Transcription
Texas WICHealth and Human Services CommissionPolicy and Procedures ManualRevised June 1, 2021
Policy and Procedures ManualAC - AccountingAC:01.0Local Agency Financial Management System (Rev. 04/01/19)AC:02.0Reimbursement of Allowable WIC Expenses (Rev. 04/01/19)AC:03.0Plan to Allocate Direct Costs (Rev. 04/01/19)AC:04.0Allowable Costs - Personnel Compensation and Benefits (Rev. 04/01/19)AC:05.0Allowable Costs - In-State and Out-of-State Travel (Rev. 04/01/19)AC:06.0Allowable Costs - WIC Owned or Agency Vehicle (Rev. 04/01/19)AC:07.0Property Management (Rev. 01/01/11)AC:08.0Allowable Costs - Equipment & Designated Reportable Assets (Rev. 04/01/19)AC:09.0Allowable Costs - Outreach and Outreach Incentive Items (Rev. 04/01/19)AC:10.0Allowable Costs - Communications & Utilities (Rev. 04/01/19)AC:11.0Allowable Costs - Reproduction and Printing (Rev. 04/01/19)AC:12.0Allowable Costs - Rental Space (Rev. 01/01/11)AC:13.0Allowable Costs - Facility Depreciation (Rev. 04/01/19)AC:14.0Allowable Costs - Supplies, Postage and Shipping (Rev. 04/01/19)AC:15.0Allowable Costs - Non-Professional Contract Services (Rev. 04/01/19)AC:16.0Allowable Costs - Professional Contract Services (Rev. 04/01/19)AC:17.0Allowable Costs - Breastfeeding Peer Counselors (Rev. 04/01/19)AC:18.0Allowable Costs - Facility Renovation (Rev. 04/01/19)AC:19.0Allowable Costs - Indirect Costs (Rev. 01/01/11)
AC - AccountingAC:20.0Allowable Costs - Food Purchases (Rev. 04/01/19)AC:21.0Allowable Costs – Insurance Expense (Rev. 04/01/19)AC:22.0Allowable Costs - Laboratory Coats & Employee Uniforms (Rev. 04/01/19)AC:23.0Unallowable Costs (Rev. 04/01/19)AC:24.0Monthly Reimbursement Maximum (Rev. 04/01/19)AC:25.0Monthly Reimbursement Maximum - Start-Up Costs (Rev. 04/01/19)AC:26.0Advance Cash Payments (Rev. 04/01/19)AC:27.0Surplus Funds (Rev. 04/01/19)AC:28.0Financial Reporting (Rev. 04/01/19)AC:29.0WISE Cost Report, WIC-227A (Rev. 04/01/19)AC:30.0Program Income (Rev. 04/01/19)AC:31.0Participant Fees (Rev. 04/01/19)AC:32.0Closeout Reports (Rev. 04/01/19)AC:33.0Nutrition Education Expenditures (Rev. 10/01/05)AC:34.0Breastfeeding Promotion Expenditures (Rev. 07/01/18)AC:35.0Lost or Stolen Equipment (Rev. 03/01/17)AC:36.0Sale or Disposition of Property (Rev. 06/01/02)AC:39.0Allowable Costs - Computers (01/01/11)
AUT - AutomationAUT:01.0Automation Change Management (06/01/02)AUT:03.0Backups (06/01/02)AUT:04.0Telephone with Data Communications Capabilities (Rev. 10/01/05)AUT:05.0Repair of Computer Equipment (06/01/02)AUT:06.0Surge Protector Equipment (06/01/02)AUT:07.0Requests for New or Additional Computers and/or Peripherals (06/01/02)AUT:08.0Acceptable Use Agreement (Rev. 11/01/20)AUT:09.0Removal of Confidential Information from WIC Computers and Devices (08/01/19)BF - BreastfeedingBF:01.0Breastfeeding Promotion Standards (Rev. 10/01/15)BF:02.0Local Agency Breastfeeding Coordinator (Rev. 06/01/21)BF:03.0Breastfeeding Peer Counselor (Rev. 10/01/15)BF:04.0Breastfeeding Training (Rev. 12/01/16)BF:05.0Issuance and Inventory of Manual and Single-user Electric Breast Pumps (Rev. 02/01/15)BF:06.0Loan of and Inventory of Multi-User Electric Breast Pumps (Rev. 02/01/15)BF:07.0Issuance of Breast Pumps to a Proxy (Rev. 06/01/21)BF:08.0Tracking Born-To-WIC Breastfeeding Rates (11/01/07)BF:09.0Worksite Lactation Support for Employees (11/01/16)CR - Civil RightsCR:01.0Rights and Responsibilities of Applicants/Participants (Rev. 06/01/21)CR:02.0Nondiscrimination (Rev. 03/01/21)
