Appendix B: Guide - Process Section

The Process Section describes the SACWIS system's conformance with program requirements derived from statute and regulation. The questions in this section are derived from the SACWIS Action Transmittal (AT) number ACF-OISM-001, dated February 24, 1995.

Functions marked with an asterisk ("*") are mandatory. Any function identified in the regulation as "optional" but for which the State was approved funding becomes mandatory with APD approval.

In the Guide below, the State must describe how the automated system meets all of the SACWIS functions. In each sub-section (e.g., Intake, Screening, Assessment, Investigations) space is provided for the State to cite reference sources (such as a Users' Manual) and to cross-reference screens, alerts/ticklers, notices, and reports to the responses in that sub-section. For example, the system-generated reports produced by the system should be identified and cross-referenced to the enclosed list of reports for those that are related to the relevant sub-section. Note that multiple citations may be required for a single question. See Chapter III of the SACWIS Assessment Review Guide for instructions on how to complete this section of the Guide.

Finally, the reader should note that some of the questions in this Guide cover more than one topic. Care should be taken to respond to all of the different components of a question.

Document Control

(*) To Be Completed by State

Appendix B Summary Table

This table is updated by ACF as the report is finalized and reflects the findings recorded in the questionnaire by the Federal review team. As findings are resolved by the State, this table will display the status of each functional component, whether the component has an Action Plan associated with it, and the page number where the component is discussed. This table will allow the reader to focus on unresolved findings, as well as identify those components with an approved Action Plan, which requires tracking in the State's Advance Planning Document.

The table makes use of the "bookmark" functionality in Word. The State should not type in this table. As the State completes the questionnaire, the page reference numbers in the table will not match the actual pages in the questionnaire. If the State wishes to update the page number on this Summary Table, the writer may type "Control A" (the "Ctrl" key and the "A" key) and then push the "F9" key. This will refresh the page reference numbers. The State does not need to refresh the page numbers.

B. I: Intake Management

Goal: Through the effective and efficient use of automation, provide for the administration of the processes necessary to ensure that the child welfare services (CWS) agency can respond to those who need assistance through the proper identification of the individuals and provision of appropriate assessment procedures.

A: Intake

Goal: To provide an automated entry point into the child welfare services (CWS) agency for children and families who seek services, are referred for services, and/or who are reported to the agency.

1. (1) Record contact/referral * — Describe how the automated system

4. records initial contacts regarding allegations of abuse or neglect, and/or
5. provides for the input of a formal referral for protective services, voluntary placement services, juvenile corrections, and other services.
6. The State response should also indicate when the "Intake Report" is frozen in the system.

State Response:

2. (2) Collect intake/referral information * — Describe how the automated system

1. allows for the input of available situation and demographic information,
2. including the cross-referencing of relationships among participants, and
3. the reason for referral.

State Response:

3. (3) Search for prior history (persons/incidents) * —

1. Describe how the automated system searches the database(s) to check for prior incidents and other available information.
2. For a single incident, does the system allow for multiple reports of an incident by including information on each individual or agency making a report?
   YES NO If yes, please describe.

State Response:

4. (4) Record "information only" requests — Describe how the automated system records calls or contacts which do not involve a specific allegation or a referral concerning abuse and/or neglect.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B: Screening

Goal: To provide an automated mechanism that identifies the potential danger or harm to the children involved in a reported incident of abuse or neglect and determines whether the agency will be able to respond to the needs of children and families.

1. (5) Evaluate intake information * - Describe how the automated system supports the evaluation of the available information to determine the necessity of establishing a case. State Response:

State Response:

2. (6) Record the results of the screening evaluation * — Describe how the automated system provides for the recording of the determination resulting from the screening process.

State Response:

3. (7) Establish case record * — Describe how the automated system provides for

1. the establishment of a new case,
2. the association of a new allegation with an existing open case, or
3. the re-opening of a closed case.

