen when the WIC Coordinator submits a data request to the State WIC Epidemiologist unless a local agency uses a paper intra-intra- agency form for referrals. The data will be prepared by the State WIC Epidemiologist and securely forwarded to the WIC Coordinator to share with the agreeing agency. Any information released about a WIC client to agencies not covered by a Data Sharing Agreement or a Local Agency MOU must be done using a Release of Information form that is signed by the client. • • Reporting of suspected child abuse or neglect • • Federal WIC Regulations allow state law to be followed regarding the reporting of suspected child abuse or neglect. All Indiana residents age aged 18 (eighteen) and older are considered mandated reporters, but if possible any reporting should be handled in conjunction with the local agency's legal counsel or agency director. According to Indiana code IC 31-33-5 Duty to report, IC 31-9-2-14 Child abuse or neglect, IC 31-34-1 Circumstances under which a child is a Child in Need of Services, any reporting of known or suspected child abuse or neglect should be directed to the local Indiana Child Services officeAbuse and Neglect Hotline. The criteria for reporting can be found in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. • • Subpoenas, Search Warrants, and Court Orders • • Upon receipt of a search warrant or court order, the local agency must notify the Indiana WIC Program and follow procedures found in the Management Chapter of the Indiana WIC Policy and Procedure Manual. If the Indiana WIC Program determines that the information requested in a subpoena is confidential and prohibited from being used or disclosed, the local agency will be advised to attempt to quash the subpoena through the local agency's ’s legal counsel. If the Indiana WIC Program determines that disclosing the confidential information is in the best interest of the program, the local agency will be instructed to comply with the subpoena through the local agency's ’s legal counsel. • Health Information Portability and Accountability Act • • The WIC Program is not covered under the Health Information Portability and Accountability Act (HIPAA). The Indiana WIC Program, local agencies, and WIC clinics are required to comply with the regulations of the USDA, including those focused on the protection of WIC applicant and client confidentiality. Once applicant or client information is included in WIC files, WIC confidentiality protections are attached to the information. It is possible that WIC confidentiality protections are more stringent than HIPAA requirements, and thus, further protect applicant and client information. Local agencies affected by HIPAA regulations may want to consider evaluating whether or not to declare the agency "“hybrid entities" ” to allow compliance for HIPAA - HIPAA-covered entities while the WIC program would remain a non-covered entity and would continue to follow WIC confidentiality requirements. • • Annual Plans • • There are plans and policies that need to be maintained by the Coordinator. The WIC staff may assist with carrying out some of the plans, which include:: •
Appears in 1 contract
Samples: Grant Agreement
Electronic Payment Processing Interface and Control (EPPIC) Reports File. All EPPIC reports provided to the local agency by the Indiana WIC Program should be maintained, reviewed, and responded to within the month that the report is generated. Records Retention There are specific records that must be kept for a specified length of time according to CFR Part 246.25 Food and Nutrition Service, USDA Federal Regulations and Indiana Code. Records must be retained for two, three, five or seven years beyond the closeout of the federal fiscal year depending on the type of record. The Indiana WIC Program Policy and Procedure Manual provides specific guidance on record retention and disposal. Prior to disposal of records a Request for Disposition of Records (SF 48055) must be completed and approved by the State WIC office. Disposal of records must be by incineration or shredding and not through trash removal. ↵ Voter Registration Transmittal Files are retained for two years from the date of the transmittal. ↵ Financial records and some client records are retained for three years beyond the federal fiscal year closeout. These files include: o Client Sanction Files o Client Complaint Files o Subpoena, Search Warrants and Court Orders File o In-service Education Attendance Records o Food Instrument Issuance Records (i.e. Xxxxxx'x Market) o Civil Rights and Fair Hearing Records o Breast Pump Log File o General ledger. o Time cards. o Time studies. o Cost allocation plans. o Unusable Card Logs o Vendor applications o Vendor price lists o Vendor agreements o Vendor agreement cover letters o General correspondence to vendors. o Client complaints against vendors and follow-up action taken. o Vendor complaints against WIC clients and follow-up action taken o Vendor training announcements. o Vendor monitoring forms completed by the local