The Office Of Children, Youth and Families (OCYF)

1. The Office Of Children, Youth and Families (OCYF) Contract Documentation related to Group Homes/Institutions April 2009

2. Morning Agenda 8:00am-12:00pm • Introductions • Purpose & General Updates • LaShanna Sloane • Institutional Facilities/Group Homes • Erica Nocho • Questions • Foster Family Contract Documentation • Michael Laird (Afternoon Session)

3. Purpose of Bulletin • Provide documentation to support allowable expenses for… • State Act 148 and Title IV-E funded services. The Original Residential Service Contract Documentation Bulletin released in May 2008. • Concerns expressed by Providers, Counties, and OCYF observation • Not enough clarity • No automation • Cumbersome Submission and Review Process

4. Revised Contract Documentation Bulletin • Introduction • Out of Home Placement Services • Who is subject to complete contract documentation • Revised the current Submission and Review Process • Appendix B • Electronic Submissions • Automation • More that one option to report expenses • Multiple certificates with the same per diem • Revised overall structure of Appendix B/Support Documentation • Understand relationship between the forms • Additional clarification has been added • Indirect expenses/Cost Allocation • Some examples have been added • FTE calculations • Modified forms to focus on service • Rosters focus on job functions • Added clear instructions from Bulletin to forms • Reduce time/convenience

5. Institutional Facility Services • The Per diems are based on licensed bed capacity. • Exception-Office of Developmental Programs (ODP). • Out of State Providers • Must be licensed. • Budget Reports/Support Documentation. • Office of Developmental Programs (ODP) • ODP Cost Reports-Difficult to identify State/Federal Funding • Publicly Operated Residential Service Providers • Must complete forms. • Reviewed by OCYF.

6. Initial Submission Process 08/09FY Separating the contracts based on per diem • 200 + OCYF • Below 200 sent to the county agencies • Concerns expressed by Providers, Counties, and OCYF observation • Different per diem rates for the same service. • Duplication of Efforts • Inconsistency with Implementing State Act 148 and Title IV-E guidelines. • Outstanding submissions

7. Revised Submission Process-FY_09/10 Statewide Involvement • County Review Teams • Consists of members from the county agencies • OCYF • To provide Technical Assistance to the county review teams Review Structure • Privately Operated Out of home service providers • County Review Teams • Out of home service providers licensed by the Office of Developmental Programs (ODP) • County Review Teams • Publicly Operated Out of home service providers • Office of Children, Youth, and Families (OCYF)

8. Public Providers Institutional Residential Service Provider Cover Sheet Rate Sheet Institutional Facility Staff Roster Institutional Facility Staff Projection Sheet Institutional Facility Expenditure Sheet Service Delivery Chart Institutional Facility Per Diem Calculation Sheet Private Providers Institutional Residential Service Provider Cover Sheet Rate Sheet Institutional Facility Staff Roster Institutional Facility Staff Projection Sheet Institutional Facility Expenditure Sheet Indirect Administrative Staff Roster Indirect Administrative Expense Sheet Cost Allocation Description Master List of All Agency Programs Sheet Service Delivery Chart Institutional Facility Per Diem Calculation Sheet Public vs. Private Submissions

9. Documentation Submission Provider Budget Forms County Review Team Provider Budget Forms County Review Team Provider Budget Forms County Review Team Provider Budget Forms County Review Team OCYF E-mail Resource Account Ra-ocyfcontracts@state.pa.us OCYF Secure Web Page State Act 148 & Title IV-E Per Diems

10. Questions • By Email • Please send questions regarding the Excel Workbook or automated process to the resource account. • ra-ocyfcontracts@state.pa.us

11. OCYF-Contract DocumentationMarch/April 2009 Group Home/Institutional Forms

12. OCYF Per Diem Contract Documentation Flowchart

13. Institutional Facility/Group Home Appendix B Coversheet

14. Institutional Facility/Group Home- Appendix B Coversheet • Purpose of the Sheet: • To identify the facility(s)/unit(s) for which the contract documentation is being submitted. • Provide the reviewer with information on who to contact when there are questions about the materials submitted. • Pertinent information listed within this cover sheet will populate to the forms listed within this Appendix.

