Child Welfare Information Systems Managers and Staff Webinar Series

October 29, 20202:00-3:30 EST

Presented by the U.S. Department of Health and Human Services Administration for Children and Families, Children’s Bureau

Q & A session at the end of the webinar Submit general questions and comments via Q&A panel

throughout the presentation After the webinar, email title IV-E agency specific questions to

your federal analyst or to: CCWIS.Questions@acf.hhs.gov

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Nicole Harter-Shafer◦ Federal Analyst, Division of State Systems, Children’s Bureau,

Administration for Children and Families Tresa Young◦ Federal Analyst, Division of State Systems, Children’s Bureau,

Administration for Children and Families

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Review APD definitions and types Provide practical guidance on developing CCWIS APDs Suggest ways to save time and simplify the process Share things to avoid Improve agency/federal partnership

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Rate your experience / confidence level in developing APDs◦ I am a beginner – APDs are new to me◦ Somewhat confident - I have developed a few APDs◦ Phone a friend – I do them but I don’t really know what I am doing◦ Pretty confident – I understand most of the requirements◦ Confident – sign me up for a consulting gig

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For today’s webinar, CB should focus the most time on:◦ APD definitions and requirements◦ Practical guidance on developing CCWIS APDs◦ Time saving tips and things to avoid◦ Facilitating “deep dive” discussion on a particular requirement◦ Suggestions for strengthening CB/Agency partnership

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Nicole Harter-Shafer

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The Division of State System’s mission is to improve child welfare programs, create better access to data, and support innovative technology solutions

We are here to help and provide technical assistance◦ Shared/collaborative problem solving process

We don’t expect perfection; we care more about whether the APD reflects your title IV-E agency’s project plans

We are here to get to “yes”

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Advance Planning Document means: a recorded plan of action to request funding approval for a project which will require the use of automated data processing services or equipment

APDs are required for CCWIS and NON CCWIS systems.

Legal References: 45 CFR 95.610 + 45 CFR 1355.50 –1355.58

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When required, states and tribal IV-E agencies use an APD to:◦ Request Federal Financial Participation (FFP)◦ Present a business case for Information Technology (IT) acquisitions ◦ Demonstrate they have conducted appropriate IT project planning, and◦ Establish they have sufficient resources and will follow disciplined

processes to achieve their project objectives

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Types of APDs during the planning, design, development and implementation of a project may include:◦ Planning APD◦ Implementation APD◦ Operational APD◦ As Needed APD

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Defining the problem or need to be addressed Determining whether a CCWIS is in the title IV-E agency’s best interest or

aligns with agency business needs◦ What is your CCWIS system?– How functions are provided? What will be shared?

What will be leveraged? Considering alternatives/options/opportunities and constraints Developing a project management and resource plan Estimating the total project budget Defining requirements, general system design or solicitation documents Conducting a feasibility or cost benefit study Developing a stakeholder engagement strategy Determining the development and implementation approach Developing Data Quality Plan

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Optional, but highly recommended Relatively brief; 6-10 pages Statement of Need Project Management Plan Budget Streamlined alternatives analysis A description of how the agency will develop requirements Acquisition Summary 45 CFR 95.610 (a)

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Required Results of Planning APD activities Funds the costs of designing, developing, and implementing the

system, and includes: ◦ Results of the planning activities◦ Needs and objectives◦ Requirements analysis (functional and technical)

Automated Functions Checklist Data Quality Plan Feasibility study, alternatives analysis, and cost benefit analysis Description of the scope of activities Proposed activity schedule

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Identified staff and resources Proposed budget Statement of proposed length of use of system Cost Allocation Methodology Security and Interface Requirements Disaster Recovery/Business Continuity procedures Additional requirements as noted at 45 CFR 1355.54 through

1355.57 45 CFR 95.610 (b)

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Update to the approved APD Due 60 days prior to FFP authorization expiration Project activity report◦ Status of tasks and milestones◦ Risk management plan◦ Problems or delays

Project deliverables completed and unfinished Updated project activity schedule Revised budget (both operational and development) for the

project’s life cycle Data Quality Plan/Biennial Review Automated Functions Checklist

