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The Office Of Children, Youth and Families (OCYF) Contract Documentation related to Group Homes/Institutions April 2009 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) 2 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 3 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 More that one option to report expenses Automation 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 4 Institutional Facility Services The Per diems are based on licensed bed capacity. Out of State Providers Must be licensed. Budget Reports/Support Documentation. Office of Developmental Programs (ODP) Exception-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. 5 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 IVE guidelines. • Outstanding submissions 6 Revised Submission ProcessFY_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 Out of home service providers licensed by the Office of Developmental Programs (ODP) County Review Teams County Review Teams Publicly Operated Out of home service providers Office of Children, Youth, and Families (OCYF) 7 Public vs. Private Submissions 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 8 Calculation Sheet Documentation Submission Provide r Budget Forms County Review Team Provide r Budget Forms County Review Team Provide r Budget Forms County Review Team Provide r Budget Forms OCYF E-mail Resource Account County Review Team OCYF Secure Web Page [email protected] State Act 148 & Title IV-E Per Diems 9 Questions By Email Please send questions regarding the Excel Workbook or automated process to the resource account. [email protected] 10 OCYFContract Documentation March/April 2009 Group Home/Institutional Forms OCYF Per Diem Contract Documentation Flowchart 12 Institutional Facility/Group Home Appendix B Coversheet 13 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. 14 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. 15 Institutional Facility/Group Home Appendix B- Coversheet 16 Institutional Facility/Group Home Appendix B- Coversheet 17 Summary Rate Sheet Summary Rate Sheet •Complete this sheet for Child Welfare Programs Only. Please be sure to include all of the child welfare programs under your agency on this summary rate sheet. •Report the total per diem rate along with the Title IV-E per diem rate that is being requested for services rendered for each child welfare program. Please do not report the calculated rate on this sheet. •If there is no Unit ID then put N/A in this column. •If you have multiple units/facilities that have several certificate of compliance numbers and all programs have the same per diem rate and provide the same service, then you do not have to list each unit/facility separately. In the column under the Certificate of Compliance Number, type in the word MULTIPLE and fill in one certificate of compliance number. Under the column Unit & Facility Name please fill in the name of the facilities/units that is commonly used to describe the programs. Then fill in rate requested for the programs. Certificate of Compliance Number Unit ID Unit & Facility Name Requested Per Diem Rate Requested Title IV-E Per Diem Rate 18 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. 19 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. 20 Institutional Facility Staff Roster 21 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. 22 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 Pink button 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 23 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. 24 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. 25 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. 26 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. 27 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. 28 Institutional Facility Staff Projection 29 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. 30 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. 31 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. 32 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 parttime 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. 33 Institutional Facility Staff Projection cont. ***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. 34 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. 35 Institutional Facility Expenditure Sheet 36 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. 37 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 Direct Care Expenses Facility & Operational Expense 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. 38 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. 39 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 Foundation endorsements Program Income Medical Assistance Title 1 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. 40 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. 41 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. 42 Indirect Administrative Staff Roster 43 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. 44 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. 45 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 46 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. 47 Indirect Administrative Expense 48 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. 49 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. 50 Indirect Administrative Expense cont. When Completing This Sheet: The sheet has 3 different sections to report costs. Personnel Expense Offsetting Revenue Facility & Operational Expense Each section will automatically subtotal The salary/wage expenditures reported on the Indirect Administrative Staff Roster sheet for each of the three (3) different job categories will automatically transfer to the Personnel Expenses section of this sheet for their corresponding FY years. 51 Indirect Administrative Expense cont. If an expense item does not fit one of the defined line items, list it separately under “Other- please list” in terms that clearly describe the expenditure. For example: • Items such as the following will be questioned: Miscellaneous Purchased Service Professional Fees General Administration Administrative Activities Other Admin ***Narrative at the bottom of the page -Please explain to the greatest detail possible how the Title IVE allowable amounts were developed for the indirect administrative expenses. Example: The Indirect Administrative Expenses were determined to be allowable based on the same percentage of direct expenses that were Title IV-E allowable. 52 Indirect Administrative Expense cont. ***Narrative at the bottom of the page cont. Items to consider when completing this section to explain Title IV-E allowable amounts: ● Personnel cost may be allocated differently then operational costs ● Personnel costs could be split based on job function(s) ● Some staff may be working in Title IV-E eligible programs but their salary costs may not be Title IV-E allowable 53 Cost Allocation Description 54 Cost Allocation Description The purpose of this form is to: • Understand how the equitable distribution of Indirect Administrative Expenses are allocated by the Parent Organization. • Delineate between eligible and ineligible costs for state and federal financial participation. • Ensure that the distributed of eligible costs are allocated to the appropriate programs. 55 Cost Allocation Description cont. When Completing This Sheet: Summarize the methodology and procedures that is used to allocate costs to various programs. The charges are reasonable- A cost may be considered reasonable if the nature of the goods or services, and the price paid for the goods or services, reflects the action that a prudent person would have taken given the prevailing circumstances at the time the decision to incur the cost was made. Charges must benefit the program that is receiving them. 56 Cost Allocation Description cont. Include all programs that fall within the organization (not just child welfare programs) The organizational chart should show the connection/relationship between departments which helps support the allocation of charges between/among departments/units. 