CR - Civil RightsCR:03.0Fair Hearing Procedure for Applicants/Participants (Rev. 04/01/20)CR:04.0Civil Rights Compliance Reviews (06/01/02)CR:05.0Civil Rights Complaints (09/01/19)CR:06.0Provision of Services to Individuals with Disabilities (06/01/02)CR:07.0Provision of Services to Families with Special Health Care Needs (Rev. 12/01/11)CR:08.0Civil Rights Training (09/01/19)CR:09.0Collection of Race and Ethnicity Data (Rev. 09/01/19)CR:10.0Providing Oral and Written Program Information to Non-English or Limited EnglishSpeaking Persons (Rev.10/01/05)CS - CertificationCS:01.0Eligibility Criteria for Program Participation (Rev. 08/01/03)CS:02.0Time Frames for Processing Applicants (08/01/09)CS:03.0Appointment System (03/01/21)CS:04.0Physical Presence (Rev. 11/01/12)CS:05.0Identification of a WIC Applicant/Participant and Parent or Guardian (Rev. 07/01/12)CS:06.0Residency as a Certification Requirement (Rev. 07/01/17)CS:07.0Income Screening as a Certification Requirement (Rev. 07/01/17)CS:08.0Adjunctive Income Eligibility (Rev. 12/01/15)CS:09.0Definition of Income (Rev. 08/01/15)CS:10.0Economic Unit for Income (Rev. 08/01/17)CS:11.0Certification of Foster Children (Rev. 02/01/11)
CS - CertificationCS:12.0Texas WIC Income Guidelines (Rev. 05/01/21)CS:15.0Certifying Authority (Rev. 10/01/15)CS:16.0WIC Certification Specialist (Rev. 06/01/21)CS:17.0Documentation of a Complete Nutrition Assessment (Rev. 03/01/14)CS:18.0Criteria for Identifying Nutrition Risk Conditions (Rev. 10/01/20)CS:19.0Midpoint Screening (03/01/12)CS:21.0Referral to Health Services (Rev. 10-01-15)CS:23.0Notification of Ineligibility, Disqualification, Termination, or Expiration of Eligibility (Rev. 10/01/20)CS:24.0Certification Periods (Rev. 03-01-12)CS:25.0Issuance of WIC Lone Star Cards (08/01/09)CS:26.0Issuance and Disposition of Replacement Texas WIC Cards (Rev. 12/01/19)CS:27.0Enrollment of Transferring Participants (Rev. 12/01/19)CS:28.0Preventing and Detecting Dual Participation (06/01/02)CS:30.0Caseload Management (06/01/02)CS:31.0Waiting List for WIC (06/01/02)CS:32.0Mid-Certification Assessment for Children (03/01/14)CS:33.0High Risk Referrals (10/01/15)
FD - Food DeliveryFD:01.0Documentation of Food Benefits Issuance (Rev. 01-1-15)FD:02.0Frequency of Issuance of Food Benefits (Rev. 08-01-09)FD:03.0Designated Recipients of Food Benefits (Rev. 08-01-09)FD:04.0Disposition of Unusable WIC EBT Cards (Rev. 09-01-13)FD:06.0Documenting Missing/ Stolen WIC Lone Star Cards Inventory (08-01-09)FD:08.0Liability of Local Agency for Food Instrument Inventory Shortages (01-01-11)FD:09.0Liability of Local Agency for Food Benefit Reconciliation (Rev. 08/01/09)FD:10.0Issuing Food Packages for the Mother/Infant Dyad (Rev. 01-01-11)FD:11.0Transfer of Texas WIC Lone Star Card Inventory (Rev. 08-01-09)FD:12.0Food Packages (Rev. 11-01-19)FD:12.1Food Package Substitutions, Tailoring and Exchanges (Rev. 11/01/19)FD:13.0Issuance of Contract Infant Formula (Rev. 10-01-16)FD:15.0Issuance of Ready-to-Use Formula (10-01-09)FD:16.0Approval of Non-Contract Formulas (Rev. 10-01-16)FD:16.1Issuance of Formula Food Packages (10-01-16)FD:18.0Drop Shipment of Formula and Medical Nutritional Products (03-01-12)FD:19.0Managing Returned Formula (Rev. 10-01-19)
GA - General AdministrationGA:01.0Confidentiality of Applicant/Participant Information (Rev. 04/01/20)GA:02.0Claims Against Local Agencies (06/01/02)GA:03.0Records Retention (07/01/09)GA:04.0Contracts with Local Agencies (06/01/02)GA:05.0Local Agencies Agreement for the Provision of Health Services (06/01/02)GA:06.0Coordination of Program Operations (06/01/02)GA:07.0Referral to Food Assistance (06/01/02)GA:08.0Provision of Information on the Food Stamp, Temporary Assistance to Needy Families,Medicaid, THSteps, Children’s Health Insurance, Children’s Health Insurance Perinatal,Women’s Health, and Child Support Enforcement Programs to WIC Applicants andParticipants (Rev. 08/01/07)GA:09.0Local Agency Coordination with Hospitals (06/01/02)GA:11.0Verbal and Physical Abuse by Participants (06/01/02)GA:12.0Participant Violations (Rev. 06/01/14)GA:13.0Access to Appointments (01/01/11)GA:14.0Staffing Standards (Rev. 06/01/21)GA:16.0Compliance with Clinical Laboratory Improvement Amendments of 1988 (06/01/02)GA:17.0No Smoking Policy in Local Agency Facilities (06/01/02)GA:18.0Research or Auxiliary Services Involving WIC Participants (Rev. 07/01/11)GA:19.0Compliance with the National Voter Registration Act of 1993 (Rev. 04/01/20)GA: 20.0Staff Fraud and Abuse (Rev. 04/01/18)GA:21.0Open, Relocate, or Close a Clinic Site (Rev. 01/01/17)
