Self-Assessment: Meeting Federal Compliance Through Timely Service Delivery

1. Self-Assessment: Meeting Federal Compliance Through Timely Service Delivery Presented By: Ann Moneymaker & Kaye Long

2. What is Self-Assessment? • The CSS program operates under Section 454 of the Title IV-D of the Social Security Act. • Section 342 ‘FEDERAL AND STATE REVIEWS AND AUDITS of PRWORA amended the IV‐D Act to require States to provide for a process of annual reviews of and reports to the Secretary of HHS on the State child support program • Self-Assessment (SA) is a unit in CSS Central Office that reviews a random sample of CSS cases to see if the work on the case is in compliance with the Code of Federal Regulations or CFR’s • SA identifies areas for improvement and improves service delivery to customers • The reviews aid in the qualification of incentive dollars and avoidance of penalties

3. Self-Assessment Process • The feds outlined eight federal Self-Assessment Measures. The detail of each of these measures is known as the Code of Federal Regulations or CFR’s. The measures are: • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

4. Federal Performance Standards The eight federal measures are tied to six Federal Performance Indicators. This is important because the States receives either financial incentives or penalties as a result of these performance indicators: • Paternity Establishment • Order Establishment • Collection of Current Support • Collection of Arrearages • Cost Effectiveness • Medical Support Every person who enters information in KAECSES is critical to the success of our program.

5. What Happens with the Findings? • Dividing the random sample into 4 quarters and reviewing each case for all 8 federal criteria for a 1 year time span. • Reviewing each case for each of the eight federal criteria and the time frames attached to each criteria. HOW, WHERE and in what TIME FRAME the action is completed and entered on KAECSES, determines if a case passes or fails. • The results are quarterly reports distributed in April, July, October and January. For example: • Review Period 17, Quarter 2 • Actions between April 2013- March 2014 and the results are sent to the field in July 2014

6. Self-Assessment Process: Closure • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

7. Questions/KAECSES Screens: Case Closure • Was the case closed appropriately? If so, was a 60-day closure letter sent if appropriate? • CADS: CSS Closure Letter, CSS Closure Date, CSS Closure Reason fields. • PEPR: Are there open programs that require CSS involvement? • CHDS: Has child(ren) emancipated? • CURA: How much is CURA for each child attached to the case? • COMN: Are NCP/children active on another case? • OPAY: Are there any active debts attached to the case? • LACS: Has the IWO been terminated, if appropriate? Has a full termination of assignment been filed? • CSLN: Explanation of why the case was closed.

8. Self-Assessment Process: Establishment • The feds have outlined eight federal Self-Assessment Measures. The detail of each of these measures is known as the Code of Federal Regulations. The measures are: • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. • . -

9. Establishment Questions Was case assessed within 20 days of referral or application? Was the NCP located? If locate was needed, was it done within 75 days? And repeated every 90 days? If the NCP was located, was an order established within 90 days? If not, was service accomplished within 90 days? If service was unsuccessful, were attempts at service documented?

10. KAECSES Screens: establishment • ADDR, locate tools such as Drivers License, FIDM: Is NCP address verified or is locate being pursued? • JAIL, Kansas Department of Corrections web site (KASPER), Federal Bureau of Prisons web site (bop.gov): Is the NCP incarcerated? • INCS: Send Date, Return Date, Return Code, Start Date fields. Also, Kansas unemployment (BARI), Kansas wages (BASI), social security system (SVES): Is the NCP currently or recently employed? • CHDS: Has child(ren) emancipated? • CPAT and Vital Statistics: Did NCP sign the birth certificate? Is CPAT correct? • PEPR and EES side: Are the children on open programs that require CSS involvement? Is the NCP on TANF or other assistance? • COMN: Are there other cases for the NCP and/or children? • LGRQ: If the NCP is located, has legal paperwork been created and provided to attorney to file petition? • LACS: Does a petition exist? Was a JE filed during the review period? • SERV: Has service been attempted? Was it successful? • HEAR: Has a hearing been scheduled? If so, has it occurred? If so, what was the outcome? • COMP, LROL, LOPS, OACC or ONAC: Are all active children on the case included in any existing orders? • CSLN • GTSC: has genetic testing been scheduled and/or completed • Review Completed? Six month-EST; 12 month- ENF (CRIN, CROLO, CRPA, CRES): If establishment is an issue, what is the status of locate? Paternity? Legal, i.e.. service, etc.