agency. o Pre-authorization reports completed by the local agency. o Vendor training materials o EPPIC reports and follow-up action taken o Vendor lists given to clients after certification o Payroll ledger. o Bank statements. o Invoices. o Bills. ↵ Client Daily File from December 2014 forward must be retained for five years beyond the federal fiscal year closeout. These records include documentation of Eligibility for Public Benefits; under the Indiana Code they must be retained for five years. ↵ Prescription Files, Release of Information Files from 2013 to 2015 must be retained for seven years beyond the federal fiscal year closeout. These hardcopy records contain client medical information that includes a diagnosis, treatment, or progress note and based on Federal Regulations and State law are considered "health records." All records created after the roll-out of the MIS in 2016 are scanned into the MIS, eliminating the need for these hard copy records. Client Fraud, Abuse, and Sanctions Sometimes clients may abuse WIC Program benefits in such a manner that require a sanction to occur. The type and frequency of abuse determines the sanction issued. The Indiana WIC Program Policy and Procedure Manual contains a list of possible abusive ac tions, the frequency of the offense, the corresponding sanction, and the duration of the sanction. Examples of program abuse include, purchasing non-WIC approved items, selling WIC foods on social media sites, dual participation etc. The Coordinator must make sure there is adequate evidence documented to sanction clients. The Sanctions Due to Program Violations form is used to sanction clients. The local agency should work with the State WIC office for sanctions involving major violations. If a tailored letter is used, it must be written very objectively and contain a description of the abuse that occurred, the sanction being imposed, the date that any suspension is to be effective, the length of the suspension, the date the client may return to the clinic to request services, the client's right to appeal, procedures to request a fair hearing, and the non- discrimination statement. With approval from the State WIC office, a Coordinator may waive the sanction if the sanction would impose a serious health risk to the client. Right of Appeal/Discrimination Complaint A WIC applicant or client has the right to appeal a decision regarding their eligibility, suspension, termination of benefits, or repayment of the value of food benefits. The applicant or client has 60 days from the date the local agency mails or provides the written notification of WIC Program denial or termination of benefits to request a hearing. If there is an appeal, there is a process with designated timelines for the local agency staff to follow in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. It involves up to three levels of review if the applicant or client is not satisfied with the decision they receive. The first review involves a fair hearing officer at the local agency level. After a decision is reached, reconsideration can be requested by the applicant/client to the State WIC Director. A judicial review is the third level of appeal. Any applicant or client who feels they have been discriminated against because of race, color, national origin, sex, age, or disability may file a civil rights complaint within 180 days of the alleged discriminatory action. USDA may extend the time limit due to special circumstances. A copy of all discrimination complaints must be sent to the U.S. Department of Agriculture, Office of the Assistant Secretary for Civil Rights and maintained on file at the local agency. If the basis of the discrimination complaint is because of religion, the applicant/client may fil e a complaint, which is sent directly to: Indiana Civil Rights Commission, Indiana Government Center-N103, 000 Xxxxx Xxxxxx Xxxxxx, Xxxxxxxxxxxx, XX 00000. The agency must maintain a paper copy of all occurrences. It is the responsibility of the local WIC clinic to ensure that discrimination does not occur. This is done through regular training of staff, providing outreach activities to reach minority populations, collecting racial/ethnic group data, evaluating racial/ethnic data of clients receiving s ervices at the local agency to ensure representation of staff from those communities, and appropriately processing civil rights complaints. Civil Rights training must be provided annually to local agency WIC clinic staff. New local agency staff Civil Rights training occurs during the Indiana WIC Program Clinic Services training. The Indiana WIC Program provides annually updated Civil Rights training materials for clinic staff. It is required that the nondiscrimination statement be incorporated into all materials and sources including Web sites that inform applicants, clients, and potentially eligible persons about the WIC program. A "Justice for All" posters in sufficient numbers must be placed in a prominent location within the clinic, such as the wait ing room. The local