15. Institutional Facility/Group Home- Appendix B Coversheet • When Completing This Sheet: • All fields listed on sheet must be completed. If a field does not apply, please insert N/A in that field. • This cover sheet must be completed for single submissions, multiple submissions, and/or re-submissions. • If completing the contract documentation packet for multiple certificate of compliance numbers who have the same service and same per diem rate, please complete the bottom of the coversheet. Note: When completing this packet for multiple facilities, compile all expenses and report the overall total for each area of the forms.  The singular packet will display all expenses for all included certificate of compliance numbers as well as the total days of care for all included certificate of compliance numbers.

16. Institutional Facility/Group Home Appendix B- Coversheet

17. Institutional Facility/Group Home Appendix B- Coversheet

18. Summary Rate Sheet

19. Summary Rate Sheet • Purpose of the Sheet: • To be used as a quick reference sheet to identify the requested total per diem rate as well as Title IV-E per diem rate for Foster Family Home services and Group Home/Institutional services in the agency. • To have a listing of Foster Family Home services as well as Group Home/Institutional services and know what per diem rate is being requested by the provider.

20. Summary Rate Sheet When Completing This Sheet: • Complete this sheet for all Foster Family Home programs and Group Home/Institutional services within the agency. • Please list the Requested per diem rate and Requested Title IV-E rate. • If there is no Unit ID or Title IV-E rate then put N/A • If there are multiple certificate of compliance numbers but all have the same rate and same service, type in MULTIPLE and then one certificate number, then under the column Unit Name/Facility Name please fill in the name of the facilities/units that is commonly used to describe the programs. Then fill in the requested per diem rate and requested Title IV-E rate for the programs.

21. Institutional Facility Staff Roster

22. Institutional Facility Staff Roster • The purpose of the form is: • Identify the baseline salary costs for staff that work in the institutional facility level. • Know what type of staff are working in the facility/unit and understand the variety of job functions that they perform at the facility. • The allocation of staff time to the specific facility.

23. Institutional Facility Staff Roster cont. When Completing This Sheet: • Information at the top of the page should automatically populate based on the proper completion of Appendix B coversheet. • Click on the Pinkbutton to insert a row for additional staff. • Enter Staff Name/ID and Position Title. • Is the staff hired as FT or PT for the Agency- enter the percentage of time they work. • Number of weeks worked-If the employee worked less then 52 weeks a year, please enter the number of weeks the employee worked. • Enter in the Total Annual Salary paid to the employee for the year

24. Institutional Facility Staff Roster cont. • Put in the allocation of staff time to the facility. • Employee positions are divided into five (5) categories: - Managers/Supervisors - Direct Care - Support Staff - Clinical/Treatment - Educational • For each employee, place the salary amount that corresponds to their job functions in the appropriate column(s). • Then enter the total salary/wage that is allocated to the facility.

25. Institutional Facility Staff Roster cont. • An error message in Red will appear in the right hand column if certain costs reported on this sheet do not correspond with each other. The Error Message will appear when……. The salary amounts in each job category and/or Total Salary/Wage allocated to the facility does not match with the percentage that was placed in the “Allocation to the Facility” column.

26. Institutional Facility Staff Roster- Example 1 In this example, the salary amounts listed in the Direct Care column and the Clinical/Treatment need to be been added together and placed in the “Total Salary/Wage allocated to this facility” column. This amount must be equal to the % of salary costs allocated to the facility. The red error message will automatically disappear when the correct amount is placed in the Total Salary/Wage allocated to facility column.

