overview of child welfare and fiscal · 2017. 1. 6. · the pennsylvania child welfare resource...

The Pennsylvania Child Welfare Resource Center University of Pittsburgh, School of Social Work

403 East Winding Hill Road Mechanicsburg, PA 17055

Phone (717) 795-9048 Fax (717) 795-8013

411:

Overview of Child Welfare and Fiscal

A Standard Curriculum

Revised by Gloria Gilligan for The Pennsylvania Child Welfare

Resource Center

University of Pittsburgh School of Social Work

Pittsburgh, PA

Written June 2005 Revised March 2012

Acknowledgements: The Pennsylvania Child Welfare Resource Center would like to thank the contributors to this curriculum, as well as those too numerous to mention, for their assistance in the development of the workshop 411: Overview of Child Welfare and Fiscal.

Kay Achenback Northampton County

Children and Youth Services

Claudia Conrad Huntingdon County Children and Youth Services

Cliff Crowe Division of County Programs, Office of Children, Youth & Families

Doris Crowe Bureau of Financial Reporting

Carl Divincenzo Division of County Programs, Office of Children Youth and Families

Frank Didomizio Montgomery County Office of Children and Youth

Michelle Dotts Clearfield County Children and Youth Services

Sandra Flanders Westmoreland County Children’s Bureau

Kelly Gilligan Forest County Children and Youth Services

Nadine Grim Adams County Children and Youth Services

Sharon Hahn Somerset County Children and Youth Services

Trudy Hewitt Snyder County Children and Youth Services

Leslie Hoye Mifflin County Children and Youth Services

Mary Krestar Cambria County Children and Youth Services

Patrick Kutzler Philadelphia Department of Human Services

Ralph Lee Jr. Crawford County Children and Youth Services

Adrian Maillet Monroe County Children and Youth Services

Cynthia Manuel Bureau of Budget and Program Support, Office of Children, Youth and Families

Tony Mayo Beaver County Children and Youth Services

Barbara Robbins Pennsylvania Children and Youth Administrators

Cindy Scott Chester County Department of Children, Youth and Families

Robin Simpson Huntingdon County Children’s Services

Jean Snyder Fulton County Services for Children

Christina Weber Office of Children, Youth and Families, Division of Policy, Planning & Program Development

Rose Weir Snyder County Children and Youth Services

Larry Weitzel Montgomery County Office of Children and Youth

Ken Zahora Susquehanna County Services for Children and Youth

Copyright © 2012, The University of Pittsburgh

This material is copyrighted by The University of Pittsburgh. It may be used freely for training and other educational purposes by public child welfare agencies and other not-for-profit child welfare agencies that properly attribute all material use to The University

of Pittsburgh. No sale, use for training for fees or any other commercial use of this material in whole or in part is permitted without the express written permission of The

Pennsylvania Child Welfare Resource Center of the School of Social Work at The University of Pittsburgh. Please contact the Resource Center at (717) 795-9048 for

further information or permissions.

Agenda for a One-Day Workshop on 411: Overview of Child Welfare and Fiscal

Estimated Time Content Page

15 minutes

Section I:

Introduction

1

1 hour, 45 minutes

Section II:

Overview of the Child Welfare System and Laws

5

1 hour

Section III:

Services to Protect the Safety, Permanency and Well-Being of

Children

16

1 hour, 15 minutes

Section IV:

The Fiscal Process

21

1 hour, 15 minutes

Section V:

Child Welfare Fiscal Cycle

27

30 minutes

Section VI:

Evaluation and Closing

32

411: Overview of Child Welfare and Fiscal

The Pennsylvania Child Welfare Resource Center 411: Overview of Child Welfare and Fiscal Page 1 of 38

Section I: Introduction Estimated Length of Time: 15 minutes Learning Objectives: Participants will be able to: Identify the competencies and key concepts covered in this workshop.

Method of Presentation: Lecture, individual activity Materials Needed: Flipchart Paper Flipchart Paper Prepared in Two-Inch Strips (Enough for Participants) Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Name Tents 411: Overview of Child Welfare and Fiscal Participant Resources CD Handout #1: PowerPoint Presentation Handout #2: Agenda and Learning Objectives Handout #3: Questions to Answer PowerPoint Slide #1: 411: Overview of Child Welfare and Fiscal PowerPoint Slide #2: Agenda PowerPoint Slide #3: Learning Objectives PowerPoint Slide #4: Questions to Answer…


Section I: Introduction Pre-Training Preparation: This training makes use of a PowerPoint presentation instead of overhead transparencies. In the actual PowerPoint presentation, you will notice that there is an arrow at the bottom right-hand corner of some of the slides. This arrow is a reminder that there is/are an additional slide(s), as there are several instances when there was too much material to fit on one slide. Ensure that PowerPoint Slide #1 (411: Overview of Child Welfare and Fiscal) is displayed prior to participants’ arrival. Ahead of time, you will have to create certain posters such as the “What’s In It for Me?” and the “Parking Lot”. Please prepare and post these and any other necessary posters before your training starts. In addition, prepare the training room by placing name tents, Handout #1 (PowerPoint Handout), Handout #2 (Agenda and Learning Objectives), Handout #3 (Questions to Answer), and markers on each table. Prepare 2-inch strips of flipchart paper, enough for each participant, and strips of masking tape. Place the strips of paper and masking tape on the participant tables. In addition, prepare flipcharts with the titles:

• What’s In It for Me? (WIIFM), Parking Lot, and Years of Experience for introductions in Section I;

• “What is Child Welfare?” for use in Section II; • “Kali,” ”Angela,“ “Jade,” “Steven,” “Martha,” and “Doug” for use in Section III;

and • “Federal Guidance,” “State Guidance” and “County Guidance.” Display these

flipcharts close to one another. In advance of the start of the training prepare tape doughnuts or lengths of tape to be used in Section VI – where you will evaluate what trainees retained from the training.

The Resource Center’s “Ground Rules” poster should be provided in each of the Resource Center -leased training labs. Please check with your region’s Resource Center Training Specialist to see whether this item is posted. If it is not, please ask the Training Specialist to send it to you. Trainer Note: As some of the documents provided on the resources CD change more

frequently than curriculum review intervals, please ensure that you reference the most recent copies of the items on the disc and inform the Resource Center of any necessary changes in documentation.

Display on the resource table/discuss where appropriate any resources that either assists participants during or outside the training, feel free to offer those resources as part of a resource table. Five copies of the participant resources CD titled, 411: Overview of Child Welfare and Fiscal Participant Resources CD, should have been


provided for your resource table (in addition to any other resources you believe to be applicable to the content), the compact disc contains the following items:

• CDItem01_31400406ChldWlfrTANFSrvcsPlcsAndPrcdrsMnl • CDItem02_31409706TmprryAssstncForNdyFmlsTANFPrcdrs • CDItem03_Act148Blltn31401102 • CDItem04_55PaCdChptr3700 • CDItem05_PrmnntLglCstdnPlcy • CDItem06_RchrdGldCvrLttBdgtAmndmnt • CDItem07_31401001BdgtAmndmnt • CDItem08_31401201TtlIVEInvcngMnl • CDItem09_SftyAssssmntAndMngmntPrcssRfrncMnl

None of the items on the CD are to be covered in any degree of depth. They were identified by a group of county and state fiscal content experts simply as items that would likely be of use to participants if they were interested in seeing them at a later point. In addition, as one can see based on the short list of items (and given the fact that this training is an overview of child welfare and fiscal) the items offered on the CD are not exhaustive. Again, feel free to offer other resources on the resource table to compliment the items on the CD. Times will exist when the training will be delivered to more or fewer than 30 participants. The curriculum is designed for delivery to around 30 participants. In instances where participant numbers vary in extremes, you will have to facilitate the content differently. For instance, if fewer than 30 participants are in the training, more discussion time should be allowed. Alternatively, if more than 30 participants are in the training, the delivery methods will have to be changed to offer fewer activities and more lecture and question-and-answer time. Step 1: Welcome and Introductions As participants arrive, welcome participants to the training and introduce yourself. Ask participants to complete a name tent with their name and county. Review the Resource Center housekeeping rules, (e.g., bathroom location, location(s) of places to eat/get refreshments, the sign-in sheet, 15-Minute Rule, and evaluations). Introduce the What’s In It for Me? and the Parking Lot. Offer the purposes of each and revisit them throughout the training as needed. Step 2: Participant Introductions Instruct participants to introduce themselves by asking them to offer their name, county, their title at the agency, and the number of years experience they have in child welfare/fiscal. Record each participant’s years/months/days of experience on the Years