agency must include activities in the annual publicity and outreach plan that encourages minorities to participate in the WIC Program. Programs that serve a large number of non-English speaking clients should ensure translation resources are available, and make efforts to employ members of non-English speaking communities to ensure appropriate cultural competence and better program accessibility for clients. The Indiana WIC Program reimburses local agencies for non-English speaking translation resources and for communication needs for the deaf. Reasonable effort should be made to accommodate the communication needs of people who are blind and/or deaf. Confidentiality Local WIC agencies must limit the disclosure of information obtained from clients and applicants. There are specific persons designated by Food and Nutrition Service, USDA Federal Regulations, 7CFR Part 246.26(g), who may have access to WIC records. They include: ↵ The Department (USDA) and the Comptroller General of the United States. ↵ The chief State health officer must designate in writing the permitted non-WIC uses of the information and the names of the organization to which such information may be disclosed. All local agency employees, contracted persons, and volunteers must sign an Indiana WIC Program Staff Confidentiality Statement. Data Sharing Agreements and Memorandums of Understanding There are specific state agencies that have a written Data Sharing Agreement with IDOH to allow the release of WIC client information. The Indiana WIC Program state office is responsible for releasing information to agencies with a Data Sharing Agreement. The agreements allow client information to be used by the receiving agency to conduct outreach and establish eligibili ty in health or assistance programs. This allows WIC clinics the opportunity to provide limited client information only for the purpose of establishing program eligibility or outreach. The client must sign the consent for services line on the Indiana WIC Signature Page allowing the information to be released. The information cannot be provided to a third party by the agency entering into the Data Sharing Agreement; nor can the agency release information to the Indiana WIC Program, local agency, or WIC clinics. The local WIC agency may choose to enter into an agreement with an outside agency, or with another program within the local agency, that is not involved in a Data Sharing Agreement with IDOH. These agreements are made through a Local Agency Memorandum of Understanding (MOU) for the purpose of outreach and eligibility determination for the other program. The Management Chapter of the Indiana WIC Policy and Procedure Manual includes policy guidance on how to prepare the MOU document. All MOUs must be reviewed by the State WIC Director and/or State WIC Epidemiologist prior to signing to ensure that the information being shared is appropriate. The client must sign an Attachment A at Certification which states the agencies to which referral by clinic staff will result in the limited release of the client's information. Data is generated from the MIS referral screen when the WIC Coordinator submits a data request to the State WIC Epidemiologist unless a local agency uses a paper intra-agency form for referrals. The data will be prepared by the State WIC Epidemiologist and forwarded to the WIC Coordinator to share with the agreeing agency. Any information released about a WIC client to agencies not covered by a Data Sharing Agreement or a Local Agency MOU must be done using a Release of Information form that is signed by the client. Reporting of suspected child abuse or neglect Federal WIC Regulations allow state law to be followed regarding the reporting of suspected child abuse or neglect. All Indiana residents age 18 and older are considered mandated reporters, but if possible any reporting should be handled in conjunction with the local agency's legal counsel or agency director. According to Indiana code IC 31-33-5 Duty to report, IC 31-9-2-14 Child abuse or neglect, IC 31-34-1 Circumstances under which a child is a Child in Need of Services, any reporting of known or suspected child abuse or neglect should be directed to the local Child Services office. The criteria for reporting can be found in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. Subpoenas, Search Warrants, and Court Orders Upon receipt of a search warrant or court order, the local agency must notify the Indiana WIC Program and follow procedures found in the Management Chapter of the Indiana WIC Policy and Procedure Manual. If the Indiana WIC Program determines that the information requested in a subpoena is confidential and prohibited from being used or disclosed, the local agency will be advised to attempt to quash the subpoena through the local agency's legal counsel. If the Indiana WIC Program determines that disclosing the confidential information is in the best interest of the program, the local agency will be instructed to comply with the subpoena through the local