Flexible Funding for Wraparound Plans: an Interagency C&A LAN Initiative

FY11 FLEX PROGRAM PLAN

Flexible Funding for Wraparound Plans: An Interagency C&A LAN Initiative

I Introduction

Wraparound planning is a dynamic process which is based on individualized, strength based, needs-driven planning and service delivery. A Wraparound Plan is developed by the Child and Family Team after they have agreed on the strengths and needs of the child and family and the specific services/interventions, which need to be put in place. The team shares responsibility, expertise, and mutual support while designing creative services and choosing service providers who meet the needs of children and families across home, school and community. Wraparound Plans are continually reviewed and modified based upon the child and family’s developing strengths and evolving needs. Wraparound interventions are flexible because the approach is multi-faceted, taking all aspects of the child’s history and current life situation into account.

A requirement for Wraparound planning is the formation of a Child and Family Team. Child and Family Team membership involves key stakeholders in the lives of the child and family. Those stakeholders include friends, relatives, clergy, interested community agencies, social workers, counselors, previous caregivers, etc. Team membership is unique for each child and family; the child and family select members. Representatives of the community become involved in Wraparound planning early in the process to support a child remaining in the community or returning to the community.

IIPurpose and Goals

The Illinois Department of Children and Family Services governs the Flexible Funding for the Wraparound Plans Program. This program was originally designed to provide seed money to support communities in their effort to support the formulation of local systems of care. This program is intended to expand community-based service capacity that allows children and adolescents at risk of poor school attendance, and/or being expelled, suspended or truant from school to be maintained in their school through flexible funding provided through support for supplemental services as indicated in a Wraparound Plan.

This program is intended to supplement and augment the child’s existing service plan and shall not be used to supplant services otherwise available from the Department of Children and Family Services or existing services available through traditional funders (local community, state and federal service agencies). Member agencies of the C&A LAN shall pursue all available local resources to support the delineated service plan including Medicaid reimbursement services prior to a request for Wraparound Flexible Funds.

IIITarget Population

This program is intended to be used to provide supplemental Wraparound services for children and adolescents, ages three (3) to twenty-one (21) with behaviors that put them at risk of being truant, suspended and/or expelled from school. Note that a child does not have to be truant, suspended, and/or expelled to receive flex funds services. A child may receive services if he/she is exhibiting behavior that puts them at risk for truancy, suspension, and/or expulsion.

IVRole of the C&A LAN Fiscal Agent

The C&A LAN Fiscal Agent is a member agency of the C&A LAN who has been selected, by the LAN to:

1. Accept fiduciary responsibility for the flexible Wraparound funds provided by the Department of Children and Family Services.
2. Establish and maintain separate accounting to pay for and document services provided in support of Wraparound Plans.
3. Follow the guidelines for disbursing flexible funds provided in accordance with the C&A LAN’s approval process for expending flexible funds as detailed in the Fiscal Agent Agreement with the LAN (see Addendum #1) and the Guidelines for Individual Child and Family Application for Flexible Funds to support a Wraparound Plan (see Addendum #2).
4. Participate in an agency site visit as conducted by the DCFS LAN liaison and/or other designed DCFS staff.
5. Provide quarterly fiscal and monthly client data via the Flex funds Internet database as instructed by DCFS.
6. Assure that CANTS background clearance and fingerprinting checks are conducted and approved before contracting with individuals providing one-on-one service to a child.

The fiscal Agent will report expenditures to the Department on a quarterly basis via the Internet database. The timeline for submission of this report is as follows:

July-September (1st Qt)Due October 31

October-December (2nd Qt)Due January 31

January-March (3rd Qt)Due April 30

April-June (4th Qt)Due July 15

The Fiscal Agent will maintain at least (1) copy of the following forms or documentation for three (3) years and will agree to any Department of Children and Family Services follow-up monitoring, review, and/or audit procedure deemed necessary by the Department. These records are to be available to the Department, Division of Child Protection, Field Operations, the Office of the Internal Auditor, and to the Auditor General of the State of Illinois.