11. Self-Assessment Process: Expedited Process • The feds have outlined eight federal Self-Assessment Measures. The detail of each of these measures is known as the Code of Federal Regulations. The measures are: • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

12. Questions/KAECSES Screens: Expedited Process (Service of Process) Was a support order filed within 6 months of service? If not, within 12 months of service? • LACT: File Date field of a J class • SERV: Service Date field • CSLN

13. Self-Assessment Process: Enforcement • The feds have outlined eight federal Self-Assessment Measures. The detail of each of these measures is known as the Code of Federal Regulations. The measures are: • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

14. Enforcement of Support Obligation • Have payments been received? • If employer verified, was an IWO initiated within 15 days? • If IWO was not appropriate, what other enforcement actions were taken (demand letter, contempt, garnishment)? • Was the NCP located? • If locate was needed, was it done within 75 days? And repeated every 90 days? • Was opening assessment done within 20 days of referral or application? • If appropriate, was case submitted for DSO?

15. KAECSES Screens: enforcement • OPAY: If incoming interstate, have debts been activated on the out-of-state order even if order has not yet been registered in Kansas? • PAYR: Was an IWO payment received in the last quarter of the review period? If not, was any payment received during the review period? • OBLO: Are debts associated to this case certified for both FDSO and SDSO? • BKRP, EXMP, EXGR: If debt is not certified, why not? Is there bankruptcy? (If so, is it chapter 7 or 13?) Is there an explanation on CSLN? • ADDR, locate tools such as Drivers License, FIDM: Is NCP address verified or is locate being pursued? • JAIL, Kansas Department of Corrections web site (KASPER), Federal Bureau of Prisons web site (bop.gov): Is the NCP incarcerated? • INCS: Send Date, Return Date, Return Code, Start Date fields. Also, Kansas unemployment (BARI), Kansas wages (BASI), social security system (SVES): Is the NCP currently or recently employed? • CHDS: Has child(ren) emancipated? If yes, OACC- Is current support still accruing? Dormancy an issue? • PEPR: Is the NCP on TANF? • LGRQ: If the NCP is located, has the case been referred to legal for enforcement? • LACS/HEAR: If no payments and employment is known, was an IWO initiated to the employer? Have there been other enforcement actions initiated, if appropriate? • HEAR: Has a hearing been scheduled? If so, has it occurred? If so, what was the outcome? • FIDM: Is there adequate account balance to pursue a garnishment? • CSLN • Review Completed? Six month-EST; 12 month- ENF (CRIN, CREN): If establishment is an issue, what is the status of locate? Paternity? Legal, i.e.. service, etc.?

16. Self-Assessment Process: Disbursement • The feds have outlined eight federal Self-Assessment Measures. The detail of each of these measures is known as the Code of Federal Regulations. The measures are: • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

17. Questions/KAECSES Screens: Disbursement of Collections Have payments been received? Were the payments disbursed within two business days from the date of receipt? • PEPR: If child is on TANF or in Foster Care and receives SSA, are payments being (re)directed to DCF? • PAYR, CRUC: If suspense exists, was the payment received more than two days before the end of the review period? • COLL, PACC: Is error disbursement an issue? • WDTL: Is suppression an issue, i.e., excess CS over URA? If so, is it being resolved? • CRRC: If last payment is from FDSO, is it from a joint return? (Page two of CRRC.) • CRRU: If last payment included a refund, was the refund disbursed within two days? • CSLN: If there is a problem with disbursement, is there an explanation on CSLN?

