Annual Program Performance Reviews – OASAS-Funded Programs

Date Issued: December 3, 2019

RECIPIENTS

· All OASAS-Funded Providers

· Local Governmental Units (LGUs)

 

IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR LOCAL OASAS REGIONAL OFFICE REPRESENTATIVE.

 

PURPOSE

The purpose of this Bulletin is to describe the annual program performance review process that is being used by OASAS' Bureau of Regional Operations to evaluate funded providers in terms of overall program and fiscal management performance. These annual reviews start with the assumption that most providers are doing the best that they can to utilize resources effectively to achieve optimal outcomes for their clients. It is OASAS' intention to identify problems that, when corrected, will improve client outcomes and the program's overall performance. If efforts to address needed improvements are not producing desired results, OASAS may ask for corrective action measures by way of a management plan, place restrictions on operating certificates and/or reduce, suspend or terminate State Aid funding.

BACKGROUND

Incorporating quality performance measures into resource allocation decisions is a key administrative objective for OASAS. OASAS integrates the following five major systems that monitor and evaluate New York State's network of substance use disorder prevention and treatment services:

· Standards and Quality Assurance's regulatory compliance monitoring functions;

· Administration's budget and fiscal data;

· Regional Offices’ program monitoring activities;

· Fiscal Audit Review Unit program monitoring activities; and

· Reports from other OASAS units.

SIGNIFICANCE

Program performance reviews are an integral part of the OASAS Local Assistance process. The performance criteria described in this Bulletin serves as the basis for the "program deliverables" included in all State Aid Funding Authorization letters and/or direct contracts.

In situations where a provider's performance is questionable, OASAS' regional offices will give written notification of the problems identified to the direct contractor and/or LGU (with copies to the affected funded provider). This notification will include specific areas needing attention or improvement.

While this review process is comprehensive in scope, discovering a problem in only one area will not usually be a cause for immediate concern. However, if a provider repeatedly fails to correct problems as they are identified, OASAS retains the options of:

  • placing restrictions on OASAS' chemical dependency operating certificates;
  • withholding State Aid payments, pending resolution of problem issues; and/or
  • reducing or eliminating State Aid funding commitments.

For calendar year fiscal periods, the annual performance reviews will take place during the preceding November. For July-June fiscal periods, these reviews will take place during the preceding May.

 

PERFORMANCE REVIEW ELEMENTS

A. PROGRAM PERFORMANCE

WITNYS Reporting System (Prevention Providers only):

  • Did the provider submit its workplan(s) for the upcoming Prevention Planning Year?
  • Does the proposed workplan(s) project the percentage of full-time equivalents (FTEs) allocated to the delivery of evidence-based practices (EBPs) required by the Prevention Guidelines?
  • Did the provider have at least ten months of data entered for each PRU during the most recent Prevention Planning Year?
  • Did the provider meet all the Prevention Performance Standards listed in the Prevention Guidelines.

Client Reporting:

  • Is the treatment PRU’s monthly reporting greater than 180 days late in Monthly Services Delivery System (MSD)?
  • Has the provider completed their Program Profile and Services Inventory (PPSI) bi-annual update?
  • Has the provider completed their County Planning System (CPS) surveys at both the provider level and for every applicable PRU?
  • Is the Methadone provider’s MCAS reporting up-to-date?
     

B. SITE VISITS

  1. Was a comprehensive site visit conducted by the regional office within the past 12 months?
  2. Were any material performance problems identified during the regional office site visit?
     

C. REGULATORY COMPLIANCE & OTHER PERFORMANCE INDICATORS

  1. Is the PRU at "minimal" compliance?
  2. Is the PRU at a "non-compliance" level?
  3. If under a conditional license, is the PRU not moving towards compliance?
  4. Is the limited license due to an agency's negative fiscal viability rating? If yes, have they submitted an acceptable Fiscal Recovery Plan?
  5. Has the agency been referred to OASAS’ Enhanced Oversight Committee in the prior 12 months?
  6. Did the provider submit the list of Board of Directors?
     

D. FISCAL CONSIDERATIONS

  1. Does the PRU fall outside of the "Weighted Average Unit Service Cost per Service Type"?
  2. Is the Agency Administration within OASAS guidelines and budget via ratio value?
  3. Has the PRU under spent their state aid by $15,000 or more according to their prior 2 years of claims?
  4. Did the PRU submit the required Consolidated Budget Reporting (CBR) and supplemental budget information forms?
     
OASAS REGIONAL OFFICE DECISION

A. MANAGEMENT PLAN

If, after a review, the regional office identifies areas of poor performance, they will prepare a Management Plan showing the next steps to be taken by the regional office, the LGU and/or the provider. This Plan will include written notification to the direct contractor or to the LGU, with copies to its provider, that:

  • Describes the problems identified;
  • Offers technical assistance, if necessary, to correct these problems; and
  • Includes specific dates when the regional office will follow up with the LGU and/or provider to ensure that the problems identified are being addressed.

 

B. FUNDING RECOMMENDATIONS

Regional offices will use their personal knowledge and understanding of the agency and/or PRU gained through regular contacts, formal site visits as well as the above reporting, regulatory compliance and fiscal considerations to evaluate its performance prior to making one of the following funding recommendations to the District Director:

  • Continue Funding - meets performance expectations;
  • Continue Funding Contingently - meets most performance expectations, there is a Management Plan in place;
  • Suspend Funding until corrective actions have been completed; or
  • Terminate Funding.

 

SOURCE(S) OF FURTHER INFORMATION

If you have any questions or concerns about OASAS' performance review process for funded services, please contact your OASAS Regional Office.

Please contact your OASAS Regional Office for further information and clarification of matters expressed in this Bulletin.