1. Administration Documents
2. Executed Contract for Fiscal Year
3. Interagency Agreements with other agencies
4. Flexible Funding for Wraparound Plans Data and Expenditure Reports

1. Clinical Fiscal Documentation
2. Consent for Release of Information
3. Wraparound Plan completed for each child and family
4. Application for Flexible Funds to support Wraparound Plan

Upon request of the Department of Children and Family Services, the Fiscal Agent will provide, at a minimum, the following data for each person served through the program. The fiscal agent also agrees to participate in a computerized database system as developed by DCFS.

Minimum data required:

1. Name, age, and sex
2. Fundable service for which payment was made
3. Number of days/hours/units of service
4. Total cost of service(s) supported with flexible funds
5. Total amount of money expended for each child

VForms

Copies of the forms to be utilized for this program are attached as Addendum #3 and may also be obtained by contacting the DCFS LAN Liaison or DCFS flex funds statewide manager, Mary Dreiser, at 312-814-6832 or by e-mail at .

Part I. LAN FCS/FLEX DATA WORKSHEET (This is a suggested form for data collection for entry into the flex database. The LANs may use this form or revise the form to meet their needs. In addition, this form will be modified as changes are made to the database, and dated as to the most recent form.)

Part II. LAN FLEX PLAN APPROVAL REPORT

Part III. LAN FLEX PLAN SIGNATURE PAGE

Part IV. LAN FLEX WRAPAROUND PLAN

Part V. LAN FLEX PLAN REPORT

VIProgram Plan Addendums

1. Addendum #1 – Guide for Development of Fiscal Agent Agreement with the LAN Guidelines for completing this document is attached. This document is an important component of the program to ensure necessary agreements have been reached between the Fiscal Agent and the LAN.

1. Addendum #2 – Guidelines for Individual Child & Family Application for Flexible Funds to support a Wraparound Plan

1. Addendum #3 – Forms as specified above

VIIReimbursable Services

Services reimbursable under this program include services identified and approved in the Application for Flexible Funds to Support Wraparound Plan following the Guidelines for Individual Child & Family Application for Flexible Funds to Support A Wraparound Plan. Case management services are not reimbursable expenses under these dollars.

VIIIPayment Provisions

Payments under this contract will be subject to appropriation of funds by the General Assembly of the State of Illinois, approval by the Governor, and receipt of funding for the Wraparound Initiative from the Department of Children and Family Services.

The rate for payment of services should not exceed the amount the Department would customarily pay for the same or similar service within a specific region where the service is provided.

The Department will make quarterly payments to the contractor to reimburse the costs of the program up to the contract amount. The first quarter payment will be initiated following final contract approval and upon receipt of the previous fiscal year’s 4th quarter expenditure and client service report. Payments for the second through the fourth quarters will be approved based upon receipt of the previous quarter’s expenditure and client service report. Incomplete expenditure reports and/or failure to report quarterly expenditures in the Internet database may be the basis for DCFS to withhold further payments until complete reports are received.

At the end of the contract term and upon receipt of the 4th quarter expenditure report, the Department will issue a determination of any under expenditures by the contractor. Under expenditure is the amount of purchase of service fees and governmental grant funding that exceeds total audited costs, less:

a)disallowable costs as listed in 89 Ill. Adm. Code 356.60 (Disallowable Cost and Reduced Reimbursement);

b)administrative costs that exceed 20% of all other allowable actual costs.

The provider may be required to reimburse the Department for any payments not supported by reported costs.

Addendum #1

Guide for the Development of Fiscal Agent Agreement with the LAN

Background

The LAN Steering Committee designates a Fiscal Agent in order to receive funds for the Flexible Funding for Wraparound Plans Initiative. The Fiscal Agent may be a not-for-profit or for-profit, Illinois entity operating within the LAN boundaries that has previous experience in providing fiscal services to community-based activities. In selecting Fiscal Agents, consideration should be given to: 1) accounting capacity of the entity; 2) track record with fund management for state agencies; 3) accuracy and timeliness of production of financial reports; and 4) experience collaborating at the community level. All new Fiscal Agents selected by the LAN must be approved by DCFS. Fiscal Agents without previous LAN contracts will be required to submit additional documentation attached to the signed contract including but not limited to: 1) incorporation papers; 2) the name of the Chief Executive Officer; 3) and a list of Board members.