27. Institutional Facility Staff Roster- Example 2 In this example, the Total Salary/Wage allocated to the facility does not equal the percentage of time that was written in the “Allocation to Facility” column. The red error message will automatically disappear when: 1) the % allocated to the facility is changed to equal the total salary/wage allocated to the facility or; 2) the amounts in the salary categories equal the % reported in the “Allocation to Facility” column.

28. Institutional Facility Staff Roster- Example 3 In this example, several items could be incorrect. The Allocation to the facility, Total Annual Salary/Wage, the salary/wage amounts in the job categories or the Total Salary/Wage allocated to the facility.

29. Institutional Facility Staff Projection

30. Institutional Facility Staff Projection cont. • The purpose of this form is to: • Understand the number of staff (FTE) needed to run a facility/unit. • Understand how Title IV-E allowable amounts were developed for each job classification. • Understand how staff time is allocated to facility/unit. • Projection of staff costs over a three year period.

31. Institutional Facility Staff Projection cont. When Completing This Sheet: • Totals for each job category (Managers/Supervisors, Direct Care Staff, Support Staff, Clinical/Treatment, Educational) will automatically populate (Green shaded cells) based on information reported on the Institutional Facility Staff Roster. • Fill in job titles/positions under each job category. You may use the titles/positions that are on the sheet or fill in the title/positions that your agency uses. • Enter in the salary/wage costs and Title IV-E allowable amounts for each fiscal year.

32. Institutional Facility Staff Projection cont. • “Does the sum of job classifications equal the total of the institutional staff roster?” If this is true, then when the salary amounts are placed in the Prior Actual Audited FY column, a YES will appear in the cell below the Total for each job category. • Fill in the FTE for each job title/position. • Each of the columns will automatically total at the bottom of the sheet.

33. Institutional Facility Staff Projection cont. Full-time Equivalent (FTE) • Example One: If a work year is defined as 2080 hours then one staff member that is employed full time for entire year then that staff member is considered to be FTE = 1.0. Two employees working 1040 hours each, FTE = 0.5 x 2 = 1.0. • Example Two: 2 full-time staff (1.0 + 1.0= 2.0) and 3 part-time staff (1 at 75%, 1 at 50% and 1 at 10%). FTE would equal 2.0 + 0.75 + 0.50 + 0.10 or 3.35 FTE.

34. Institutional Facility Staff Projectioncont. • ***At Bottom of the Sheet Please Explain the Following: -How Institutional Facility Staff time is allocated to this facility Example1: ○ A time study was performed on all direct care staff which determined XX% percentage of their time was allocated to direct care job functions and XX% of their time was allocated to support staff job functions. Example 2: ○ For staff who work in multiple facilities- Staff time is based on actual time spent working in each program and is tracked by our payroll system.

35. Institutional Facility Staff Projection cont. ***At Bottom of the Sheet Please Explain the Following: - Any changes in staff counts (FTE) from year to year. - Any changes in staff salaries from year to year. - How Title IV-E allowable amounts were developed. Example: ○ Managers/Supervisors spend 80% of their time overseeing the Direct Care Staff whose only responsibility is supervising and monitoring children. Managers/Supervisors spend 20% of their time supervising Clinical staff whose primary responsibility is mental health counseling of children. Therefore our agency determined Managers/Supervisors salaries to be 80% Title IV-E allowable.

36. Institutional Facility Expenditure Sheet

37. Institutional Facility Expenditure Sheet • The purpose of this form is to: • To identify all expenditures for the facility/unit. • Understand the reasonableness of expenditures for a specific facility. • Understand the expenditures for institutional facilities which encompasses three budget years. • Determine if line item expenses qualify for state and/or federal financial participation.

38. Institutional Facility Expenditure Sheet cont. When Completing This Sheet: • The dates for the FY’s will automatically populate at the top of each column. • Green shaded cells indicate pre-populated totals/amounts. Only complete the unshaded line items/cells. • The sheet has 4 different sections to report costs. Personnel Expense Facility & Operational Expense Direct Care Expenses Offsetting Revenue • Each section will automatically subtotal • The salary/wage expenditures reported on the Institutional Facility Staff Projection sheet for each of the five different job categories will automatically transfer to the Personnel Expenses section of this sheet for their corresponding FY years.