57 Master List of All Agency Programs 58 Master List of All Agency Programs The purpose of this form is to: • A listing of all child welfare and non-child welfare programs within the agency. • A listing of all Title IV-E eligible foster care (residential and foster family home) programs within the agency. • Outline the fair and equitable distribution of Indirect Administrative Expenses to each program within the organization. • Identify the distribution of Indirect Administrative Expenses by reporting the percentage and dollar amounts assigned to each program. 59 Master List of All Agency Programs When Completing This Sheet: When the coversheet is completed, the dates for the FY’s will automatically populate at the top of each column. Please report how indirect administrative costs are allocated to child welfare programs as well as all nonchild welfare programs. Identify the licensing agency that issued the certificate of compliance for the services provided. This column is not just limited to state OCYF licensing offices but any state or federally licensing entity. If there is no licensing agency then put N/A in the box. 60 Master List of All Agency Programs List the number of beds that have been licensed for the facility/program. Note: If you have multiple units or unit ID’s under one certificate of compliance number, please ensure that when the number of licensed beds are added together for each unit, that number of beds matches the total number of licensed beds assigned to that certificate of compliance number. Please list each unit on a separate line along with its’ corresponding number of licensed beds 61 Master List of All Agency Programs Enter the percentage and dollar amount of the total indirect administrative budget that is attributed to each facility/program and/or unit. In the last column, enter the Title IV-E allowable dollar amount that is attributed to Title lV-E eligible programs. If the program/unit is not eligible for Title IV-E funding, place a 0.00 in the column to signify that the program/unit is not eligible for Title IV-E funding. Since the form is for FY 2009/20010-The total amount of Title IV-E for all programs within your agency should equal the amount listed on Net Total of Agency Indirect Administrative Expense line for the Projected Budget FY Title IV-E Allowable column. 62 Service Delivery Chart 63 Service Delivery Charts The purpose of this form is to: • This service delivery chart is designed to reflect the units/days of service delivered over a three year periodPrior Year Actual Audited, Current Estimated Actual and Projected FY. • To provide specific month by month projections or actual days of service that are delivered for group home/institutional programs. • Trends in utilization of service per certificate of compliance number. 64 Service Delivery Charts When Completing This Sheet: Please complete a chart for all children and youth group home/institutional services your agency operates. You may create as many charts as necessary to report services. Only one chart per certificate of compliance is necessary for each FY. Fill in the Name of the Program, Type of Program, Certificate of Compliance number and Total number of licensed beds. 65 Service Delivery Charts If completing this packet for multiple certification numbers, combine the number of licensed beds for all certificates. If there are multiple units within one certification number, please use the number of licensed beds as designated under the certificate of compliance. Days in Care – Enter the total number of service days provided during the month. Final Total for Year- This should be the addition of all units/days of service for that year under that certificate of compliance number. 66 Institutional Facility Per Diem Calculation Worksheet 67 Institutional Facility Per Diem Calculation Worksheet The purpose of this form is to: • This form summarizes data from other supporting documentation to make the final purposed contracted per diem calculation. • The per diem calculation worksheet is designed to identify the facility’s operational and direct care expenditures and, if applicable, the proportional share of indirect administrative expenditures related to the facility. • Calculation of the Title IV-E allowable rate. 68 Institutional Facility Per Diem Calculation Worksheet 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 reflects a three year trend, starting with most recent prior year actual audited expenditures, the current estimated actual budget year, and projected budget year expenditures. The Net Facility/Direct Care Expense line will automatically be populated based on the information reported on the Institutional Facility Expenditure sheet. 69 Institutional Facility Per Diem Calculation Worksheet The Indirect Administrative Expense line should contain only the amount of indirect administrative expense that is allocated to the facility/unit in which the forms are being completed. Do not put the total agency indirect administrative expense in this line. Indirect Admin Expense will need to be manually entered. The dollar/percentage amount of Indirect Administrative Expense that is listed on the Master List of All Agency Programs for each designated facility/unit should be the same as the amount listed on the Indirect Administrative Expense line of this sheet. If completing this packet for multiple certification numbers, enter the combined total of Indirect Administrative Expense for each cert number for which the packet is being completed. 70 Institutional Facility Per Diem Calculation Worksheet The Grand Total line will automatically populate. For each FY- Enter the number of licensed beds and the occupancy rate. Number of Licensed Beds – This should be the number of licensed beds indicated on the Certificate of Compliance. If the Certificate of Compliance has more than one unit assigned to it, put the number of beds that are assigned to that specific unit in this line. 71 Institutional Facility Per Diem Calculation Worksheet Note: If provider is completing this packet for multiple certificate of compliance numbers in which the same per diem rate will be charged for several certificate of compliance numbers, then the number of licensed beds should be the total of all licensed beds for the all certificate of compliance numbers that are stated on the institutional facility coversheet. The Total Care Days/Units Provided and the Calculated Rate will automatically populate for each FY. 72 Institutional Facility Per Diem Calculation Worksheet The Title IV-E allowable percentage for each fiscal year is calculated by dividing the Title IV-E allowable calculated rate by the Total Per Diem rate. For the Projected Budget FY the Title IV-E allowable percentage should automatically populate. County Contracted Rate- This is the final per diem rate that is negotiated between the service provider and the county level agency. Prior year actual audited- fill in the contracted rate Current estimated actual- fill this in if you have the info Projected budget year- this will not be filled in until negotiations are completed. 73 Submitting Contract Documentation Only Electronic Submissions will be accepted. Contract Documentation must be in Excel format. Send the initial contract documentation forms to: [email protected] A representative from the contract review team will be in touch with you to discuss the materials that were submitted for review and to request additional documentation such as audit reports & program descriptions. When the review is complete, the contract review team will submit the final contract documentation to OCYF for final Quality Assurance check . A formal letter will be mailed to the provider from OCYF reporting the final allowable rate. 74 Questions??? 75