of Experience flipchart. Ask each participant to verbalize his or her learning expectation. Do this for all remaining participants. When all participants introduced themselves, tally the total number of years of experience. Offer the years of experience you have in child welfare. Tell participants that they, as a collective, have more years of experience than you and that your role is that of facilitator. Tell the group that you will rely heavily on the participants’ experience as well as your own and the information that the curriculum offers. Step 3: Distribute and Review Handouts Referring participants to Handout #1 (PowerPoint Presentation), tell participants that this is the handout associated with the presentation shown throughout the day. Ask participants to locate Handout #2 (Agenda and Learning Objectives). Review agenda, learning objectives and timetable using PowerPoint Slide #2 (Agenda) and Slide #3 (Learning Objectives). Using PowerPoint Slide #4 (Questions to Answer), ask the group to refer to Handout #3 (Questions to Answer) and explain that you plan to answer these questions throughout the day. Encourage participants to record their answers to the questions during the session on Handout #3 (Questions to Answer). Explain that this training offers a general overview of the child welfare system and its related fiscal functions. While the specific job duties of participants may or may not encompass all parts of the training, it is important for them to be aware of the entire system due to the interdependence of their function; all of which help to ensure the overall outcome of the agency – safety, permanency, and well-being for children in a timely manner.



Section II: Overview of the Child Welfare System and Laws Estimated Length of Time: 1 hour, 45 minutes Learning Objectives: Participants will be able to: Identify key laws and regulations that pertain to county child welfare fiscal

professionals. Identify the role and function of county child welfare fiscal professionals. Identify supports available to county child welfare fiscal professionals.

Method of Presentation: Lecture and large group discussion Materials Needed: Flipchart Paper Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Trainer-Prepared Flipchart: “What is Child Welfare?” Handout #1: PowerPoint Presentation (revisited) Handout #4: Purpose of Child Welfare Services Handout #5: The Adoption and Safe Families Act Handout #6: The Child Protective Services Law Handout #7: The Juvenile Act Handout #8: Public Welfare Regulations Title 55 Pa Code Handout #9: The Casework Process Handout #10: Basic Health Information Form Handout #11: Case Scenario Handout #12: Social Security Act, Title IV PowerPoint Slide #5: What is Child Welfare??? PowerPoint Slide #6: Federal Structure PowerPoint Slide #7: What is ASFA? PowerPoint Slide #8: Structure of Child Welfare PowerPoint Slide #9: State Structure PowerPoint Slide #10-11: State Child Welfare-Related Legislation PowerPoint Slide #12-13: Public Welfare Regulations PowerPoint Slide #14: The Casework Process PowerPoint Slide #15: Case Scenario PowerPoint Slide #16: Social Security Act, Title IV PowerPoint Slide #17: Public Welfare Regulations PowerPoint Slide #18: County Structure


Section II: Overview of the Child Welfare System and Laws Step 1: Large Group Discussion Display PowerPoint Slide #5 (What is Child Welfare???) and conduct a large group discussion, encouraging participants to identify their current perspectives of the Child Welfare System and its responsibilities. Record all comments on flipchart paper. Process out the views with the group, emphasizing those that meet the child welfare purpose of ensuring the safety, permanency and well-being of children. Then distribute Handout #4 (Purpose of Child Welfare Services) and introduce the definition, responsibilities, and legal rights of Child Welfare Services. Using PowerPoint Slide #6 (Federal Structure), explain the Federal Government agency, Department of Health and Human Services (HHS), and how HHS possesses the ultimate authority for the child welfare system through the provisions of the Social Security Act. Also, introduce the Administration of Children & Families (ACF) as well as the Children’s Bureau (CB). Afterward introduce the federal law, the Adoption and Safe Families Act of 1997 (ASFA), using PowerPoint Slide #7 (What is ASFA?) and Handout #5 (The Adoption and Safe Families Act) and discuss the impact of ASFA on the child welfare system. Explain that ASFA places the focus of child welfare services on the safety, permanency, and well-being of children and sets specific time-lines and measures for the child welfare system. Using PowerPoint Slide #8 (Structure of Child Welfare), explain that the responsibility of administering the Child Welfare System passes from HHS to the State Agency (the Department of Public Welfare) through the provisions in the Social Security Act and ASFA. Trainer Note: Ensure that you note that Federal law mandates child welfare services

be available in every state. Also, note that Pennsylvania is unique in that it has a state-run / county-administered structure. The Public Welfare Code, Act of 1967, P.L. 31, No. 21, Article VII, Children and Youth, (a) is what gives the counties the ability to run their own child welfare agencies with the State overseeing them.

Display PowerPoint Slide #9 (State Structure) and explain the functions of the various agencies. Introduce the Child Protective Services Law (CPSL) using Handout #6 (The Child Protective Services Law) and PowerPoint Slide #10 (State Child Welfare – Related Legislation (CPSL)) and explain the importance and relevance of the CPSL to the child welfare system making sure to include the following:


• Establishes a program of protective services in each county, provides for mandated reporting of suspected child abuse, and sets the parameters for the investigation of reports of suspected child abuse as well as reports of children in need of general protective services.

Introduce the Juvenile Act using Handout #7 (The Juvenile Act) and PowerPoint Slide #11 (State Child Welfare – Related Legislation (Juvenile Act)) and explain the importance and relevance of the Juvenile Act to the child welfare system making sure to include the following:

• Establishes procedures for initiating court action for dependent and delinquent children by County Child Welfare Agencies and Juvenile Probation Offices. The Juvenile Act defines child, delinquency, and dependency.

Emphasize that, while protecting children from abuse and neglect is the primary purpose of a child welfare agency, maintaining family connections and keeping children in their homes, whenever possible, remains paramount. Also, note that while Title IV of the Social Security Act offers overarching Federal guidelines and descriptions for the purpose of and operations concerning child welfare, it is both the Pennsylvania Child Protective Services Law as well as the Commonwealth’s Juvenile Act that truly dictates the day-to-day responsibilities and operations associated with Pennsylvania’s child welfare agencies. The state laws, Child Protective Services Law, and the Juvenile Act serve as the State’s instructions to counties to implement the goals, focus, and timelines set forth by Federal Law (primarily ASFA). These state laws dictate such areas as whom child welfare agencies serve and how agency representatives must serve the individuals set forth in law. Trainer Note: You may wish to note other applicable laws such as the Adoption Act,

Fostering Connections to Success and Increasing Adoptions Act, as well as the Pennsylvania Adoption Opportunities Act as they assist in offering counties instructions to implement goals and create timelines.

Refer to the regulations, Commonwealth of Pennsylvania, Pennsylvania Code, Title 55. Public Welfare using PowerPoint Slides #12-13 (Public Welfare Regulations) and Handout #8 (Public Welfare Regulations Title 55 Pa Code). Explain that these regulations describe implementation of the state laws. The chapters on the handout reveal major areas covered by these regulations by title and offer a brief example of each regulation. Step 2: Lecture Distribute Handout #9 (The Casework Process) and introduce the casework process/case flow explaining how the agency flow of work also follows the casework process. Display PowerPoint Slide #14 (The Casework Process) during the discussion.


Trainer Note: Ensure that you do not minimize the complexities of casework practice as you discuss the casework process. Make sure that you relate the casework process to Fiscal duties. Also, ensure that you tie as much of the following information back to the county and region in which you are conducting the training. It may be a good idea to contact the fiscal officer of the county in which you are going to train in order to get a better idea of how processes (Program and Fiscal) work within the given agency. As you offer the following content, ensure that you offer examples of expenses that Fiscal processes including services such as sexual abuse exams, medical consultations, obtaining appropriate court order language for potential Federal funding, etc.

Initial Referral: During this phase, the agency receives reports of abuse or neglect from the community and conducts investigations to assess the safety and risk of all children in the home. The County Children and Youth Agency (CCYA) receives referrals in two ways – directly to the agency or through ChildLine. The CCYA is responsible for investigating suspected child abuse and neglect, assessing the need for general protective services (GPS), as well as for providing services to children and families to prevent harm to children. The Child Protective Services Law (CPSL) (23 Pa. C.S., Chapter 63) includes the parameters for investigation of reports of suspected child abuse as well as reports of children in need of general protective services. Regulation classifies referrals received that allege physical, sexual, or mental abuse, imminent risk of physical or sexual abuse and serious physical neglect of a child as Child Protective Service (CPS) cases. The majority of reports that come to the attention of the county agency involve non-serious injury or neglect. Regulation classifies these cases as GPS cases. GPS cases may include allegations of inadequate shelter, truancy, inappropriate discipline, hygiene issues, abandonment, or other problems that threaten a child’s opportunity for healthy growth and development. Regardless of the type of referral, the CCYA assesses and ensures the child’s safety. Caseworkers use the “present danger” standard to create a “safety tag” which guides response times. In a CPS investigation, the CCYA has 24 hours to begin its investigation and see the child. If agency representatives cannot determine from the report that the child is safe, representatives must begin the investigation and immediately see the child. Tell participants that, while situations involving child abuse are investigated under CPS law, situations involving allegations of general neglect are assessed, not investigated. In GPS assessments, the agency representatives must adhere to the GPS response times established by the Department.