State Response:

4. (8) Assign case to worker * — Describe how the automated system

1. supports and records the assignment of the case to a worker, and
2. provides for the tracking of that case through the process.

State Response:

5. (9) Refer for investigation and/or services, as appropriate * — Describe how the automated system supports the referral/transfer of the case

1. for investigation, if necessary, or
2. for the assessment, if the allegation is not related to maltreatment.

State Response:

C: Investigation

Goal: To use the automated system to support the determination of the level of risk to the child, or children, involved in a reported incident of abuse or neglect and to make a recommendation regarding continued agency involvement.

1. (10) Collect and record investigation information — Describe how the automated system

1. provides for the input of information collected during the investigation process,
2. including the recording of contacts made during the investigation.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

2. (11) Record investigation decision * —

1. Describe how the automated system provides for the recording of the decision resulting from the investigation.

For informational purposes:

2. What disposition categories are used?
3. Is information on investigation dispositions, including findings with respect to each allegation of maltreatment, linked to the perpetrator's record?

State Response:

3. (12) Generate documents as needed in response to investigation * — Describe how the system supports the preparation of

1. alerts/ticklers,
2. notifications, and
3. reports required during, and as a result of, the investigative process.

Please Note — This is a common functional requirement and appears in various parts of this Guide. The State Response to this question should address the system capabilities related to the generation of alerts/ticklers, notices, and reports as well as the specifics related to this functional area. Similar questions appearing in other functional areas can then refer to this question and limit the subsequent response to the specific functional area in question.

State Response:

D: Assessment

Goal: To provide automated support of the determination of the level of risk to the children involved in an allegation of abuse or neglect and to identify service needs.

1. (13) Determine and record risk assessment * — Describe how the automated system supports the evaluation and determination of risk factors affecting the case.

State Response:

2. (14) Perform risk assessment — Describe how the automated system performs an automated risk assessment to determine the relative level of risk.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

3. (15) Collect and record special needs/problems * —

1. Describe how the automated system supports the determination and documentation of special needs/problems (e.g., special education, developmental disabilities, medical assessment, etc.).
2. Considering that AFCARS is a SACWIS requirement, the response should also indicate how the categorization of disabilities and family problems in the system correspond to AFCARS and NCANDS (if applicable) data reporting elements.

State Response:

4. (16) Determine and record needed services * — Describe how the automated system

1. supports and records the determination of needed services,
2. including the assignment and level of care (placement locations, in-home care, etc.).

State Response:

5. (17) Record client contacts - Describe how the automated system provides for the recording of client contacts in the electronic case folder.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

6. (18) Prepare and record referrals to other agencies — Describe how the automated system provides for the preparation and recording in the electronic case folder of referrals to other agencies.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

7. (19) Collect and record further case information — Describe how the automated system provides for the recording in the electronic case record of additional case information gathered during the assessment process.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

8. (20) Generate documents, notices and reports based on review as needed * — Describe how the automated system supports the generation of

1. documents,
2. notices, and
3. reports during, or resulting from, the assessment process.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

B. II: Eligibility

This function consists of determining programs for which funding support is available for clients receiving services. Program eligibility may include funding for foster care/adoption payments and determining the type of programs that will allow a client to receive Medicaid coverage. This function is usually initiated sometime during the Intake Function.

Goal: To provide efficient and effective system support for the identification and qualification of children for program funding.

A: Initial Eligibility Determination

Goal: To provide automated support for the timely qualification of potential program beneficiaries.

1.a. (21) Determine title IV-E eligibility * — How does the State use the automated system to support the determination of AFDC-related eligibility for title IV-E?

State Response:

1.b. (22) How does the State use the automated system to record/track the legal requirements (judicial determinations) related to IV-E eligibility? *

State Response:

1.c. (23) How does the automated system determine/track a child's IV-E eligibility in an out-of--home placement (e.g., type of facility, license status, etc)? *

State Response:

2. (24) Verify eligibility for other programs * — How does the automated system provide for the exchange and referral of information necessary to determine eligibility/status under other related programs such as

1. title XIX (Medicaid) and
2. title IV-D?