agency's legal counsel. Health Information Portability and Accountability Act The WIC Program is not covered under the Health Information Portability and Accountability Act (HIPAA). The Indiana WIC Program, local agencies, and WIC clinics are required to comply with the regulations of the USDA, including those focused on the protection of WIC applicant and client confidentiality. Once applicant or client information is included in WIC files, WIC confidentiality protections are attached to the information. It is possible that WIC confidentiality protections are more stringent than HIPAA requirements, and thus, further protect applicant and client information. Local agencies affected by HIPAA regulations may want to consider evaluating whether or not to declare the agency "hybrid entities" to allow compliance for HIPAA - covered entities while the WIC program would remain a non-covered entity and would continue to follow WIC confidentiality requirements. Annual Plans There are plans and policies that need to be maintained by the Coordinator. The WIC staff may assist with carrying out some of the plans, which include:
Appears in 1 contract
Samples: Grant Agreement
Electronic Payment Processing Interface and Control (EPPIC) Reports File. All EPPIC reports provided to the local agency by the Indiana WIC Program should be maintained, reviewed, and responded to within the month that the report is generated. Records Retention There are specific records that must be kept for a specified length of time according to CFR Part 246.25 Food and Nutrition Service, USDA Federal Regulations and Indiana Code. Records must be retained for two, three, five or seven years beyond the closeout of the federal fiscal year depending on the type of record. The Indiana WIC Program Policy and Procedure Manual provides specific guidance on record retention and disposal. Prior to disposal of records a Request for Disposition of Records (SF 48055) must be completed and approved by the State WIC office. Disposal of records must be by incineration or shredding and not through trash removal. • Voter Registration Transmittal Files are retained for two years from the date of the transmittal. • Financial records and some client records are retained for three years beyond the federal fiscal year closeout. These files include: o Daily File (prior to December 2014) o Ineligible and Terminated File (prior to December 2014) o Lost/Stolen Check Replacement files o Client Sanction Files o Client Complaint Files o Subpoena, Search Warrants and Court Orders File o In-service Inservice Education Attendance Records o Food Instrument Issuance Records (i.e. Xxxxxx'x Market) o Civil Rights and Fair Hearing Records o Breast Pump Log File o General ledger. o Time cards. o Time studies. o Cost allocation plans. o Unusable Card Logs o Vendor applications o Vendor price lists o Vendor agreements o Vendor agreement cover letters o General correspondence to vendors. o Client complaints against vendors and follow-up action taken. o Vendor complaints against WIC clients and follow-up action taken o Vendor training announcements. o Vendor monitoring forms completed by the local agency. o Pre-authorization reports completed by the local agency. o Vendor training materials o EPPIC reports and follow-up action taken o Vendor lists given to clients after certification o Payroll ledger. o Check register (under the previous MIS system). o Unusable eWIC Card Log o Bank statements. o Invoices. o Bills. • Client Daily File and Ineligible and Terminated File records, from December 2014 forward must be retained for five years beyond the federal fiscal year closeout. These records include documentation of Eligibility for Public Benefits; under the Indiana Code they must be retained for five years. • Prescription Files, Release of Information Files from 2013 to 2015 and Returned Formula Log Files must be retained for seven years beyond the federal fiscal year closeout. These hardcopy records contain client medical information that includes a diagnosis, treatment, or progress note and based on Federal Regulations and State law are considered "“health records." All records created after the roll-out of the MIS in ”. Starting October 1, 2016 are physician prescriptions for exempt infant formula and WIC eligible nutritionals will be scanned into the client record in the MIS, eliminating . • Infant and child paper records through 2007 also contain medical information and must be retained for seven years beyond the need federal fiscal year closeout for these hard copy records. Client Fraud, Abuse, and Sanctions Sometimes clients may abuse WIC Program benefits the year in such a manner that require a sanction to occurwhich the child turned five. The type and frequency of abuse determines the sanction issued. The Indiana WIC Program Policy and Procedure Manual contains a list of possible abusive ac tions, the frequency of the offense, the corresponding sanction, and the duration of the sanction. Examples of program abuse include, purchasing non-WIC approved