Assessment/Investigation: During the assessment period, the caseworker visits the family’s home. Visits may be unannounced or announced and occur as often as necessary to complete the assessment and to ensure the safety of the children. Additionally, agency representatives ensure the provision of services or arrange to ensure the safety of the children during the assessment period. The CCYA may petition the court if the family refuses to cooperate. Regardless of the type of investigation, the CCYA must complete the Safety Assessment and Management (which consists of four phases: Safety Assessment, Safety Analysis, Safety Decision, Safety Plan and Management) and Risk Assessment processes. The information gathered and the conclusions drawn through both processes become the basis for the safety plan. Risk Assessments determine if the child is at future risk of maltreatment. During this phase, the focus of the Safety Assessment and Management Process is on maintaining child safety while gathering additional information to analyze safety threats. When safety threats are identified, caseworkers conduct a Safety Analysis to determine if protective capacities exist within the family to control the threats. If so, the child is safe and no plan is needed. If protective capacities do not exist or are not sufficient to control the threats, then a safety plan is needed. The Safety Plan includes all safety interventions necessary to control the safety threats (e.g., visitation between child and caregivers of origin and supervision during visitation). If individuals in the home cannot maintain the child’s safety with a safety plan, the local CCYA may petition the court for placement of the child. Within 60 calendar days, the caseworker completes the Safety and Risk assessments to determine if he or she plans to accept the family for services, refer the family to a community agency for services, or to close the case. Caseworkers typically complete the investigation within 30 days and submit the results to ChildLine. If agency representatives cannot complete the investigation within 30 days, the CCYA must document the reasons and complete the investigation within 60 days. Ask participants if they can think of reasons why an investigation might not be completed within 30 days. Only two of many possible reasons could include:

• The caseworker had difficulty conducting interviews with all involved parties based on schedules or unwillingness of persons to be interviewed; and,

• The caseworker is awaiting medical reports to help in determining if the injury was likely caused by abuse.

Then ask participants if they can think of reasons why a caseworker could determine that physical or sexual abuse happened but then decide to close the case at the Intake level. Reasons could include:


• The abuser no longer has access to the child, as the perpetrator of the abuse is in prison or the non-offending parent believes the child and is going to protect the child from the perpetrator of the abuse; or,

• The abuse could have happened years ago, the abuser is no longer a household member, and the family has a comprehensive plan in place to protect the child from future abuse.

Status Determination: An In-Home Safety Assessment worksheet must be completed at the conclusion of the assessment/investigation for every child in the family to identify the presence of present and impending safety threats in addition to protective capacities that could offset those threats. Protective capacities are specific and explicit strengths that manage and control safety threats. Furthermore, Safety Assessments are completed as part of every contact, regardless of where the child resides. Safety Plans are developed for the following in-home safety decisions: Safe with a Comprehensive Safety Plan and Unsafe. Accepted for Services/Service Planning, Delivery and Monitoring: Regulation requires that the Safety Assessment and Management Process continue during this phase. When agency representatives accept a case for In-Home services, the caseworker must continue to manage safety plans, complete a Basic Health Information form (CY-980), and develop a Family Service Plan (FSP) that addresses the risks and problems that identified during the intake/investigation phase. The caseworker must include family members and service providers in the development of the FSP. This document outlines the nature of the problems as well as the goals, objectives, and actions that case participants must take to lower or eliminate the risk of abuse or neglect to the child in order for the agency to close the family’s case. This is an integral part of the casework process because it sets a direction for the case and establishes the service that the agency offers through providers. This could be the point at which the caseworker obtains the family’s financial information. Ensure that you note to participants -- regarding service planning -- that, they must use candidacy language in the FSP or within a court document to allow the children who are in non-placement settings to be eligible for the administrative claim pool. Specific candidacy language required by the Federal government includes three things: • A statement that the child is at “imminent risk” of removal from the home;

• A statement that “absent preventive services provided for in this (Family Service Plan or Rules of Probation), “foster care” is the planned placement for the child” (this is the federal definition of foster care which is much broader than what we refer to as foster care); and

• Each child at imminent risk of placement must be specifically named on the plan.


Regulations require the caseworker and supervisor to conduct a formal written review of the FSP a minimum of once every 6 months with the family. The FSP must be updated a minimum of every 6 months to allow federal administrative claims to be made on children receiving in-home services. Distribute Handout #10 (Basic Health Information Form). Tell participants that the Basic Health Information form must be completed at least annually. It is important to know that the agency may initiate court action during any phase of the casework process if it becomes necessary to assume custody of a child for the protection of the child. Fiscal staff will begin to receive bills from service providers once a caseworker develops an FSP and initiates services. Fiscal will process many expenses from service providers and assess which funding streams they may use to pursue reimbursement for expenses that arise once a caseworker develops an FSP and initiates services. Trainer Note: Examples of Fiscal involvement in this process include expenses for

Family Group Planning/Decision Making (grant), homemaker, family preservation, etc. These expenses may occur because of either in-home or contracted services.

If a child is considered unsafe through the In-Home Safety Assessment, CCYAs are required to formally place children temporarily in out of home care. The child’s safety continues to be assessed at the onset of placement and at regular intervals. CCYAs are required to complete a Child Permanency Plan (CPP) within 30 days of placement. Caseworkers must visit families and children at least monthly and must make visits more frequently if the risk of abuse or neglect is higher. During service delivery, other service providers may work with the family and visit the family’s home. When courts become involved, hearings are held a minimum of every 6 months to review the case. The Department encourages counties to start reviewing every child in placement at a minimum of every 3 months as a way to move children into permanent living situations more quickly. This is neither a fiscal nor, at this point, a regulatory requirement. ASFA encourages states to make reasonable efforts to place a child for adoption or with a legal guardian while at the same time making reasonable efforts to preserve and reunify families. Because of this, in order to facilitate continued Title IV-E reimbursement, certain language stemming from ASFA (specifically, Reasonable Efforts to finalize the permanency plan) is required in court orders for 6-month reviews. To assist in maximizing state reimbursement, Fiscal must make sure to match a description of the placement from the service provider’s contract to an appropriate major service category and cost center. This process of planning for, securing, and monitoring services involves Fiscal in many ways including:

• Caseworker salaries;


• Title IV-E determinations (in which Fiscal interacts with County Assistance Office(CAO));

• Kinship care;

• Emergency caregiver;

• Seeking of Title IV-D support (interaction with the Domestic Relations Office (DRO));

• Contact with the Social Security Office (in which the CCYA might seek to be representative payee);

• Initiating Medicaid Coverage;

• Expenses for placement (agency foster care and purchased placements via contracts and associated expenses (clothing, etc.); and

• Fiscal reporting such as Adoption and Foster Care Analysis and Reporting System (AFCARS), etc.

While the case is receiving ongoing services, the family may be referred to new purchased in-home services or placement services. If at any point the caseworker wishes to change services or providers, the caseworker must follow county specific policies/procedures to notify Fiscal. Case-Closing or Other “Permanency” Outcomes: Caseworkers and Supervisors evaluate and assess the progress of families while cases remain open for services. Various outcomes to a case exist. Case teams decide to close cases/reunify because the family cooperates with services that ultimately achieve the FSP/CPP goals and objectives and can assure the child’s safety. The agency may decide to file petitions to terminate parental rights so partner agencies may consider the child for adoption. In such a case, Fiscal would have to consider Adoption Service expenditures. Other permanency options could include placing children permanently with kin (i.e., Subsidized Permanent Legal Custodianship (SPLC)). Trainer Note: The Termination of Parental Rights (TPR) affects receiving Title IV-D

support, changes how Fiscal handle some expenses; and, when individuals adopt children, involves CY-61A determinations for either federal or state adoption assistance. Make sure to point out that there is a difference between casework case closure and fiscal case closure. While a caseworker may close a case, Fiscal might still provide payments based on adoption assistance or SPLC.