State Response:

3. (25) Record authorization decisions * — Describe how the automated system provides for recording the eligibility authorization decisions.

State Response:

4. (26) Generate documents related to eligibility determinations * — Describe how the automated system produces

1. alerts/ticklers,
2. notices, and
3. reports needed to provide information on and track the initial eligibility determinations.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

B: Changes in Eligibility

Goal: To provide automated support for the timely identification of children whose eligibility changes, or whose eligibility must be redetermined.

1. (27) Redeterminations * — Describe how the automated system provides for the

1. processing of regularly scheduled and as-needed program redeterminations, and
2. recording of redetermination decisions.

State Response:

2. (28) Generate documents related to eligibility redeterminations * — Describe how the automated system produces

1. alerts/ticklers,
2. notices, and
3. reports (e.g., exception reports) needed to provide information on and track the changes in eligibility status.
4. Are the Child Welfare Workers alerted to changes made in the title IV-A, title IV-D, and title XIX systems (the mandatory interfaces)?

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

B. III: Case Management

This function entails the preparation of service plans, determining whether the agency can provide the services, authorizing the provision of services, and managing the delivery of those services.

Goal: To provide system support for the efficient and effective administration of the processes necessary to ensure that the child welfare services agency identifies, communicates, evaluates and monitors the services which will ameliorate the conditions necessitating agency involvement and ensure the safety of the child.

A: Service / Case Plan

Goal: To provide a mechanism where the needs of the child/children/family and the services necessary to resolve the problems are maintained and tracked to an appropriate outcome, including estimated time frames for completion of the services.

1. (29) Prepare and document service/case plan * —

1. Describe how the automated system supports the development of case plans for children and families by documenting services that are required to meet the specific needs identified in the assessment function.
2. The State's response should address how the SACWIS supports case plan development in the following areas:
   
   
   1. Adoption (records and tracks information about adoptive placements and post-adoptive services, including subsidy benefits);
   2. Family preservation (institute in-home services to prevent the need for placement);
   3. Foster care (determines and tracks level of care, placement information, reunification services, and legal requisites);
   4. Independent living (determines and tracks services to provide transitional living assistance for State foster care youths); and
   5. Interstate compact (process/submit supervision requests from/with other States for children and youth).

State Response:

2. (30) Identify and match services to meet the client's case plan needs — Describe how the system provides automated support in the identification and matching of service needs and available resources.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

3. (31) Record contact with and acquisition of needed resources/services — Describe how the automated system

1. supports and
2. records
   the preparation of necessary service requests or referrals.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

4. (32) Track and update service/case plan * — Describe how the automated system supports the

1. monitoring,
2. progress, and
3. update
   of the service/case plan in the electronic case folder.

State Response:

5. (33) Match client to placement alternatives, if needed — Describe how the system provides automated support in the identification and matching of the client with available placement alternatives.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

6. (34) Generate documents as needed * — Describe how the automated system supports the generation of

1. alerts/ticklers,
2. notices, and
3. reports
   as necessary to track the progress of the service/case plan.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

7. (35) Request and record supervisory approval of plan, if needed — Describe how the automated system provides support for obtaining supervisory approval of the service/case plan.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

8. (36) Estimate and track actual costs of resources/services — Does the automated system include a component which

1. estimates and
2. tracks
   
   the costs of required/ provided resources and services to assist in service/case plan management and tracking?
   
   If the answer is "yes" to either part of this question, please describe how this works.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

9. (37) Identify program outcome measures — Does the automated system include a component that

1. identifies and
2. tracks program outcome measures?
   If the system supports this component, please describe how it works.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B: Case Review / Evaluation

Goal - The Goal is to provide automated support for the administration of timely reviews, either internal to the agency or with the input of the judicial system. Furthermore, the system should enable the agency to insure that services are progressing toward the stated outcome; to determine if additional services are to be provided; and to evaluate the time frames and the outcomes in the services/case plan.

