1.7 Monitoring, Reviews, Reporting, and Independent Audits

Georgia State Seal

Georgia Division of Family and Children Services
Child Welfare Policy Manual

Chapter:

(1) Administration

Policy Title:

Monitoring, Reviews, Reporting, and Independent Audits

Policy Number:

1.7

Previous Policy Number(s):

N/A

Effective Date:

July 2020

Manual Transmittal:

2020-05

Codes/References

Title IV-E of the Social Security Act, Sections 471(a)(6), 471(a)(7) & 471(a)(13)

Requirements

The Division of Family and Children Services (DFCS) will:

  1. As the title IV-E state agency, submit reports on the appropriate form containing information on its title IV-E program as are required by the Secretary of the Department of Health and Human Services (HHS); and comply with such provisions as the Secretary may from time to time find necessary to assure the correctness and verification of such reports.

  2. Monitor and conduct evaluations of all activities carried out in the Title IV-E program to determine program effectiveness, improve outcomes for children and families, and ensure continuous quality improvement.

  3. Arrange for periodic and independent audits of its Title IV-E and IV-B programs at a minimum of once every three years.

Procedures

The designated DFCS staff will (see Practice Guidance: Monitoring/Review Processes):

  1. Report information on the title IV-E program by:

    1. Submitting reports on the appropriate form as required by the Secretary of the Department of Health and Human Services (HHS). This includes the title IV-E State Plan with amended provisions as necessary;

      DFCS understands that if and when title IV-E is amended or regulations are revised, a new or amended plan for title IV-E that conforms to the revisions will be submitted.

    2. Providing information necessary as requested by HHS to assure correctness and verify such reports; and

    3. Making information on its title IV-E program publicly available (see policy 1.9 Administration: Public Inspection of CFSR Material and Availability of Plans)

  2. Monitor and conduct evaluations by:

    1. Using Georgia SHINES tools/reports to ensure compliance with case planning and review, permanency planning, title IV-E eligibility and requirements, and requirements for the Child Abuse Prevention and Treatment Act (CAPTA).

    2. Statewide quality assurance reviews:

      1. Quality Case Reviews (See Practice Guidance: Quality Case Reviews)

      2. Continuous Quality Improvement (See Practice Guidance: Continuous Quality Improvement)

    3. Reviewing a random sample of all Revenue Maximization title IV-E cases in Georgia SHINES for case record documentation and data system processing for compliance with federal and state laws, regulations, directives, official issuances and departmental policies on a bi-annual basis;

    4. Conducting Quality Assurance Regional Reviews to identify staff errors, deficiencies for system processing, record documentation, Aid to Families with Dependent Children (AFDC) Relatedness and court order compliance;

      1. All identified incorrect or deficient cases will be corrected and documented at discovery;

      2. Prior to a federal title IV-E eligibility on-site review, all statewide title IV-E cases will be reviewed for potential errors and corrective actions will be taken prior to the receipt of the federal IV-E review audit sample.

  3. Arrange for periodic and independent audits with the DFCS Office of Fiscal Services by:

    1. Collaborating with the Office of the Inspector General (OIG) to conduct fiscal audits within selected DFCS regions annually;

    2. Arranging for audit services to be provided to other DFCS units as needed or desired; and

    3. Conducting special audits and reviews using the OIG Internal Audit Unit on various aspects of DFCS activities and responsibilities, as requested by departmental management.

Practice Guidance

Title IV-E State Plan

Under section 471(a) of the Social Security Act, as a condition of receiving title IV-E funding, states, territories, and tribes must have a title IV-E plan that is approved by the U.S. Department of Health and Human Services (HHS), Administration for Children and Families (ACF). The title IV-E plan is a single document that applies to all three title IV-E program components (foster care, adoption, and kinship guardianship).

The title IV-E plan ensures direct financial assistance is made available to eligible children under the title IV-E program. Further, it ensures that the state will adhere to federal plan requirements primarily intended to ensure children’s safety, permanence, and well-being, and shall be in effect and mandatory in all political subdivisions of the State. A title IV-E plan must be submitted to ACF using a "pre-print". The "pre-print" is a form that lists title IV-E provisions and provides a space for the title IV-E agency to fill in the relevant law, regulation, or policy indicating compliance with the given provision. Once the state plan has been submitted to HHS and approved, it remains in effect until amendments are required. An amendment is required if there is any significant and relevant change in the information or assurances in the plan, or the organization, policies or operations described in the plan (see policy 1.9 Administration: Public Inspection of CFSR Material and Availability of Plans).

Monitoring/Review Processes

  1. The monitoring process includes components of Georgia’s Comprehensive Child Welfare Information System (CCWIS), also known as Georgia SHINES, statewide quality assurance review process, Title IV-E review process, and internal audits. Georgia SHINES has reporting tools available for child welfare staff to monitor compliance, which are Georgia SHINES and LENSES reports. Additionally, there are interfaces between Georgia SHINES and other state systems; some interfaces support a business process (e.g. Medicaid application) and some provide access to client information – either to access data or retrieve and store in Georgia SHINES.

  2. Quality Case Reviews (QCR): The Quality Assurance (QA)/Child and Family Services Review (CFSR) Unit conducts the Quality Case Reviews (QCR) to evaluate the quality of services provided to children and families. QCR also improve overall safety, permanency, and well-being outcomes for children and families by improving the quality of case work provided by county and regional staff.

  3. Continuous Quality Improvement (CQI): The CQI process uses performance consulting as a method to build consistent practice models for all levels of field staff in Child Welfare. Trends that are identified in CQI reviews and reports are used by local agency leaders and stakeholders to improve child welfare, leading to better outcomes for children and families.

  4. The Revenue Maximization Quality Assurance Unit reviews cases for documentation and data system processing. These reviews check for compliance with Federal and State laws, regulations, directives, official issuances and departmental policies on a bi-annual basis. The Unit also conducts the Quality Assurance Regional Review to address gaps in knowledge through ongoing staff training.

  5. Independent Audits: Periodic and independent audits provide the DFCS leadership team with information to promote improvements in accountability and stewardship within DHS. The Internal Audit Unit often works in tandem with the Investigative Services Unit.

Forms and Tools

N/A