Some children, who remain in the system until their 18th birthday or beyond, eventually “age-out” of their placements. The State tracks whether these youth have income, housing, and important adult connections when they leave care. During the case-closing phase, caseworkers try to prepare families and youth for termination of services and empower families to use other community resources.


CCYA representatives, at all levels, play an integral role in protecting the lives of children in the Commonwealth by providing the services necessary to ensure the safety, permanency, and well-being of children. Equally important in the process is the Pennsylvania Department of Public Welfare (Department). The casework process, such as the intake investigation, court-hearing timeliness, development of the FSP/CPP, and the Safety Plan each have set timelines for completion. The CPSL and the Juvenile Act (as amended by ASFA) spells out these timelines. The Department is responsible for ensuring the availability and provision of public child welfare services, providing oversight and technical assistance to each CCYA, and establishing and enforcing policy and regulation that supports the achievement of Child Welfare goals and outcomes. The Federal Government vests this authority in the Department through Articles VII, IX, and X of the Public Welfare Code (Act of 1967, P.L 31, No. 21). In addition, the Department is responsible for the licensure of public and private child welfare agencies and the investigation of complaints received regarding these agencies. Step 3: Lecture Refer participants to Handout #11 (Case Scenario) and PowerPoint Slide #15 (Case Scenario). Review the case scenario with the group and reiterate that the Child Protective Services Law (23 Pa.C.S., Chapter 63) and the Juvenile Act (42 Pa.C.S. Sec. 6301 et seq.) mandate the existence and operation of child welfare agency and give them the legal right to take the actions specified in the case scenario. The Social Security Act (the source of the definition of child welfare the group just discussed), primarily delineates the criteria Child welfare agencies must meet to receive reimbursement from Federal funding sources. Trainer Note: The remainder of the content addresses Kali and her family at different

points of the day; therefore, it is important that participants keep Handout #11 (Case Scenario) easily accessible.

Step 4: Lecture and Large Group Discussion Referring back to Handout #9 (The Casework Process), address the simultaneous Fiscal process that occurs as the casework process begins/continues. Explain that some of the services provided to Kali and her family may be eligible for Federal funding. Using Handout #12 (Social Security Act, Title IV) and PowerPoint Slide #16 (Social Security Act, Title IV), explain the parts of the Social Security Act as follows:

• Part A – Provision of TANF funding, formerly referred to as Title IV-A

• Part B – Provision of block grants to States referred to as Title IV-B

• Part D – Provision to collect parental support for children in care referred to as Title IV-D

• Part E – Provisions of Tile IV-E entitlements


• Sub Chapter XX – Provision of block grant known as Title XX Tell participants that each of these sources has very specific restrictions on the services for which Fiscal may use funding. Various sections of the Social Security Act Title IV detail these restrictions. An example of Federal funding that may be available includes using Title IV-E Placement Maintenance funding to fund part of the cost of the foster care expenses stemming from the placement of Kali and her sisters – if the girls are determined to be eligible/reimbursable and their placement settings are eligible for reimbursement. Again using Handout #8 (Public Welfare Regulations Title 55 Pa Code) and PowerPoint Slide #17 (Public Welfare Regulations), explain that the State’s Title 55. Public Welfare Regulations and pertinent statutes describe, in detail, the process of securing any Federal funding for services provided to Kali’s family. Act 148 comes from the Public Welfare Code. Fiscal use these regulations as a daily reference for fiscal operations of the CCYA. Trainer Note: In referring to the various bulletins below as examples, it may be a good

idea to bring the most current bulletins to the training and offer them as resources on a resource table.

Refer to the OCYF bulletins and policy clarifications and explain that the bulletins clarify the regulations in Title 55. Offer examples of current bulletins (the: Title IV-E Invoicing/Policy bulletins, Act 148 Invoicing bulletin, Contract Documentation bulletins, etc.) that provide very specific instructions on eligibility criteria and invoicing procedures. Explain that Chapter 3700 is the regulation that guides the foster home licensing requirements. The foster homes in which the agency placed Kali and her sisters needed to meet these requirements before the agency could place the children in these homes. Make sure to mention ties to IV-E funding (i.e., services being reimbursable through IV-E or ACT 148). Ensure that you mention that unlicensed homes do not qualify for Title IV-E reimbursement or Act 148 reimbursement beyond the initial 60 days of placement. Step 5: Lecture and Large Group Discussion Introduce and explain the county child welfare services structure, using PowerPoint Slide #18 (County Structure). Explain that County policy and procedures describe actual county implementation of the State laws and regulations governing child welfare. Explain the roles of authority, administration, and operations – that, with regard to the roles within the county structure: authority lies with the County Commissioners for child welfare and with the courts for Juvenile Probation Office (JPO); administrative authority lies with the Administrators; Executive Directors, Directors, Managers, and Fiscal Officers; and operations is the direct service portion of an agency.


Tell participants that the roles within a child welfare agency consist of an administrator (authority), support (administration), and direct service (operations). Further, explain that the Administrator / Director / Executive Director also receive direction from their County Commissioners at the county level/Human Services Director and the Office of Children, Youth and Families (OCYF) at the state-level. Within direct service, one finds caseworkers, supervisors, managers, and administrators. Support roles that aid direct service include fiscal, clerical, management information systems positions. The Administrator / Director / Executive Director of the child welfare agency is the authority of the agency itself. Trainer Note: Make sure to emphasize that all of the roles within a child welfare

agency are important and essential to ensuring the safety, permanency, and well-being of children and their families.

Note that, in the case of Kali’s family, each county has its own policies and procedures detailing fiscal functions pertaining to record keeping, invoicing responsibilities, purchasing, and contracting processes – for example, who determines if the child is eligible for services and how someone accomplishes that determination likely varies county-to-county. The reason why functions differ among counties is that county policies, and procedures in Pennsylvania are county-specific. Ask participants which members of their staff gather financial information from the families in order to complete a Title IV-E determination. Highlight differences between the responses. Ask participants for examples of other county policies and procedures, which could vary from county to county. Other examples could include contracting procedures, Notification to Social Security Administration procedures, Accounts Receivable and Accounts Payable (A/R / A/P) procedures. Explain that these are examples of how policies/procedures differ between counties and that practitioners must adhere to their own policies/procedures when they are more restrictive than the State’s procedures. In addition to the notion of county-specific policies and procedures, agencies / departments within the same county tend to have agency / department-specific policies and procedures. Tell participants that, in the case of Kali’s family, the county that works with Kali and her family would have a specific policy concerning who is responsible for obtaining information from and sharing information with the JPO pertaining to Steven.



Section III: Services to Protect the Safety, Permanency, and Well-Being of Children

Estimated Length of Time: 1 hour Learning Objectives: Participants will be able to: Identify key child welfare services available to children, youth and families Using a pre-defined case scenario, offer under which major service category the

services offered to the family in the scenario belong Using a pre-defined case scenario, offer under which cost center the services

offered to the family in the scenario belong Method of Presentation: Lecture, small group activity Materials Needed: Flipchart Paper Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Trainer-Prepared Flipchart: Family Member Names “Kali,” ”Angela,“ “Jade,”

“Steven,” “Martha,” and “Doug” Titles Handout #1: PowerPoint Presentation (revisited) Handout #4: Purpose of Child Welfare Services (revisited) Handout #11: Case Scenario (revisited) Handout #13: Major Service Categories and Cost Centers PowerPoint Slide #19: Major Service Categories PowerPoint Slide #20: In-Home and Intake Services: Cost Centers PowerPoint Slide #21: Community-Based Placement: Cost Centers PowerPoint Slide #22: Institutional Placement: Cost Centers PowerPoint Slide #23: Revenue Sources PowerPoint Slide #24: What services…?