1. (38) Generate alerts/ticklers to conduct case review/evaluation as needed. * — Please describe how the automated system supports the

1. timely identification and
2. continued tracking
   of cases that require review and/or evaluation.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

2. (39) Conduct and record results of case review * — Describe how the automated system

1. supports the case review process, and
2. provides for documentation of the reassessment decisions and
3. identifies needed action items in the electronic case folder.

State Response:

3².(40) Generate documents, notices and reports based on review, as needed * — Describe how the automated system supports the

1. generation of documents,
2. notices, and
3. reports
   during, or resulting from, the evaluation process.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

4³. (41) Record collateral contacts - Describe how the automated system provides for the recording of

1. client collateral contacts, and
2. the information resulting from those contacts.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

C: Monitoring Service / Case Plan Services

Goal: The goal is to provide administrative and system support to the worker by ensuring that the services identified in the service/case plan are provided in a timely and effective manner.

1. (42) Track and record services identified in the service/case plan — Describe how the automated system provides for the recording in the electronic case folder of the

1. types,
2. duration, and
3. frequency of services.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

2. (43) Generate documents, notices and reports * — Describe how the automated system supports the generation of

1. documents,
2. notices, and
3. reports
   to track the services needed and provided to the client.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

B. IV: Resource Management

This function supports the maintenance and monitoring of information on an array of service providers, including prevention programs, placement services, and foster care providers.

Goal: To provide system support for the efficient and effective administration of the processes involved in the determination of appropriate service providers and/or placement resources necessary to accomplish the goals of the service/case plan.

A: Facilities Support

Goal: To provide for the timely, efficient and effective identification of new resources, the addition of new information regarding existing resources, and the identification of gaps in resource/service availability.

1. (44) Record and update provider information * — Describe how the automated system supports the collection and maintenance of provider information such as

1. license/certification status,
2. types of services,
3. level of care provided,
4. level of care compliance, and
5. cost of care.

State Response:

2. (45) Generate alerts/action items on licensing status changes. * — Describe how the automated system supports the

1. timely identification and
2. continued tracking
   
   of cases and/or facilities requiring a review or other action as a result of a change in provider information.

State Response:

3. (46) Generate reconciliation and evaluation reports as needed * — Describe how the automated system supports the generation of

1. documents,
2. notices, and
3. reports, as needed.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

State Response:

4. (47) Record and track provider training - Describe how the system records and tracks provider

1. training needs and
2. training received.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B: Foster / Adoptive Homes Support

Goal: To provide system support for the timely, efficient and effective administration of new foster/adoptive homes, of new information regarding existing homes, and of gaps in availability.

1. (48) Maintain and update foster care and adoptive home information as needed * — Describe how the automated system supports the

1. collection and
2. maintenance of
   foster care and adoptive home information, such as
   
   1. licensing decisions,
   2. violations and revocations,
   3. required AFCARS information, and
   4. completed training (as appropriate to the type of home).

State Response:

2. (49) Record foster care home abuse/neglect allegations and investigation results * "

1. Describe how the automated system supports the identification of foster care families where allegations of abuse/neglect have been reported and substantiated, as required by State law.
2. Does the automated system also support the investigation of such allegations and document the results?
3. If yes, please describe.
4. Is the information on these incidents integrated with other information on child abuse and neglect?

State Response:

3. (50) Process foster care/adoptive home applications — Describe how the automated system provides for the

1. recruitment, and
2. processing
   of foster care family applications.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

4. (51) Generate alerts/action items as needed if a foster care license is revoked — Describe how the automated system supports the

1. identification and
2. tracking
   of cases requiring a review or other action because of changing information.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

C. Resource Directory

Goal: To provide an automated mechanism where information on resources can be efficiently and effectively accessed to determine availability and the types and levels of services provided.