18. Self-Assessment Process: Medical • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

19. Questions: Establishing and EnforcingMedical Support Orders Was medical included in the petition/support order? Is health insurance available? Is it affordable? Is medical support provided? Was the Medicaid agency informed of coverage? Was the CP informed of coverage and the employer notified to inform DCF of lapses in coverage? What steps were taken to determine if coverage was available and/or enforceable?

20. KAECSES Screens: Medical • LACS: Was a P or J class filed during the review period? If a HIC detail exists on JE, was an auto-MWO issued during the review period? • LDET: Does a HIC detail exist? • PEPR, MEBH on EES side: Is child open MACM, requiring CSS involvement? Is child on MP? If child is receiving medical benefits with the state, is child residing with CP? NCP? Relative? • INCS: Send Date, Return Date, Return Code. If NCP is employed but no EL is sent, definite concern exists and case may possibly fail. • JAIL, PEPR, CSLN: Is the NCP in jail/prison, on assistance or self-employed? If so, HIC is probably not available. • HIPL, HICP, HIPH: If coverage exists, are specifics included here? • CSLN: Was a medical inquiry letter sent to NCP and/or CP during the review period? If HIC wasn’t ordered, is effort being made to get it ordered, if appropriate? • Review Completed? Six months-EST; 12 months- ENF (CRIN, CRMD): If medical support is an issue, is there an explanation of what is (is not) ordered? What is the status of availability? If available, is it in place? If in place, does HIC information exist on the system?

21. Self-Assessment Process R&A • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

22. Questions: Review & Adjustment WasTANF was open on or afterOctober 2007 and the order or the last legitimate modification review is more than 3 years old? If yes, the case is a mandatory modification review. Was a review completed at the request of either party within 180 days of the request, or locating the non-requesting parent, whichever occurred later? Were the results of the review documented? (CRME option 2) Were the CP and NCP notified of their right to request a modification at least once every three years? Was the NCP located? If locate was needed, was it done within 75 days? And repeated every 90 days? CP/CH open CC/MACM/AF case is mandatory for compliance

23. KAECSES Screens: Review & Adjustment • LACS: Has it been three years since the last JE was filed? • ADDR, Drivers License, FIDM: Is NCP address verified or is locate being pursued? • INCS, INCH: Send Date, Return Date, Return Code, Start Date fields. If NCP is employed, has income increased by 10% or more since the last order was filed? • BARI/BASI: is NCP employed, historical wages, unemployment wages • CHDS: Have children changed age brackets since the order was filed? • PEPR: Has there been a change in programs since the last JE was filed? Is NCP open on any assistance with biological child in the home? • ROLE: Does NCP have any open cases as CP? Any biological children in the home? • CSLN • OPAY/PAYR: is NCP paying current support on other cases • Case Review Completed? Six months-EST; 12 months- ENF • CRIN: Has the order ever been reviewed for modification? If so, when? Are there any circumstances during the review that warrant a review, i.e. CP or NCP request of a review

24. Self-Assessment Process: Outgoing Intergovernmental • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

25. Questions: Outgoing Intergovernmental Services Was the NCP located in another state and have the appropriate referrals and paperwork been sent to the receiving state within 20 calendar days? Was the responding State provided with any requested additional information within 30 calendar days of receipt of the request? Was the responding State notified within 10 working days of receipt of new information on a case? Was a request for review of a child support order to another State sent within 20 calendar days of determining that a review is requested/warranted?