The LAN Co-Conveners, designated Fiscal Agent for the Flexible Funding for Wraparound Plans Initiative, and DCFS must sign the Fiscal Agent Agreement with the LAN, which details:

• Roles and responsibilities
• Oversight
• Fees
• Means of communication
• Conflict resolution
• Monitoring, quality assurance and evaluation

This outline establishes minimum requirements for completion of a Fiscal Agent Agreement with the LAN Steering committee. It is an outline format only and must be filed in. The fiscal agent agreement must be updated and submitted annually with the current effective date and new signatures.

This document must be completed, signed and submitted to Mary Dreiser, DCFS, 100 W. Randolph, Suite 6-100, Chicago, Illinois 60601 by September 30, 2010 in order to continue to receive ongoing flex payments.

Fiscal Agent Agreement with the LAN

Flexible Funding for Wraparound Plans

LAN # ___86_____

Agreement Effective Dates: ___3/22/10______

IRESPONSIBILITIES

Fiscal Agent Responsibilities must include, at a minimum, the following statements:

• Accept fiduciary responsibility for the flexible Wraparound funds from the Department of Children and Family Services.
• Establish and maintain separate accounting to pay for and document services provided in support of Wraparound Plans.
• Follow the guidelines for disbursing flexible funds provided in accordance with the C&A LANs approval process for expending flexible funds, as detailed in the Fiscal Agent Agreement with the LAN and guidelines for Individual Child and Family Application for Flexible Funds to support a Wraparound Plan. (Note: Flex funds cannot be used for case management services.
• Report client data and fiscal expenditures to the Department via the flex Internet database as instructed by DCFS.
• Participate in an agency site visit as conducted by the DCFS LAN liaison and/or other designated DCFS staff.
• Assure that CANTS background clearance and fingerprinting checks are conducted and approved before contracting with individuals providing one-on-one service to a child.

LAN Responsibilities in relation to this Initiative should be detailed below. Explain the LANs Flexible Funding procedures and process for managing the applications for Flex Funding received by the LAN. The procedures must minimally follow the guidelines for Individual Child and Family Application for Flexible Funds to support Wraparound Plan.

• Referral Process
• Wraparound Facilitator Assignment and Responsibilities including Service Documentation & Approval for Payment
• Approval Process
• Supplemental Fund Process (as outlined in Guidelines)

IIOVERSIGHT

Explain the LAN Steering Committee’s role in the Initiative including:

• Identify who has been designated as the LAN Steering Committee representative for this Initiative and who is responsible for ensuring on-going communication to the LAN.

• Identify the type and frequency of written reporting documents due the LAN Steering Committee.

III. FEES

With the LAN’s approval, the Fiscal Agent is allowed up to 10% of the LANSapproved program contractual services budget allocation for budgeted administrative expenses to fulfill their roles and responsibilities as defined in the Flexible Funding Program Plan, page 2, and Part V.

IV. COMMUNICATION AND CONFLICT RESOLUTION

Clear communication is a key to a successful working relationship. The agreement between the Fiscal Agent and the LAN must designate specific people who will be principally responsible for regular communication between:

• Fiscal Agent and the LAN
• LAN and the Wrap Committee
• Wrap Committee and the Wrap Facilitator
• Wrap Facilitator and the Fiscal Agent

V. MONITORING, QUALITY ASSURANCE AND EVALUATION

The LAN is the local foundation for Wraparound systems in Illinois. Regarding monitoring, quality assurance, and evaluation, the LAN fills several key roles including, but not limited to: strengthening local processes and providing the basis to champion LAN development; flexible funding; and other interdisciplinary work for children and families. Explain the LAN process for fulfilling this role including the monitoring process, the procedure for collecting and submitting program and fiscal data via the DCFS flex database and detail any LAN evaluation procedures.

VI: SIGNATURES

The following signatures must be obtained: LAN fiscal agent, LAN Co-Convener(s) and DCFS LAN liaison. (See next page for signatures).