Section III: Services to Protect the Safety, Permanency, and Well-being of Children

Step 1: Lecture Discuss the concept of revenues and expenditures. Tie these concepts to any other appropriate sections of the curriculum. Tell participants that there are two concepts that define children and youth fiscal compared to any other fiscal (accounting). These concepts are major category and cost center coding, and revenue/funding sources used. Introduce PowerPoint Slide #19 (Major Categories) and ask participants to locate Handout #13 (Major Service Categories and Cost Centers) in their packets. Explain the definitions of the major service categories and identify the sources of these definitions as the Title 55, 3140 regulations and the Title 55, Chapter 63 regulations. Show PowerPoint Slide #20 (In-Home and Intake Services: Cost Centers), PowerPoint Slide #21 (Community-Based Placement: Cost Centers), and PowerPoint Slide #22 (Institutional Placement: Cost Centers) and, in conjunction with Handout #13 (Major Service Categories and Cost Centers), provide the definition (Title 55, 3140 regulations) of each and give examples. Ensure that you point out which of the cost centers agencies offer for both dependent and delinquent children and which cost centers agencies provide only to dependent children. Using PowerPoint Slide #23 (Revenue Sources), discuss the revenue sources used to offset expenditures. Explain that the revenues are applied in the order provided. Program Income:

• PART D – Social Security Act, Title IV (support payments referred to as IV-D) • Social Security, SSI • VA benefits

Title IV-E:

• Federal Funding Source • Part of the Social Security Act • OCYF Bulletin • Only un-capped federal source of payment for children and youth services • Claims are made on an individual child-served basis for placement maintenance

and adoption assistance • Reimbursed using the FFP rate or Federal Financial Participation rate which

change every federal year (Oct 1st to Sept 30th) • Requires a state and local match


Temporary Assistance to Needy Families (TANF):

• Federal Government Block Grant • OCYF Bulletin • Can be used for specific costs • Child Specific

Title XX:

• Federal Funding Source also known as the Social Services Block Grant. • Part of the Social Security Act • Broken out into two (2) parts – Subpart 1 and Subpart 2 • Used to pay for allowable costs, in accordance with Pa Code Title 55 Chapter

3170 that are not federally reimbursable with Title IV-E, TANF or Medicaid funds • Used for In-Home Services (excluding Adoption Services and Adoption

Assistance) as well as non-maintenance portion of community-based and institutional per diems (excluding secure facilities)

• OCYF Bulletin • Receive a quarter each quarter

Title IV-B:

• Federal Funding Source • Social Security Act • OCYF Bulletin • Used for any In-Home Service (excluding Protective Service – Child Abuse and

Protective Services – General) and community based and institutional services (excluding secure facilities) that are not funded with TANF, Medicaid or Title IV-E funds

• Receive a quarter each quarter Title XIX:

• Medicaid • Usually thought of as part of IV-E

Act 148:

• Is a major funding source • OCYF Bulletin • Includes services to a broadly defined group of children in the child welfare

program and for children included under the Juvenile Act


• Its intent is to influence the kind of services provided by reimbursing institutional based services at a lower rate and “close to home” based services at a higher rate

• Counties must match these rates using County General Fund money • It was originally written as an open-ended funding stream, but was capped in

1981 through an amendment to Department’s Welfare Code which specified: “reimbursement for child welfare services pursuant to Section 704.1 shall not exceed the state funds appropriated each fiscal year”

• Counties receive advances on these funds each quarter (Title 55, 3140 regulations)

Ensure that you present information related to the payment schedule. Counties receive an advance payment of 12.5% of their allocation in first quarter. Within 45 days of the start of the second quarter, the county receives another 12.5% advance. Once the first quarter Act 148 invoice is approved, a third quarter advance of 12.5% in addition to the first quarter actual share of state costs, not to exceed 25% of the Act 148 allocation, is issued. Once the second quarter Act 148 invoice is approved, a fourth quarter advance of 12.5% in addition to the second quarter actual share of state costs, not to exceed 50% of the county’s Act 148 allocation, is issued. When the third quarter Act 148 invoice is approved, a third quarter payment of the actual share of state costs, not to exceed 75%, is issued. Fourth quarter actual payment is made once the fourth quarter Act 148 invoice is approved, not to exceed the State Act 148 allocation. County Funds: Explain that counties must be able to “match” federal and state funds. For example, Title IV-E requires a state and county match. Act 148 allowable costs are reimbursed based on the reimbursement rates outlined in Title 55 PA Code Chapter 3140. Give examples. Grants: Tell participants that grants are stand-alone revenue sources; i.e., they are not included in the Needs Based Plan and Budget Process (or Act 148 Invoice). Grants usually cover specific costs and have defining terms. Examples include Evidence-Based Programs, Pennsylvania Promising Practices, Independent Living Services, etc. Step 2: Lecture/Individual Activity Ask participants to return to Handout #11 (Case Scenario) and explain that the second page of the scenario is a listing of the current services being provided to Kali’s family. Participants are considering this information to demonstrate one of the connections among providing services and the fiscal recording of such services.


Using PowerPoint Slide #24 (What services…), instruct participants to use Handout #12 (Major Service Categories and Cost Centers) definitions as a guide to identify and classify each service from Handout #11 (Case Scenario). Once participants finish, give them a few minutes to process. Trainees must identify:

• The major service category under which they would classify the service; and • The cost center under which they would classify the service.

Trainer Note: Either before the session, during the previous break, or while trainees

process this activity, ensure that you prepare six flipcharts (with family member names “Kali,” “Angela,” “Jade,” “Steven,” “Martha,” and “Doug” as the titles and hung on the walls in close proximity to one another) on which to write trainee responses.

Ask volunteers to present their results from the activity. As trainees offer their responses, under the appropriate family member, record all responses on the flipchart that you prepared earlier with Kali’s and her family member’s names. Step 3: Lecture Explain that the child welfare agency began providing services from the moment the agency received the initial report – as part of Intake/Referral service. These services are examples of services provided directly by agency staff. The agency offers the investigation as a service and initiates the investigation and court proceedings; however, the courts provide the actual proceedings. Today’s training focuses only on services purchased by the agency from a provider. Other workshops are available that discuss agency-provided services. Refer back to the definition of child welfare services using Handout #4 (Purpose of Child Welfare Services) from Section II and review the Kali scenario and the services provided by the agency. Reiterate that the purpose stated on the handout is the purpose that guides child welfare services and directs agency actions across the Commonwealth while they assist families similar to Kali’s.



Section IV: The Fiscal Process Estimated Length of Time: 1 hour, 15 minutes Learning Objectives: Participants will be able to: Describe the child welfare agency’s relationship and interaction with other

systems and agencies Describe the importance and function of the exchanged information Describe the flow of information between systems and agencies Describe the county agency invoicing process

Method of Presentation: Lecture, large group activity, small group activity, large group discussion Materials Needed: Flipchart Paper Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Appendix #1: Roles (individually cut cards provided on cardstock by the

Resource Center) Appendix #2: Roles Guide and Information (individually cut cards provided on

cardstock by the Resource Center) Handout #1: PowerPoint Presentation (revisited) Handout #11: Case Scenario (revisited) Handout #13: Major Service Categories and Cost Centers (revisited) Handout #14: Client Information Packet Handout #15: Actual Invoices Handout #16: Expense Report Handout #17: Revenue Report PowerPoint Slide #25: What are the basic needs…? PowerPoint Slide #26: How does the county children and youth agency…? PowerPoint Slide #27: Roles PowerPoint Slide #28: Invoicing PowerPoint Slide #29: Invoice Package


Section IV: The Fiscal Process Step 1: Group Discussion/Large Group Activity Revisit the large group discussion from the previous section when participants identified the service needs of the family. Using PowerPoint Slide #25 (What are the basic needs…?), encourage participants to identify the basic needs of a child. In doing so, the facilitate discussion by asking participants to identify needs that meet a child’s physical and mental health, well being, financial needs, etc. Fundamental needs include but are not limited to:

• Shelter; • Food; • Medical Care; • Clothing; • Education.

Record all participant responses on flipchart paper. Explain that when a child is a dependent of the state (as defined in the Juvenile Act) and the county agency has custody of the child; the agency becomes, in a sense, the “responsible parent”, and, as such, is responsible for ensuring that services are put in place to meet the needs of the child. Using PowerPoint Slide #26 (How does the county children and youth agency…?), explain that Fiscal has the responsibility of ensuring the collection of specific client information (from the family and other sources) and of coordinating the transfer of this information among various sources in order to provide for the child’s needs. This information collection could take place within the casework process described earlier or outside that process. The processes and time it takes workers to gather this information might affect the flow of the casework process. Specific county policy affects how/when this information is gathered and by whom. Step 2: Group Activity/Demonstration Explain that the coordination of information transfer is no easy task. Relate to participants that they are about to perform an activity that represents, on a small-level, the gathering and information sharing process used to ensure Fiscal meet the needs of children and families. In this instance, participants will gather and share information regarding Steven and Kali from the case scenario. Trainer Note: Please note that Appendix #1 (Roles), which are the roles associated

with PowerPoint Slide #27 (Roles), have been provided on card stock to give to groups once their role is assigned. Appendix #2 (Roles Guide and Information) has also been provided on cardstock for use during


the activity. Page 1 of Appendix #2 (Roles Information Guide) offers a guide for the trainer to use to ensure that the proper information is provided to the correct respective role. In addition, as part of Appendix #2 (Roles Guide and Information), the actual pages (duplicates of Handout #14 (Client Information Packet)) have been provided for distribution to participants who assumed a given role. These items are to be collected at the end of the activity and returned with your trainer box.