26. KAECSES Screens: Outgoing Intergovernmental Services • OINR: Is the screen filled out and shows that the outgoing intergovernmental case is open? • IREQ: Have CSEnet transactions been made during the review period? • LACS: Does an order exist? Was a UIFSA filed during the review period? • CSLN

27. Self-Assessment Process: Incoming Intergovernmental • Case Closure • Establishment of Paternity and Child Support Orders • Expedited Process • Enforcement of Support Obligation • Disbursement of Collections • Establishing and Enforcing Medical Support Orders • Review and Adjustment • Intergovernmental Services (Initiating and Responding) • The passage or failure of each of the criteria is directly related to HOW and WHEN the screens/processes in KAECSES are completed. It is VERY important to complete the screens correctly and within the federal timeframes. -

28. Questions: Incoming Intergovernmental Services Was a response sent to inquiries from other States within 5 working days of receipt of the request? Was the initiating State notified of the non custodial parent’s new address within 10 working days of locating the non custodial parent in a different State? Was the initiating State notified within 10 working days of receipt of new information on a case?

29. KAECSES Screens: Incoming Intergovernmental Services • IIMC: Is the screen filled out and does it show that the incoming interstate case is open? • IREQ: Have CSEnet transactions been made during the review period? • ADDR, Drivers License, FIDM: Is NCP address verified or is locate being pursued? • INCS: Send Date, Return Date, Return Code, Start Date fields. • Also, Kansas unemployment (BARI), Kansas wages (BASI): Is the NCP currently or recently employed? • PEPR: Has the incoming interstate program been added? • LGRQ: If the NCP is located, is the case referred? • LACS: Does an order exist? • OPAY: If an order exists, have debts been correctly activated? If the order is from out of state, have debts been correctly activated even if the order isn’t yet registered in Kansas? Once registered, are all of the original state LDET on the registered Kansas order (with the exception of the EP LDET)? • CSLN:

30. My case is on the report…now what? The deficiencies are addressed using a CAP (corrective Action Plan) form. The CAP form is on SharePoint under CSS forms- Self-Assessment Correction Action Response form. • CAP forms are to be completed on EVERY exclusion, failed, concerned or revisit case unless it is specifically stated on the report that one is not needed. • CAP forms have a due date. Time is given in anticipation that the deficiency will be resolved or is well on its way to resolution by the due date. • CAP forms should be completed before the due date and sent to your supervisor for review prior to being sent to Ann Moneymaker at CSS Central Office. Each CAP form should be its own document and should be saved as follows: JD, NCP last name, NCP first name i.e. 20 Doe, John • If you disagree with a SA finding, complete the CAP form and staff it with your supervisor. • Revisits are delinquency cases from prior review period where the deficiency has not been adequately addressed. IT IS BEST TO AVOID REVISITS. Many issues require more follow up than the CAP form time frame may allow. • During the review period, you may receive an email from SA asking you to address a failure now, rather than waiting until the quarterly reports come out. These are situations that usually cannot wait. This is also true of concerns or exclusions. SA does this when the issue is something small that can be addressed quickly, thus keeping the case off of the quarterly report.

31. SA OVERVIEW: • SA review are federal mandated • Reports come out to staff on a quarterly basis • Cases pass/fail based on timely case action and how and where information is on KAECSES • CAP forms are done to show how the identified deficiency has been addressed • How the State performs is tied to the incentive dollars the Child Support program receives and the quality of service we provide • Corrective action plans can be implemented if we fail to meet the federal minimum standard for any of the 8 criteria NARRATE! NARRATE! NARRATE! If it is not narrated, it didn’t happen! -

32. Resources • Federal Regulations: http://www.gpo.gov/fdsys/pkg/CFR-2010-title45-vol2/pdf/CFR-2010-title45-vol2-chapIII.pdf • Ann Moneymaker (Self-Assessment Case Reviewer): ann.moneymaker@dcf.ks.gov • CSS SharePoint Publication Website: http://srsshare.srs.ks.gov/CSS/Pubs/Pages/Training.aspx • CSS Supervisors/Trainers /PM’s/PA’s

33. Thank you for your time! Ann Moneymaker KS Self-Assessment Ann.moneymaker@dcf.ks.gov 785-296-0503 Kaye Long Program Administrator, Southeast Kaye.Long@dcf.ks.gov

34. SA Forms Pat Est Timeline Medical Screens UIFSA CEJ CSENet States SA Review Outline SA Manual CAP Form SA Overview