REQUIRED SIGNATURES

DCFS LAN Liaison: ______

Signature Date

Fiscal Agent: ______

Signature Date

LAN Co-Convener: ______

Signature Date

LAN Co-Convener: ______

Signature Date

Addendum #2

Guidelines for Individual Child & Family Application

for Flexible Funds to support a Wraparound Plan

The Flexible Funding for Wraparound Plan Initiative is designed to assist children with behavioral problems, which puts them at risk of poor attendance, and/or being expelled, suspended or truant from school by supporting C&A LANs in developing and managing effective plans. All LAN Liaisons, Fiscal Agents and Co-conveners must be provided with copies of the Program Plan and the Guidelines for Application of Flexible Funds. C&A LANs should consider approving requests for flexible funds on the basis of the following minimum requirements:

Flex Spending Guidelines:

• Flex funds may be used to purchase concrete goods and services for a child and or the child’s family.
• Flex funds will continue to be spent as per the requirements of the Education Initiative, and therefore the purchase of any concrete goods must address the conditions that put youth at risk of being suspended, truant, or expelled from school.
• Wraparound plans should reflect a balance between the funds used for concrete good and the funds used for social services for the child and/or family.
• Flex funds may not be used for case management services.
• Flex funds may not be used for schooltuition reimbursement.
• Flex funds may not be used to purchase computers.
• All requests for rent payments and/or security deposits must be accompanied by a lease agreement or a notarized statement from the landlord.
• Fiscal agents in conjunction with their LAN Steering Committee may, but are not required to, establish a limit per family to guide the spending on concrete goods.

Requirements for the LANs:

1. Each LAN will have a Wrap Around Screening Committee composed of representatives/stakeholders from organizations that may include but are not limited to private agencies, community-based agencies, schools, school districts, Regional Office of Education, foster care providers, court services, truant officers, Family Centered Services, LAN Liaisons, community mental health agencies, psychiatric hospitals, System of Care, STRIVE, SASS, CRSA and the LAN fiscal agent. The LAN Liaisons will serve as ex-officio members of the Wraparound Screening Committee.

1. The screening committee will be responsible for reviewing referrals to see if they are appropriate for flex funds and to assure that all accepted referrals are assigned an appropriate agency representative to facilitate the wraparound plan. The Screening Committee will establish a sub-committee of at least three individuals to review and approve wraparound plans that are submitted to the fiscal agent for the disbursement of funds for the services included in the plan. The committee will also make recommendations for any services provided by state or community-based agencies that are appropriate for referred youth or their families. Fiscal agents may participate in the wrap screening committee, but they may not sign/approve any wrap plans. LAN Liaisons will monitor Fiscal Agent contracts, and therefore are not eligible to participate on Child & Family Teams or sign off on wrap plans.

1. The child case referral has followed the process established by the LAN, and the child is from the general target population identified for this initiative.

1. A comprehensive Wraparound Plan has been completed for the child and family. The plan must demonstrate that the following occurred in its development.

1. A Child & Family Team (same as Key Stakeholders) was configured to develop the Wraparound Plan. In addition to the child, the Child & Family Team consists of important people in a child’s life. This includes core team members and extended team members.

• Core Team Members: The core team includes the child (if appropriate); parent(s) including non-custodial parent if rights have been terminated and not clinically contra-indicated; family member (if not clinically contra-indicated); the current and prospective caregiver; the appropriate representative of the state if the child is in custody (caseworker or probation officer); a representative of the child’s school who has some knowledge of the child’s educational needs and performance (i.e. general, special, vocational educator, counselor); if the child is in mental health treatment, the appropriate therapist or counselor; and the Wraparound facilitator.

• Extended Team Members: The extended team includes people who are concerned with the child’s educational progress and generally should include one or more of the following: current and prospective service provider(s) interested community agencies, foster parents, siblings, grandparents, aunts and uncles, ministers, friends, etc. The operative question is who has value to the child or family.

• Each team will require a person to act as Wraparound Facilitator (coordinator). The Child & Family Team Wraparound Facilitator may include, but is not limited to: An individual appointed by the C&A LAN, a case manager or service provider from a referring agency who is involved with the child/family, a parent, etc. The Wraparound Facilitator will have responsibility for convening and facilitating the meeting(s) and coordinating the development, implementation, and oversight of the C&A LAN Wraparound Plan. The facilitator’s responsibility includes monitoring and verification of service delivery. The Wraparound Facilitator will also act as the team’s appointed liaison to the LAN.

B: Planning and services for the child/family are to address problems the child has with truancy, suspension or expulsion from school. This life domain will require the team to create appropriate services to meet the unique child’s education. The plan is strength-based, needs driven rather than service driven and individualized services can be both traditional (e.g. social learning, individual or family counseling, etc, as well as non-traditional (i.e. hiring a special friend, special recreational opportunities, etc.)