Introduce Handout #14 (Client Information Packet) noting that participants will use this packet as a guide during and activity that will occur in a moment regarding Kali and Steven to identify each “piece” of information offered in the packet for Steven and Kali:

• Client-Specific Information • Birth Certificate • Social Security Number • Financial Information, etcetera • Client CY-60 • Client CY-61 • Support Petition

• Social Security Administration Inquiry

• School Information • Clothing Requests • HealthChoices

Enrollment/Disenrollment form

Trainer Note: Note that while parties may relay some of the above information verbally

or electronically, for demonstration purposes the activity contains a paper representation of the information.

Tell the group that they will be divided into smaller groups for an activity. Ask participants to bring with them, for reference purposes, their Handout #11 (Case Scenario), Handout #13 (Major Service Categories and Cost Centers), and Handout #14 (Client Information Packet). Display PowerPoint Slide #27 (Roles) and assign one of the roles on the slide to a participant. Distribute the correct role (offered in Appendix #1 (Roles)) to the participant with the respective role. Tell participants that you will assume the role of Fiscal with the objective of gathering and relaying information to appropriate parties involved in the casework process to reveal on a small-level just how difficult this process might be. Demonstrate the flow of information by physically gathering and relaying information to groups while describing the significance of each “piece” of information in the following order:

• Parents Give Info to JPO/CYS – Collect Kali’s Client-Specific Information from Parents while explaining that this includes the SSN, Birth Certificate, Family Financial Information, ACCESS cards, medical information.


• From JPO/CYS – Collect Steven’s Client-Specific Information from JPO/CYS while explaining that this includes the SSN, Birth Certificate, Family Financial Information, etc. CYS/JPO also have CY-60 and 61 information and can verify Steven and Kali’s medical coverage individual number and card issue number.

• Fiscal – Fiscal performs a search of the Master Client Index (MCI) to learn if the children have an MCI number on record. Because the children have received benefits from DPW, an MCI is on record and Fiscal does not need to create one. Fiscal works with JPO/CYS to gather Steven and Kali’s CY60, CY61, Support Order, and Social Security Inquiry. Fiscal completes the Title IV-E eligibility determination with supplied information

Denote timeframe requirements associated with the CY-60 and CY-61.

• To Domestic Relations Office – Fiscal forwards Steven and Kali’s support petitions to DRO as the means to apply for parental support (Title IV-D of the Social Security Act).

• To Social Security Administration – Fiscal forwards a Social Security Administration Inquiry to verify Steven and Kali’s receipt of Social Security or SSI benefits.

Fiscal would have received a new ACCESS Card for the children if the parents had not supplied their cards.

• To Group Home/Foster Parents – ACCESS cards

• From Group Home/Foster Parents – Clothing Request for Kali, HMO information for Steven, along with Steven’s Primary Care Physician information, and primary care provider information

• From Social Security Administration – Completed Social Security Administration Inquiry indicating and verifying that neither Steven nor Kali receive any benefits from their office

Note that, for a child receiving Social Security benefits, the agency would apply to become a representative payee. For Supplemental Security Income (SSI), the agency would apply to become a representative payee or make a fiscal determination to suspend the SSI based on the child’s Title IV-E Determination and Claiming.

• Fiscal – Completes clothing authorization for Kali and Steven’s Health Choices enrollment form and sends Steven’s completed HealthChoices Enrollment form to enroll Steven in the correct HMO with the correct PCP information. Fiscal may provide card to Foster Parents

• To Group Home/Foster Parents – Kali’s clothing authorization allowing foster parents to purchase clothing for Kali as well as Access card and or HMO card


Explain that HealthChoices is not statewide and therefore requires effective communication to coordinate medical coverage between counties and that if the county in which the agency places the child is not a HealthChoices county, Fiscal should consider the county a Fee-for-Service county. Also, explain that the actual steps in participant agencies will vary. Fiscal may consist of one staff or many specialized staff performing individual transfers. Reiterate that the demonstration shows how much Child Welfare works with and relies on other systems and agencies to ensure the safety, permanency, and well-being of children in a timely manner. It also reveals just how important communication is within our agencies as well as the agencies and systems with which we work everyday. Step 3: Lecture/Small Group Activity Introduce the invoicing element of the Fiscal Process and explain that this involves the process of receiving, processing and accumulating actual expenses from the case scenario, and subsequently invoicing funding sources for reimbursement of those costs. Distribute Handout #15 (Actual Invoices), which represents expenses associated with family members in the case scenario. Using PowerPoint Slide #28 (Invoicing), introduce the steps involved in the invoicing process. Trainer Note: PowerPoint Slide #29 (Invoice Package) offers a graphic that is

hyperlinked to Invoice Package expenditure and revenues reports. Clicking on the graphic on the slide allows you to open the Invoice Package Excel spreadsheet to show participants how to enter actual data into the invoice package.

Display PowerPoint Slide #29 (Invoice Package). Tell participants that you are going to demonstrate the steps involved in the invoicing process. Click on the image of the Excel document in the Invoice Package slide. Use the invoice package spreadsheet as an interactive example – meaning that you will show participants how to transfer information from a scenario into the spreadsheet. While you enter information into the spreadsheet, it is crucial that you ensure participants follow along with Handout #16 (Expense Report) and Handout #17 (Revenue Report) during the demonstration. Once you finish entering information, close the Excel spreadsheet (ensuring that you do not save changes) and continue using the PowerPoint presentation. Using the invoice package spreadsheet, demonstrate the steps involved in the Invoicing process by showing participants how to enter actual expenses. Ask a volunteer to move the data from the scenario into the spreadsheet. Move the information from Handout #15 (Actual Invoices) into the Expense Report and


Revenue Report using the steps associated with the invoicing process in conjunction with the expenses offered on Handout #15 (Actual Invoices). Tell participants that the Expense Report and Revenue Report are integral parts of the State Act 148 invoice. Explain that the County uses the Expense Report to record and report all agency expenses according to cost center and the type of cost. Examples include wages, operating expense, and purchased services. In addition, tell participants that the County uses the Revenue Report to record all applicable revenues used to offset the expenses entered on the Expense Report. Only after the revenues offset the total expenses does the Fiscal Professional calculate the expenses associated with the State and County shares. Trainer Note: If participants are interested in a fuller picture of the Act 148 Invoicing

process, mention to them the availability of the three-day 411: Act 148 Invoicing training.



Section V: Child Welfare Fiscal Cycle Estimated Length of Time: 1 hour, 15 minutes Learning Objectives: Participants will be able to: Identify the outcomes associated with the key steps in the county agency fiscal

cycle. Method of Presentation: Lecture, small group activities, demonstration, practice Materials Needed: Flipchart Paper Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Handout #1: PowerPoint Presentation (revisited) Handout #11: Case Scenario (revisited) Handout #18: Child Welfare Fiscal Cycle Handout #19: Service Projection Examples Handout #20: Service Contract Handout #21: Budget Summary PowerPoint Slide #30: Child Welfare Fiscal Cycle PowerPoint Slide #31: Invoice Package, Revisited PowerPoint Slide #32: Planning Tools PowerPoint Slide #33: Child Welfare Services PowerPoint Slide #34: Contracts Must Include: PowerPoint Slide #35: Needs Based Budgeting Cycle PowerPoint Slide #36: Budget Amendment Requests PowerPoint Slide #37: Auditing


Section V: Child Welfare Fiscal Cycle Step 1: Lecture Introduce the components of the Fiscal Cycle, using PowerPoint Slide #30 (Child Welfare Fiscal Cycle) and Handout #18 (Child Welfare Fiscal Cycle), by giving a brief definition of each step in the cycle. Explain that this section represents a simplified demonstration of the components of the Fiscal Cycle. Step 2: Lecture/Small Group Activity Reference the group activity from Section III dealing with the case scenario and explain that other services exist from which the children and family may have benefited; however, content did not address those services on Handout #11 (Case Scenario). Explain that some services may not be available to a particular agency due to demographics or lack of identified need. Tell participants that the planning step of the Fiscal Cycle is the process in which agency representatives identify service needs. Trainer Note: The previous step is an attempt to connect the planning element to the

prior training activities. Content does not intend it to imply that Fiscal make service delivery decisions.