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Detailed expenditures – actual and projected Changes to the cost allocation methodology, if applicable◦ Cost Allocation Methodology for both development and operational

costs Acquisition summary◦ Type and scope of contract◦ Procurement strategy◦ Estimated cost or not to exceed amount◦ Timeframe of contract◦ Software ownership rights (45 CFR 95.617)◦ 45 CFR 95.610 (c)

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Submitted once a system has functionality used by caseworks to administer the title IV-E program

Brief (2 pages), high-level document submitted annually to report:◦ Activities planned in coming year◦ Any planned acquisitions◦ Budget for maintenance and operations activities CCWIS operational cost allocation Non-CCWIS operational cost allocation◦ Cumulative total of all project expenditures-to-date

45 CFR 95.610 (3)

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Is submitted when the state or tribe anticipates a significant change to the project: ◦ Scope or system concept◦ Costs or schedule◦ Changes to cost allocation methodology◦ Project acquisitions

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Respond to an approval condition Funding on a phased implementation basis Incremental project expenditures Schedule extension 60+ days for milestones Major changes in scope Changes in cost allocation Changes to cost benefit projections

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Changes to the acquisition summary◦ Type and scope of contract◦ Procurement strategy◦ Estimated cost or not to exceed amount◦ Timeframe of contract◦ Must include statement of software ownership rights (45 CFR 95.617)◦ New acquisition not in the Annual APD Update◦ 45 CFR 95.610 (2)

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Data Quality Plan◦ Required for IAPD, Annual Updates, OAPDs◦ Annual updates – not static◦ Reflect biennial reviews, when appropriate

Automated Functions Checklist◦ Required for IAPD, Annual Updates, and OAPDs

CWCAs◦ Required for IAPD and Annual Updates

Cost Allocation Methodology◦ CCWIS vs. Non-CCWIS

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Distinguishes between operating divisions within the U.S. Department of Health and Human Services

◦ Single OpDiv - requests only child welfare (title IV-E) funding from Children’s Bureau, without CMS or OCSE involvement

◦ Multi-OpDiv - electronic submissions for technology projects that benefit multiple programs (meaning two or more of CB, CMS, and/or OCSE) within the U.S. Department of Health and Human Services

Note - Food and Nutrition Services requests are separate from the US Department of Health and Human Services

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Tresa Young

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What are the 3 top barriers you experience in developing APDs? Internal governance problems I don’t have authority to make things happen Child welfare program and IT staff don’t work as a team Vendor runs the show We don’t have time or resources My CB analyst isn’t clear with expectations My state wants CCWIS funding but lacks a shared vision I don’t understand CCWIS requirements We’re a multi-opt div project and our partnership with sister state

agencies is challenging Other issues

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Review APD and CCWIS requirements Clarify primary ownership and shared roles/responsibilities Plan the due date based upon agency/project needs Develop project specific formats/templates for the budget,

Automated Functions Checklist, APD, TO, Schedule

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Institute an APD quality review process before it is submitted (account for extra time)

Work with analyst to review attachments and drafts prior to formal submissions:◦ data quality plans◦ automated functions checklist (AFC)◦ cost allocation methodology (CAM)◦ CCWIS self assessment tools

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Unified vision and support for plan Share and manage risks Use naming conventions consistently throughout document Note accomplishments but acknowledge challenges or areas

where you still have work to do If there are changes to your system, provide updates and

consider implications to AFC/cost allocation/budget/schedule Distribute the work, but manage the process

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Take Care of the Administrative Stuff Review Structure / Format with Analyst Work on CAM Ahead of Time Use DRAFT CCWIS Self Assessment Tools as Attachments Reuse APD Language Provide Meaningful Summary Data Strengthen Budget Section Deal With Outstanding Conditions

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Confirm the submission instructions and signature authority Include the funding request in the cover letter and make it

clear and consistent Obtain copies of Cost Allocation Approval Letters if desired Update the Table of Organization Review and Update the Table of Contents Set target dates for APD milestones throughout year Ask questions, we are all learning

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AUTOMATED FUNCTION CHECKLIST (AFC):◦ APD Updates must include updates to the AFC as appropriate. In addition the

APD Update must include updates to the progress on automated function implementation. A sample format to provide this information is as follows AF APPENDIX Automated Function 1 Initial narrative describing the automate function that is submitted in the Implementation

APD. This narrative does not change. A table for this function that represents AFC checklist items as well as whether the

funding for this function is under development or operational, whether it is at the CCWIS rate or not, and whether there are any changes to this table from the previous year. (see Appendix K).