GA - General AdministrationGA:22.0Full Use of Federal Funds (Rev. 04/01/20)GA:23.0Required Outreach to Fathers (04/01/15)GA:24.0Child Sexual Abuse Reporting (03/01/21)GA:25.0The Essentials of Texas WIC Hospitality (05/01/21)IM - ImmunizationsIM:11.0Screening of and Referral for Immunizations (Rev. 07/01/12)NE - Nutrition EducationNE:01.0Standards for Nutrition Education Contacts (Rev. 04/01/20)NE:02.0LA Nutrition Education Coordinator Responsibilities and Duties (Rev. 03/01/14)NE:03.0The Nutrition Education/Breastfeeding Plan (Rev. 08/01/03)NE:04.0Nutrition Education Lessons and Materials (Rev. 03/01/14)OR - OutreachOR:01.0Local Agency Outreach (Rev. 07/01/17)QA - Quality AssuranceQA:01.0Local Agency Self Audit (Rev. 08/01/16)QA:03.0Quality Assurance Monitoring of Local Agencies (06/01/02)TR - TrainingTR:01.0In-Service Orientation to New Local Agencies (06/01/02)TR:02.0Orientation/ Training of Local Agency Directors (06/01/02)TR:03.0Required Local Agency Training / Summary (Rev. 05/01/17)
WV - Vendor OperationsWV:01.0WIC Vendor Agreement/Policy Violations (Rev. 03/1/21)WV:01.1WIC Farmers’ Market Agreement/Policy Violations (03/01/14)WV:02.0Least Expensive Brand Declaration (Rev. 03/01/21)WV:03.0Participant Access Determination (Rev. 11/01/20)WV:05.0WIC Electronic Benefit Transfer (EBT) Dispute Resolution (Rev. 11/01/20)WV:08.0WIC Vendor Training (Rev. 11/01/20)WV:09.0Vendor In-Store Promotions: Incentive Items, Discounts, Coupons (Rev. 03/01/21)WV:10.0WIC Vendor Authorization (Rev. 03/01/21)WV:11.0Selection of Vendors for Reauthorization for Participation (08/01/16)WV:12.0WIC Vendor EBT System Reimbursement (Rev. 12/01/20)WV:13.0WIC Vendor Right to Administrative Review (12/01/16)WV:13.1Appeal Procedures For WIC Farmers’ Markets/Farmers (12/01/11)
AC – Accounting
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:01.0Local Agency Financial Management SystemsPurposeTo ensure a proper audit trail is maintained, expenditures are reasonableand necessary, and reimbursements are not duplicated.Authority7 CFR Part 246.13; Part 3016 Subpart C 3016.20; Uniform Grant Guidance 2CFR 200PolicyEach local agency (LA) shall maintain a financial management system thatprovides accurate, current and complete disclosure of the financial status ofthe WIC Program. Costs shall be reasonable and necessary for the operationof the WIC Program and expenditure records shall identify the source anduse of funds expended for program activities. Expenditures not recorded inthese accounts shall not be allowable charges to the WIC Program.DefinitionsReasonable costs – A cost is reasonable if under the circumstances a prudentperson would incur the cost. Consideration should be given to the following: Whether the cost provides the program a benefit commensurate withthe cost incurred.Whether the cost is of a type generally recognized as ordinary andnecessary.Sound business practice.Market prices for comparable goods and services.The cost was incurred in accordance with the terms and conditions ofthe contract with HHSC.WIC Policy and Procedures Manual1
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:01.0Necessary Costs – Costs incurred to carry out essential program functionsand cannot be avoided without adversely impacting program operations.ProceduresI.Each LA shall maintain a separate, self-balancing set of accounts for theWIC Program.II.Costs shall be reasonable and necessary for the operation of the WICProgram.III. Monthly claim for reimbursement shall be prepared from this set ofaccounts by means of a State of Texas Purchase Voucher, Form 4116.WIC Policy and Procedures Manual2