items, selling WIC foods policy on social media sites, dual participation etc. The Coordinator must make sure there is adequate evidence documented to sanction clients. The Sanctions Due to Program Violations form is used to sanction clients. The local agency should work with the State WIC office for sanctions involving major violations. If a tailored letter is used, it must be written very objectively and contain a description of the abuse that occurred, the sanction being imposed, the date that any suspension is to be effective, the length of the suspension, the date the client may return to the clinic to request services, the client's right to appeal, procedures to request a fair hearing, and the non- discrimination statement. With approval from the State WIC office, a Coordinator may waive the sanction if the sanction would impose a serious health risk to the client. Right of Appeal/Discrimination Complaint A WIC applicant or client has the right to appeal a decision regarding their eligibility, suspension, termination of benefits, or repayment of the value of food benefits. The applicant or client has 60 days from the date the local agency mails or provides the written notification of WIC Program denial or termination of benefits to request a hearing. If there is an appeal, there is a process with designated timelines for the local agency staff to follow in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. It involves up to three levels of review if the applicant or client is not satisfied with the decision they receive. The first review involves a fair hearing officer at the local agency level. After a decision is reached, reconsideration can be requested by the applicant/client to the State WIC Director. A judicial review is the third level of appeal. Any applicant or client who feels they have been discriminated against because of race, color, national origin, sex, age, or disability may file a civil rights complaint within 180 days of the alleged discriminatory action. USDA may extend the time limit due to special circumstances. A copy of all discrimination complaints must be sent to the U.S. Department of Agriculture, Office of the Assistant Secretary for Civil Rights and maintained on file at the local agency. If the basis of the discrimination complaint is because of religion, the applicant/client may fil e a complaint, which is sent directly to: Indiana Civil Rights Commission, Indiana Government Center-N103, 000 Xxxxx Xxxxxx Xxxxxx, Xxxxxxxxxxxx, XX 00000. The agency must maintain a paper copy of all occurrences. It is the responsibility of the local WIC clinic to ensure that discrimination does not occur. This is done through regular training of staff, providing outreach activities to reach minority populations, collecting racial/ethnic group data, evaluating racial/ethnic data of clients receiving s ervices at the local agency to ensure representation of staff from those communities, and appropriately processing civil rights complaints. Civil Rights training must be provided annually to local agency WIC clinic staff. New local agency staff Civil Rights training occurs during the Indiana WIC Program Clinic Services training. The Indiana WIC Program provides annually updated Civil Rights training materials for clinic staff. It is required that the nondiscrimination statement be incorporated into all materials and sources including Web sites that inform applicants, clients, and potentially eligible persons about the WIC program. A "Justice for All" posters in sufficient numbers must be placed in a prominent location within the clinic, such as the wait ing room. The local agency must include activities in the annual publicity and outreach plan that encourages minorities to participate in the WIC Program. Programs that serve a large number of non-English speaking clients should ensure translation resources are available, and make efforts to employ members of non-English speaking communities to ensure appropriate cultural competence and better program accessibility for clients. The Indiana WIC Program reimburses local agencies for non-English speaking translation resources and for communication needs for the deaf. Reasonable effort should be made to accommodate the communication needs of people who are blind and/or deaf. Confidentiality Local WIC agencies must limit the disclosure of information obtained from clients and applicants. There are specific persons designated by Food and Nutrition Service, USDA Federal Regulations, 7CFR Part 246.26(g), who may have access to WIC records. They include: The Department (USDA) and the Comptroller General of the United States. The chief State health officer must designate in writing the permitted non-WIC uses of the information and the names of the organization to which such information may be disclosed. All local agency employees, contracted persons, and volunteers must sign an Indiana WIC Program Staff Confidentiality Statement. Data Sharing Agreements and Memorandums of Understanding There are specific state agencies