Using PowerPoint Slide #31 (Planning Tools), introduce the Planning element by describing the tools child welfare service agencies used to project service needs and give examples of each. Examples may include the following:

• Trend Analysis – a steadily growing number of reported sexual abuses; • Community Response – expressed need for supervision of latch-key children;

and • Agency Reports – a sudden dramatic increase in drug arrests involving

households with children, or rising truancy numbers. Distribute Handout #19 (Service Projection Examples), which contains two trend analyses, an agency report and a community response piece. Using the scenarios, walk participants through the role that Fiscal plays during the planning process (e.g., using trend analysis, etc., Fiscal would provide budget feasibility and statistics). Step 3: Lecture/Small Group Activity Introduce the Contracting element using PowerPoint Slide #32 (Child Welfare Services). Child welfare services are provided in two ways:

• Directly, by Agency staff; or • Indirectly, by purchasing the services from a provider.


Explain that the Contracting component involves the process of providing services through purchasing those services from a source other than the child welfare agency. Using the predetermined services from the previous activity in this section and Handout #19 (Service Projection Examples), facilitate the actual completion of Handout #20 (Service Contract) entering service description, unit, unit cost and number of units. Explain that the actual process involves many other elements incorporated into the contract as well as the required signature of the County Commissioners (and others) before the parties may fully execute the contract. Using PowerPoint Slide #33 (Contracts Must Include:), explain that, while the actual process of writing and seeking approval is county-specific, there also exist State requirements included in the Pennsylvania Code, Title 55 Public Welfare, Chapter 3170 regulations, and federal funding streams that address specific language and components. Examples include:

• Single Audit-Reporting Requirements – The county requires providers to submit an annual, single audit report to the county.

• Health Insurance Portability and Accountability Act (HIPAA) Compliance – Mandates require providers to be aware of and in compliance with HIPAA.

• State Licensing of Facilities – The Department requires placement facilities to renew licenses on a yearly basis and submit the resulting, State-issued, Certificates of Compliance to the county that become part of the executed contract.

• Insurance Documentation – Mandates require providers to procure, maintain and provide documentation of various insurance coverage such as general liability, worker’s compensation, as well as automobile and professional liability insurance.

• Maximum Allowable Rate Documentation – The Department requires substitute care facilities to provide documentation to support their Act 148 and Title IV-E allowable costs. The Department uses this information to set maximum allowable rates for each funding stream.

Make sure to tell participants that, with regard to contract information, residential providers must maintain centrally located documentation on each referral that the provider receives from a county agency (CYS or JPO). The provider may maintain the documentation, however it chooses, as long as it is centrally located. Information the provider must maintain includes the:

• Date of receipt of referral; • Requesting county and agency (CYS or JPO); • Name, age, and race of the child;


• Presenting primary problem; • Whether the child was accepted or rejected for admission to the program; and • Reason the child was accepted or rejected.

Step 4: Lecture/Small Group Activity/Demonstration Introduce the concept of Needs-Based Planning and Budgeting (NBPB) using PowerPoint Slide #34 (Needs Based Budgeting Cycle) and describe the Needs Based Budgeting Cycle as the means used by County Children and Youth Agencies (CCYAs) to seek approval and funding from State and Federal sources to provide services to children, youth and families. CCYAs do so by providing justification for services to address identified needs. Explain that Needs-Based Budgeting is a multi-year budget. Explain to participants the implementation and request years associated with the NBPB. In doing so, make sure to speak about how the NBPB process works, how it builds off the actuals, how changes are made to implementation plans, the need to plan 2 years out in order to create NBPB year, etc. Ask participants to locate Handout #21 (Budget Summary). Explain that Fiscal uses the Needs Based Budget form to record increased services into the Needs Based Budget element of the Invoice Package. Trainer Note: PowerPoint Slide #35 (Invoice Package, Revisited) offers a graphic

that is hyperlinked to the Invoice Package. Clicking on the graphic on the slide allows you to open the Invoice Package to access the Budget Summary for use as an interactive example.

Display PowerPoint Slide #35 (Invoice Package, Revisited). With your guidance, ask each of the four groups from the previous activity to process each identified service from Step 3 of this section, in conjunction with Handout #20 (Service Contract), as increased services on Handout #21 (Budget Summary). Demonstrate how Fiscal processes and enters (into Handout #21 (Budget Summary)) the identified services from the previous activity by actually entering the information from the prepared contracts. Instruct participants to follow the demonstration and repeat the entries on their Handout #21 (Budget Summary). Make sure that participants follow along with Handout #21 (Budget Summary) during the demonstration. Answers you should reach are as follows:

• Scenario 1: $75,000 (In-Home/Delinquent) • Scenario 2: $42,447.60 (In-Home/Dependent) • Scenario 3: $577,500 (In-Home/Delinquent) • Scenario 4: $203,652 (In-Home/Delinquent) – though it could also serve as In-

Home/Dependent


Explain how implementation and actuals inform budgets (i.e., to request non-purchased services where workers would request increased wages, benefits and supplies). Tell participants that the budget summary, as part of the Needs Based Plan and Budget package, automatically calculates information entered. It is for training purposes only that you need to enter information manually. Note that this element of the Fiscal Cycle involves the process of receiving, processing and accumulating actual expenses, and subsequently invoicing funding sources for reimbursement of costs. Step 5: Lecture Introduce the Budget Amendment element of the Fiscal Cycle by explaining that agencies may exceed budget amounts. Display PowerPoint Slide #36 (Budget Amendments). Explain that sometimes actual expenses exceed the budgeted amounts at year’s end. Tell participants that Fiscal must submit a Budget Amendment request, based on the current bulletin, request if actual expenses exceed the budgeted amount in the Major Categories. Fiscal must submit a Budget Amendment request if "any one of the four major service categories will exceed, by 10% or $10,000, whichever is greater, the approved total annual budget amount for the category.” Budget Amendment requests are also necessary if the CCYA wants to purchase fixed assets that were not budgeted for, or if the CCYA wants to request a change to their staff complement. At this point, the county agency must re-visit the Needs Based Budgeting process according to the Budget Amendment Bulletin. Step 6: Lecture Introduce the Auditing element of the Fiscal Cycle using PowerPoint Slide #37 (Auditing) and explain that the Auditing element serves the purpose of ensuring accurate and consistent reporting and accounting procedures at the various levels. Federal, State, and County revenue auditing takes place at each level but to varying extents. Explain that mandates require Fiscal to locate all records that parties currently audit and explain any county-specific processes to the auditors. An auditor will request specific information; and, Fiscal has the responsibility of making the requested information available for examination. Trainer Note: Ensure that you inform participants of periodic reviews conducted by the

Administration for Children and Families (ACF) and OCYF of Title IV-E (Placement Maintenance, Adoption Assistance, Subsidized Permanent Legal Custodianship) and TANF eligibility determinations and invoicing.



Section VI: Evaluation and Closing Estimated Length of Time: 30 minutes Learning Objectives: Participants will be able to: Identify key laws, policies and regulations that pertain to child welfare Fiscal as

being Federal, State, and/or County-Specific. Restate the role and function of county agency fiscal professionals. Restate supports available to county agency fiscal professionals.

Method of Presentation Lecture, large group activity, group discussion Materials Needed: Flipchart Paper Laptop/Tower LCD Projector LCD Screen Markers Masking Tape Trainer-Prepared Flipcharts (with “Federal,” “State,” and “County” titles) Appendix #3: Federal, State, County Key Points (individually cut cards

provided by the Resource Center). Appendix #4: Federal, State, County Key Points – Answer Key Handout #3: Questions to Answer (revisited) Handout #22: Action Plan Handout #23: References PowerPoint Slide #38: Can you locate… PowerPoint Slide #39: Questions to answer… PowerPoint Slide #40: Who Are We? PowerPoint Slide #41: Why Do We Do What We Do? PowerPoint Slide #42: Whom Do We Serve? PowerPoint Slide #43: Who Does What? PowerPoint Slide #44: How Do We Do What We Do? PowerPoint Slide #45: How Do We Know… PowerPoint Slide #46: Who Can Help Us? PowerPoint Slide #47: Questions and Answers


Section VI: Evaluation and Closing Step 1: Large Group Activity Trainer Note: Place your trainer-prepared flipcharts (with “Federal Guidance,” “State

Guidance,” and “County Guidance” titles) in an easily-accessible area of the room for use with the following activity. Appendix #4 (Federal, State, County Key Points Answer Key) should have been provided to you for the training. The appendix contains individual phrases printed cardstock for use in the following activity, which are to be collected at the end of the activity and returned with your trainer box.