39. Institutional Facility Expenditure Sheet cont. • Report all direct expenditures for the facility in line items listed on the form. • If an expense item does not fit one of the defined line items, list it separately under “Other” in terms that clearly describe the expenditure. • Vague line items such as the following will be questioned: Miscellaneous General Administration Purchased Service Administrative Activities Educational Services Medical/Psychological • Next, determine the Title IV-E allowable amount of costs from the total costs for each line item.

40. Institutional Facility Expenditure Sheet cont. • Enter costs for each FY in their respective columns along with their corresponding Title IV-E allowable amounts. • For Offsetting Revenue, please list any revenues that offsets the costs. Examples: Fundraising Medical Assistance Foundation endorsements Title 1 Program Income Clothing reimbursement • At the bottom of the sheet, the line identified as “NET Facility/Direct Care Expense” will calculate and be carried over to the Institutional Facility Per Diem Calculation Sheet.

41. Institutional Facility Expenditure Sheet cont. • Medical Assistance (county pays Room & Board only) • List all costs for the facility • List MA as an offsetting revenue If at anytime the county is going to pay for Treatment as well as Room and Board then the Provider will need to submit forms that shows the cost for both treatment & room and board.

42. Institutional Facility Expenditure Sheet cont. • Diagnostic Programs Forms can be completed in one of two ways…. 1) If the diagnostic cost is going to be included in the per diem then two sets of forms will need to be completed. - one set of forms should reflect the cost of all beds in the diagnostic unit - the other set of forms should reflect the regular facility/unit per diem without diagnostic 2) Can choose to bill for diagnostic services as a separate service charge.

43. Indirect Administrative Staff Roster

44. Indirect Administrative Staff Roster • The purpose of this form is to: •Identify each staff member, their position title, their role and salary within the parent organization. • Understand the variation in expenditures over a three year period. • Determining which staff may be ineligible for Title IV-E.

45. Indirect Administrative Staff Roster cont. When Completing This Sheet: • Staff on this roster should be staff that are employed at the parent organization that indirectly oversees the operation of the programs within agency. • This form is to be filled out to reflect positions and salaries for three fiscal year. • Information at the top of the page should automatically populate based on the proper completion of Appendix B coversheet. • On the form, enter Staff Name/ID and Position Title.

46. Indirect Administrative Staff Roster cont. • Employee positions are divided into three (3) categories - Administrative Staff - Support Staff - Clinical/Treatment/Educational • For each employee, place the salary amount that corresponds to their job functions in the appropriate column(s) for each FY. • The Total Annual Salary/Wage paid to the employee for each FY will automatically calculate

47. Indirect Administrative Staff Roster cont. • At bottom of the sheet please explain the following: - Any changes in staff from year to year - Any changes in staff salaries from year to year - If staff split their time among more than one job category please provide an explanation for how salary costs are divided • The total costs reported for each job category (Admin Staff, Support Staff and Clinical/Treatment/Education Staff) on this sheet will automatically transfer to the personnel salary costs section of the Indirect Administrative Expense sheet.

48. Indirect Administrative Expense

49. Indirect Administrative Expense • The purpose of this form is to: • To identify line item expenditures at the indirect administrative level and the projection of those expenditures over a three year period. • Determine if line item expenses qualify for state and/or federal financial participation. • Understand the reasonableness of expenditures for a parent organization.

50. Indirect Administrative Expense cont. When Completing This Sheet: • When the coversheet is completed, the dates for the FY’s will automatically populate at the top of each column. • Green shaded cells indicate pre-populated totals/amounts. Only complete the unshaded line items/cells. • The form requests a three year trend, starting with most recent prior year actual audited expenditures, the current estimated actual budget year, and projected budget year expenditures. • This sheet should be filled out to reflect the Total agency indirect costs.