that have a written Data Sharing Agreement with IDOH to allow the release of WIC client information. The Indiana WIC Program state office is responsible for releasing information to agencies with a Data Sharing Agreement. The agreements allow client information to be used by the receiving agency to conduct outreach and establish eligibili ty in health or assistance programs. This allows WIC clinics the opportunity to provide limited client information only for the purpose of establishing program eligibility or outreach. The client must sign the consent for services line on the Indiana WIC Signature Page allowing the information to be released. The information cannot be provided to a third party by the agency entering into the Data Sharing Agreement; nor can the agency release information to the Indiana WIC Program, local agency, or WIC clinics. The local WIC agency may choose to enter into an agreement with an outside agency, or with another program within the local agency, that is not involved in a Data Sharing Agreement with IDOH. These agreements are made through a Local Agency Memorandum of Understanding (MOU) for the purpose of outreach and eligibility determination for the other program. The Management Chapter of the Indiana WIC Policy and Procedure Manual includes policy guidance on how to prepare the MOU document. All MOUs must be reviewed by the State WIC Director and/or State WIC Epidemiologist prior to signing to ensure that the information being shared is appropriate. The client must sign an Attachment A at Certification which states the agencies to which referral by clinic staff will result in the limited release of the client's information. Data is generated from the MIS referral screen when the WIC Coordinator submits a data request to the State WIC Epidemiologist unless a local agency uses a paper intra-agency form for referrals. The data will be prepared by the State WIC Epidemiologist and forwarded to the WIC Coordinator to share with the agreeing agency. Any information released about a WIC client to agencies not covered by a Data Sharing Agreement or a Local Agency MOU must be done using a Release of Information form that is signed by the client. Reporting of suspected child abuse or neglect Federal WIC Regulations allow state law to be followed regarding the reporting of suspected child abuse or neglect. All Indiana residents age 18 and older are considered mandated reporters, but if possible any reporting should be handled in conjunction with the local agency's legal counsel or agency director. According to Indiana code IC 31-33-5 Duty to report, IC 31-9-2-14 Child abuse or neglect, IC 31-34-1 Circumstances under which a child is a Child in Need of Services, any reporting of known or suspected child abuse or neglect should be directed to the local Child Services office. The criteria for reporting can be records found in the Management Chapter of the Indiana WIC Program Policy and Procedure Manual. Subpoenas, Search Warrants, and Court Orders Upon receipt of Manual includes a search warrant or court order, the local agency must notify the Indiana WIC Program and follow procedures found chart to assist in the Management Chapter of the Indiana WIC Policy and Procedure Manual. If the Indiana WIC Program determines determining purge dates so that the information requested in a subpoena is confidential and prohibited from being used or disclosed, the local agency will be advised to attempt to quash the subpoena through the local agency's legal counsel. If the Indiana WIC Program determines that disclosing the confidential information is in the best interest of the program, the local agency will be instructed to comply with the subpoena through the local agency's legal counsel. Health Information Portability and Accountability Act The WIC Program is not covered under the Health Information Portability and Accountability Act (HIPAA). The Indiana WIC Program, local agencies, and WIC clinics correct “paper” charts are required to comply with the regulations of the USDA, including those focused on the protection of WIC applicant and client confidentiality. Once applicant or client information is included in WIC files, WIC confidentiality protections are attached to the information. It is possible that WIC confidentiality protections are more stringent than HIPAA requirements, and thus, further protect applicant and client information. Local agencies affected by HIPAA regulations may want to consider evaluating whether or not to declare the agency "hybrid entities" to allow compliance for HIPAA - covered entities while the WIC program would remain a non-covered entity and would continue to follow WIC confidentiality requirements. Annual Plans There are plans and policies that need selected to be maintained by the Coordinatordestroyed. The WIC staff Adequate storage areas are needed to maintain these files until they qualify as records that may assist with carrying out some of the plans, which include:be destroyed.
Appears in 1 contract
Samples: Grant Agreement