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:02.0Reimbursement of Allowable WIC ExpensesPurposeTo ensure that all reimbursement of expenditures are attributed to theproper fiscal year.Authority7 CFR Part 246.16, 246.17 and Part 3016.41; State WIC Local AgencyContractPolicyOn a monthly basis, each local agency (LA) shall be reimbursed for actualallowable WIC expenses. Outstanding obligations shall be submitted within30 days following the last day of the federal fiscal year so that fundsapplicable to the proper period may be encumbered.ProceduresI.Each LA shall request reimbursement for actual allowable expenditureson a monthly basis. LA may bill either on cash basis or accrual basisprovided the method is consistently used throughout the contractperiod. Contractors that use cash basis accounting must makeadjustments to the final billing and financial reporting submitted to theSA so that expenses/costs are presented on an accrual basis.a. Cash basis expenditures must be paid by the LA beforereimbursement can be requested.b. Accrual basis expenditures must be paid prior to requestingreimbursement when possible but no later than the 10th day afterreceipt of payment from the SA.II.For the last month of the federal fiscal year (September), the LA shallrequest its regular monthly reimbursement via a State of TexasPurchase Voucher, Form 4116. In addition, the LA shall maintain a list ofWIC Policy and Procedures Manual1
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:02.0all outstanding obligations 30 days following the last day of the federalfiscal year. These shall represent items of expense that have beenencumbered but not yet billed to the SA as of September 30th.III. As the obligations above are liquidated; the LA shall submitsupplemental billings requesting reimbursement.IV. All obligations shall be liquidated as per state contract timeframes tomeet the deadlines for federal fiscal year close-out imposed by USDA.V.Requests for reimbursement submitted over the contract timeframesshall not be processed. Exceptions shall be considered on a case-bycase basis for extenuating circumstances such as a catastrophic event,natural disaster, or criminal activity that substantially interferes withnormal business operations or causes damage or destruction of theplace of business and/or records. A written statement describing theextenuating circumstance and the late request for reimbursement shallbe submitted for review and approval to the WIC program.WIC Policy and Procedures Manual2
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:03.0Plan to Allocate Direct CostsPurposeTo provide a formal mechanism for the state agency (SA) to review andacknowledge cost categories, allocation methods, and supportivedocumentation necessary for costs to be reimbursed under the WIC contractattachment.Authority7 CFR Part 3016; Uniform Grants Guidance, 2 CFR 200PolicyA local agency (LA) shall submit a written annual Plan to Allocate DirectCosts (PADC) to the SA for all direct charges allocated to the WIC Program.ProceduresI.The plan shall be submitted to the SA by June 15th each year for thecoming contract year. The plan shall be submitted electronically toWICPADC@hhsc.state.tx.us. A sample form can be found 4.5.plan shall include but is not limited to the following:specific cost categories that shall be allocated;the method or base used to allocate each specific cost;the rate or percentage developed for each specific cost; anda description of the documentation supporting the allocation.Follow the reference template: Sample PADC form located on thewebsite under Financials: ortals/wic-providers/wic-financialWIC Policy and Procedures Manual1