In the following activity you will reinforce material covered during the training by distributing one or two key point(s) from Appendix #3 (Federal, State, County Key Points) to each participant. The purpose of the following activity is to demonstrate the groups’ ability to identify under which level of guidance certain concepts fall (i.e., federal, state and county) to assist participants in considering where to go for resources when questions arise (e.g., federal law, state law, county policy and procedure). Tell participants that all of the key points that you just distributed will fall under the following categories and that some points might fall under more than one category:

• Federal Guidance • State Guidance • County Guidance

Using PowerPoint Slide #38 (Can you locate…), instruct participants, working in groups at their tables by using handouts and/or notes participants took so far, to identify under which category their title/key point falls based on the categories on the flipchart papers you created. Trainer Note: If a trainee can offer a good rationale for placing a law/policy/procedure

etc. under a category other than what is offered on the answer key, feel free to accept the answer.

After giving participants 5 minutes to process, ask participants to identify under which category their law/policy or procedure might fall (e.g., ASFA falls under Federal Law). As each trainee offers a law/policy or procedure, cross-reference the answer given with Appendix #4 (Federal, State, County Key Points Answer Key) and have the trainee place the law/policy or procure on the appropriate flipchart (i.e., Federal Guidance, State Guidance, County Guidance). Offer any other information related to the law/policy or procedure you would like to add (e.g., why the resource is important/might prove useful to the trainee’s duties at work).


Step 2: Lecture Reflect on the sorting activity and explain that the activity is an exercise to evaluate the participants’ learning from the previous sections and to develop their ability to locate, reference, and cite information pertinent to their job responsibilities. Explain that the various laws, regulations and policies contain volumes of information; and, while participants cannot be expected to memorize all of the information, they do need to possess the ability to locate the information when needed. Explain that the Federal and State Laws and the regulations discussed are all available online and in their county agency. In addition, tell participants that they should locate their County’s policies and procedures, within their specific counties, and reference them as well. Distribute Handout #22 (Action Plan). Ask participants to complete the action plan. Choose a few volunteers to offer how they plan to use the information they gained during the training. Distribute Handout #23 (References) as a resource for participants. Step 3: Lecture/Group Discussion Ask the group to refer to Handout #3 (Questions to Answer) while showing PowerPoint Slide #39 (Questions to Answer) and give participants an opportunity to answer the questions if they have not already done so. Tell participants that the answers to these questions were offered throughout the training. Making any needed corrections as follows, ask volunteers to offer the answers to their questions. While doing so, show the respective PowerPoint slides listed below to guild discussion. As you move through each slide and answer the questions asked, encourage participants to record the answers to these questions on their handout as participants and you address them:

• In conjunction with PowerPoint Slide #40 (Who Are We?), refer to question #1, “Who are we?” and, ensure responses correlate to the Federal, State and Local Child Welfare structure covered in Section II.

• Using PowerPoint Slide #41 (Why Do We Do What We Do?), refer to question

#2, “Why do we do what we do?” and ensure responses correlate to ensuring the safety, permanency, and well-being of children. Make sure that you stress the notion that the Federal and State laws covered in Section II mandate child welfare agencies to ensure the safety, permanency, and well-being of children.

• Using PowerPoint Slide #42 (Whom Do We Serve?), refer to question #3,

“Whom do we serve?” and ensure responses correlate to serving children and their families in order to ensure the safety, permanency, and well-being of


children as covered in Section II. Reinforce that the content also offered the legal definition of a child.

• Using PowerPoint Slide #43 (Who Does What?), refer to question #4, “Who

does what?” and ensure responses correlate to the various components of the child welfare Services discussed in Section II.

• Using PowerPoint Slide #44 (How Do We Do What We Do?), refer to question #5. “How do we do what we do?” and ensure responses correlate to using various policies, regulations, bulletins, and procedures to guide child welfare Fiscal through the implementation of:

o Identifying Needs – Planning element; o Planning Services to Address Those Needs –Planning element; o Providing Services to Address Those Needs – Contracting element; and o Seeking Funds to Provide Services – Invoicing element.

Remind the group that Section II of the content covered these policies, procedures, and etcetera. The content also covered the steps associated with the policies, procedures, and bulletins, as part of the Fiscal Cycle discussed in Section IV.

• Using PowerPoint Slide #45 (How Do We Know…), refer to question #6, “How

do we know if we are doing it right?” and ensure that responses correlate to using the elements of the Fiscal Cycle from Section IV to:

o Identifying Needs – Planning element o Evaluating Services – Planning and Auditing elements o Planning Services – Planning elements o Securing Services and Funds – Budgeting, Budget Amendments and

Invoicing elements o Processing Services – Invoicing element

• Using PowerPoint Slide #46 (Who Can Help Us?), refer to question #7, “Who

can help us?” and ensure that responses correlate to the activity from Section V. Explain to participants that the activity in which they took part in Section IV represented the child welfare system’s mode of securing services from other agencies to provide for children’s needs.

Step 4: Lecture/Evaluation Completion Refer to the What’s In It for Me? flipchart and check with participants to confirm whether all their needs were met. If not, attempt to address those needs either now or by offering


other training opportunities/connections to resources. Attempt to address any items on the Parking Lot by answering questions and/or with external resources. Display PowerPoint Slide #47 (Questions and Answers) and ask participants whether they have other questions. Address those accordingly. If you feel comfortable doing so, feel free to offer your contact information as a resource and encourage participants to collect contact information from each other for networking purposes. Distribute evaluations and allow participants 5 to 10 minutes to complete them. Collect evaluations, ensure that everyone signed the sign-in sheet, and thank participants for attending.



References Commonwealth of Pennsylvania. The Adoption Act Pa.C.S. Title 23, Domestic

Relations, Chapters 21-29. Commonwealth of Pennsylvania. The Public Welfare Code, Act of June 13, 1967,

P.L.31, No. 21 (the Adoption Opportunities Act), Article VII. Commonwealth of Pennsylvania. 55 Pa. Code Chapter 3130 (relating to administration

of county children and youth social service programs). Commonwealth of Pennsylvania. 55 Pa. Code Chapter 3140 (relating to planning and

financial reimbursement requirements for county children and youth social services programs).

Commonwealth of Pennsylvania. 55 Pa. Code Chapter 3170 (relating to Foster Family

Care Agency). Commonwealth of Pennsylvania. 55 Pa. Code Chapter 3700 (relating to allowable

costs and procedures for county children & youth social service programs). Commonwealth of Pennsylvania. The Child Protective Services Law (CPSL) (23

Pa.C.S., Chapter 63). Commonwealth of Pennsylvania. The Juvenile Act (42 Pa.C.S. §§6301-6365). Commonwealth of Pennsylvania. (2009.) Safety Assessment and Management Process

Reference Manual. Commonwealth of Pennsylvania. (n.d.). Title 55: Public Welfare. Retrieved July 11,

2011, from The Pennsylvania Code: http://www.pacode.com/secure/data/055/055toc.html

Pennsylvania Department of Public Welfare, Children, Youth & Families. Bulletin 3140-

00-05, County Children and Youth Program Title XX and Title IV-B Procedures. Pennsylvania Department of Public Welfare, Children, Youth & Families. Bulletin 3140-

04-06, Child Welfare TANF Services- Policies and Procedures Manual. Pennsylvania Department of Public Welfare, Children, Youth & Families. Bulletin 3140-

97-06, Temporary Assistance for Needy Families (TANF) Procedures. Pennsylvania Department of Public Welfare, Children, Youth & Families. Bulletin 3140-

11-02, Act 148 Invoicing Procedures for County Child Welfare Services.

http://www.pacode.com/secure/data/055/055toc.html


Pennsylvania Department of Public Welfare, Children, Youth & Families. Bulletin 3130-10-02/3140-10-03, Permanent Legal Custodian Policy.


10-01, Needs Based Plan/Budget Amendment Submission Procedures and Review Criteria.


12-01, Federal Title IV-E Invoicing Procedures Manual. Social Security Administration. The Social Security Act. Retrieved from

http://www.ssa.gov/OP_Home/ssact/comp-toc.htm U.S. Department of Health and Human Services, Administration for Children and

Families. Adoption and Safe Families Act of 1997. U.S. Department of Health and Human Services, Administration for Children and

Families. Child Welfare Policy Manual. U.S. Department of Health and Human Services, Administration for Children and

Families. Fostering Connections to Success and Increasing Adoptions Act of 2008 (P.L. 110-351)

U.S. Department of Health and Human Services, Administration for Children and

Families. Child and Family Services Improvement Act (P.L. 109-288)

http://www.ssa.gov/OP_Home/ssact/comp-toc.htm

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