i
                        i
                        i
                        .;8!1!@ I
                        ;  *
                                 @ III,.!!#










                                        MANAGE14ENT SURVEY



                                             PURPOSE


            A Management Survey of the administrative procedures of a  Regional
            Medical Program And its grantee is intended to be a constructive  and
            protective service to Management.  Hopefully, the Survey team will be
            able to identify areas which could be strengthened and offer recommen-
            dations for this purpose. We expect that through this  in-house  type
            of review that problem areas, if they exist, can be corrected  before
            being brought to light by some outside group. It is  also  expected
            that such a review can serve to assure the Region that it is
            essentially free of administrative problems.
            The survey is not limited to the Core offices but is extended to  a
            review of the management systems of the grantee institution and  its
            service to the Regional Medical Program.  To the extent feasible this
            will follow the DHEW "Program for Improving the Quality of  Grantee
            Management."

            There follows a brief narrative description of how the team will  be
            formed and how it will operate.  Areas to be reviewed by use of a
            fairly lengthy and involved Survey Guide are also briefly  described
            in the ensuing paragraphs.

                                        TEAM COMPOSITION

            The team will consist of one RWS member of the Management  Survey
            Section who will act as team captain, a Grants Management Officer
            from RMPS or the DHEW Regional Office, and one other  administrative
            person-who has particular ability in conducting administrative
            management reviews.

                                            PROCEDURE


            Each team member will be designated certain administrative areas  to
            review.  The team will not become involved in the professional appraisa
            of projects. During the review, findings will be discussed  each  day
            with the Coordinator.  Following approximately three days of in-depth
            review of those areas described below, the team members will  fully
            discuss the findings with the Coordinator. A written report  of  the
            findings and recommendations will be mailed to the Coordinator  and
            Grantee.








            Page 2                      MANAGEMENT SURVEY

                                      AREAS TO BE REVIEWED


            Committee Structure

            The composition and function of the Regional Advisory Group will be
            examined.  Committee activities will Also be reviewed to determine if
            they understand their missions, how well they coordinate relevant
            activities with other committees,and how effective they are. Core  staff
            input in terms of providing information to committees will also  be
            considered.


            Organization

            In.this area the staffing pattern and organizational structure of the
            Region'will be reviewed. In addition the adequacy and  effectiveness  of
            personnel policies will be considered.  The team will ascertain the
            degree to which employees understand the policies and their own
            responsibility and relationship to related elements of the RMP.
            A review will also be made of office procedures relating to time and
            leave records, payroll procedures, and internal communication.

            Staff Participation in Project Development

            Although the team will not make any judgment on the professional aspects
            of projects, it will inquire into the staff assistance provided  in
            project development, review, and supervision. The team  member  covering
            this area will be interested in the Region's data collection and evaluation'.
            guidelines available to project authors and reviewers, and staff participa-
            tion in developing realistic project budgets.

            Financial Management

            Nd effort will be made to conduct a deep financial audit.  The Survey
            team instead will be concerned with what fiscal controls have  been
            established, policies relating to disbursements, and fiscal reports
            required of the Affiliates.  A review will also be made of documentation
            required of affiliates to support payment And what written  instructions
            Are available to them.


            Purchasing and Equipment

            A review will be made of the purchasing policies and of the controls
            established to assure that they ate followed.  In the area of equipment,
            the team will be concerned with inventory records, accountability for
            equipment, maintenance of it, and what provisions are made for  its
            eventual disposal.









           Page 3                      MANAGEMENT SURVEY

           L6kal Responsibilities

           The Affiliation Agreement, Articles of Incorporation, and any written
           documents between the RMP or grantee and affiliates will be examined,
           within the limitations of the teAm, to determine i  t e RNP  s
           adequately protected.