1. (52) Maintain directory — Does the automated system provide a directory / inventory of available resources and services? If yes, please describe how it works.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

2. (53) Generate reports — Describe how the automated system supports the generation of

1. management reports,
2. other alerts,
3. bulletins, and
4. notices
   related to resource availability.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

D. Contract Support

Goal: To provide automated support for the timely, efficient and effective administration of the contract process to ensure that resources are available for service provision.

1. (54) Process contracts and contract changes — Describe how the automated system supports the

1. creation,
2. processing,
3. monitoring, and
4. modification of contracts.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

2. (55) Record contract-monitoring results — Describe how the automated system supports efforts to monitor contractual compliance.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

3. (56) Generate alerts/action items as needed. — Describe how the automated system supports the

1. timely identification and
2. continued tracking
   of cases requiring a review or other action as a result of monitoring activities.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

4. (57) Generate documents as needed — Describe how the automated system supports the generation of

1. notices and
2. reports such as reconciliation and evaluation reports
   during, or resulting from, the monitoring of contract support.

The State may refer to sequential question number twelve (12) for a description of the general system capabilities related to this component of the system.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B. V: Court Processing

Goal: To ensure the efficient and effective administration of the processes necessary for involvement with the appropriate judicial body.

This function encompasses an array of legal activities and documentation procedures involving judicial events requiring action on the part of the State agency.

A. Court Documents

Goal: To ensure the automated support of the accurate and timely production of appropriate court related documents.

1. (58) Describe how the automated system provides for the preparation of State agency documents for the courts, such as petitions, letters, attorney approvals, and supervisory approvals.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B. Notifications

Goal: To ensure that involved individuals receive accurate and timely notifications of upcoming court activities.

1. (59) Describe how the automated system notifies relevant parties of impending court actions.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

C. Tracking

Goal: To provide automated system support to ensure the effective and efficient administration of activities resulting from decisions reached during court proceedings.

1. (60) Describe how the automated system

1. monitors and
2. tracks
   court-related events requiring State agency action, such as recording the initial request and final outcome of all
   
   1. petitions,
   2. trials,
   3. hearings,
   4. detention proceedings,
   5. periodic reviews,
   6. adoptions, and
   7. change of placements.
3. Are court decisions recorded in the electronic case folder?

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

D. Indian Child Welfare Act

Goal: To provide automated system support to ensure the effective and efficient administration of activities necessary to meet the requirements of the Indian Child Welfare Act.

1. (61) Describe how the automated system supports the requirements of the Indian Child Welfare Act.

Was this Function selected as an Option in the State's Approved APD? YES NO .

If Yes -

State Response:

B. VI: Financial Management

Goal: To support through automation, the effective and efficient management of the processes necessary to ensure the accurate and timely authorization, processing, and reconciliation of financial records and transactions.

This function tracks and manages financial transactions. It may be part of the SACWIS itself or may be an automated interface to a department or statewide financial system.

A. Accounts Payable

Goal: To insure the accurate and timely submittal of information to support payment, or voucher creation, to all providers.

1. (62) Describe how the automated system supports the accounts payable process (billing, vouchers, etc.). *

State Response:

B. Accounts Receivable

Goal: The goal is to ensure the accurate and timely submittal of information to support the collection of funds due the agency.

1. (63) Describe how the automated system supports the accounts receivable process, such as

1. overpayments,
2. trust funds, and
3. other income or resources (e.g., SSI, etc.). *

State Response:

C. Provider Claims

Goal: To ensure the efficient and effective administration of a payment/financial system by providing the information necessary to produce the documentation to adjust claims.

1. (64) Provider Claims Processing. *

1. Describe how the automated system supports the generation of provider payments and remittance advice based on authorized services.
2. The response should describe how the automated system supports provider claims processing resulting from the notification of status changes - including
   
   1. termination of the case and/or
   2. information received from other Federal/State programs.

State Response:

B. VII: Administration

This function incorporates procedures for ensuring support for efficient management of as well as reliable and accurate operation of the system.

Goal: To provide reliable and accurate inf