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:03.0III.The SA shall send an electronic acknowledgement receipt of the planto allocate direct costs.IV.The LA shall submit amendments to the plan as changes occur.V.The SA shall disallow requests for reimbursement of costs not includedon the PADC.VI.A copy of the accepted PADC shall be available at the LA for purposesof an audit or fiscal monitoring review.VII.Cost Categories shall be grouped in the following manner:A.Personnel - Each payroll classification and the number of full timeequivalents (FTEs) to be allocated to WIC shall be listed by titleseparately. (Refer to policy AC:04.0 and GA:14.0)B.Fringe Benefits - List all fringe benefits paid by the parent agencyin behalf of the WIC staff. List actual rates or cost to be chargedfor each benefit. (Refer to policy AC:04.0)C.Travel – Any in-state and out-of-state travel on behalf of the WICProgram or Local Agency. Travel includes but not limited to: perdiem, vehicle rentals and/or mileage reimbursement. If the LA hasno official written policy, the current State travel rates andregulations shall be utilized. (Refer to policy AC:05.0)D.Equipment - an article of nonexpendable, tangible personalproperty having a useful lifetime of more than one year, and anacquisition cost of 5000 per unit or more. (Refer to policyAC:07.0)E.Supplies – Includes but not limited to expendable medicalsupplies, office supplies, postage and shipping expenses necessaryto administer all phases of the WIC Program. (Refer to policyAC:14.0)WIC Policy and Procedures Manual2
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:03.0F.Contractual- Includes Professional Contracts requiring thecontractor be either certified, registered or otherwise authorizedunder state law to provide the specified service(s). Professionalservices include but are not limited to services provided byregistered dietitians, nutrition consultants, breastfeedingconsultants, nurses or doctors on contract basis, engineers,architects and certified public accountants. (Refer to policyAC:16.0)G.Other – any other WIC allowable expense not listed above. Thiscategory covers a variety of costs and therefore each specific costto be billed shall be identified on the PADC and shall include theallocation method and the supporting documentation for eachspecific expense.1.Outreach - refers only to materials and resources not includedin in any other categories. Personnel compensation and travelcosts associated with outreach shall be reported and identifiedunder the appropriate categories. (Refer to policy AC:09.0)2.Non-Professional Services – includes but not limited tojanitorial, security, lawn maintenance, or other services notdeemed as Professional Services category. (Refer to policyAC:15.0)3.Communication and utilities - are charged for different sites,each site shall be listed separately. Allocation of utilities isbased on a building floor plan. (Refer to policy AC:10.0)4.Building and facilities space - rental costs shall be allocatedfor each site shall be identified separately and supported byindividual floor plans. (Refer to policy AC:12.0)5.Other Costs – any other allowable expense not listedpreviously in any other category.WIC Policy and Procedures Manual3
Texas WICHealth and Human Services CommissionEffective April 1, 2019Policy No. AC:04.0Allowable Costs – Personnel Compensation and BenefitsPurposeTo allow local agencies (LAs) to pay salaries and benefits of necessary andreasonable staff to administer all phases of the WIC Program.Authority7 CFR Part 3016; Uniform Grant Guidance 2 CFR 200PolicyLAs may request reimbursement for the cost of personnel compensation andbenefits that are reasonable for the services rendered and may be directlyallocated to the WIC Program.ProceduresI.Direct personnel costs and benefits charged shall be supported bydocumentation including time sheets, attendance records, payrollrecords, proof of payment, remittance advises, and insurance policies.A.B.C.D.E.The time sheets shall clearly identify by date the number of hoursworked for WIC as well as any other programs. The time sheetsshall account for 100% of the individual’s time.The dat
AllowableCosts - Laboratory Coats & Employee Uniforms UnallowableCosts(Rev.04/01/19) MonthlyReimbursement Maximum (Rev. 04/01/19) MonthlyReimbursement Maximum - Start-Up Costs (Rev. 04/01/19) Advance Cash Payments(Rev.04/01/19) Surplus Funds(Rev.04/01/19) Financial Report