A status update with date to build upon each year. Automated Function 2 Data Exchange 1

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COST ALLOCATION METHODOLOGY (CAM):◦ Tie AFC information to CAM.◦ Follow the steps in Technical Bulletin #5◦ Remember to do cost allocation methodology steps for operational

costs (Section 6 in Technical Bulletin #5). States sometimes are only completing CAM for development costs.◦ Make sure to provide the date the PACAP was approved. ◦ If applicable, PACAP dates for updates/resubmissions/ approvals.

State may include a copy of the letter of approval from CAS.

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If applicable to project, attach draft self-assessment tool highlighting areas of focus and accomplishments

Highlight evidence to demonstrate compliance with Program Goals and Foundational Requirements

Identify gaps and describe plans to address them Discuss potential problem areas with Analyst before making

formal APD submission

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Maximizing APD information to address multiple needs:◦ Stakeholder summaries/presentations◦ CFSR Statewide Assessment and Reviews◦ CFSP/APSR general system information and updates/status◦ Information/evidence to document compliance (CCWIS self-assessment

tools)◦ Training team on CCWIS requirements

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Define metrics/obtain summary info ahead of time/throughout year rather than APD due date◦ User feedback/communication venues◦ Backlog/defect resolution◦ Helpdesk timeliness/effectiveness◦ Testing plans/progress, ◦ System performance, ◦ Summary of deployment effectiveness ◦ Actual costs

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Clear and consistent funding statement Include a budget narrative Provide a description of variances/review regularly Provide a budget detail, by quarter, and with actuals Clearly separate operational and development costs◦ Break down further into CCWIS and Non-CCWIS costs

Clearly show all federal funding sources (such as Medicaid, OCSE, etc.) and applicable cost allocations

Define APD budget period Share the budget format with your analyst in advance CB prefers budget in a spreadsheet format

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Ask for time to go over conditions Set goals and target dates for resolving conditions Discuss resolution plans with your analyst during regular calls Ask for technical assistance if you are struggling with how the

agency will address a condition Keep track of conditions and include an accurate update in

the APD

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Do NOT try this at HOME!

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Project team doesn’t understand the APD, often can’t answer basic questions

Project initiatives do not reflect understanding of CCWIS regulations or the child welfare program

APD is light on substance, detail, or commitment to deliverables and timelines

APD lacks clarity of accomplishments and challenges APD is repetitive from prior year and doesn’t include updates

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Inconsistent/dates, budget figures, project information TA guidance or early CB review suggestions ignored Using another agency’s language verbatim Thinking SACWIS is the same as CCWIS Kill them with pages and complexity Use buzz words View CCWIS development APDs as an entitlement Rely on waivers or expeditious reviews Create a treasure hunt with unorganized attachments

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Remember that you can use the Question and Answer box to type your comments or questions, or select “Raise Hand” to ask a question over the phone.

Do you have other ideas or methods that you use and have found helpful in managing the APD process?

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Nicole Harter-Shafer Federal Analyst, Division of

State Systems, Children’s Bureau, Administration for Children and Families

Nicole.Harter-Shafer@ACF.HHS.GOV

Tresa Young Federal Analyst, Division of

State Systems, Children’s Bureau, Administration for Children and Families

Tresa.Young@ACF.HHS.GOV

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How to Send a Formal Submission

Division of State Systems State and Tribal Assignments

CCWIS Final Rule

Federal Guidance for Child Welfare IT Systems

CCWIS Technical Bulletin #4: Advance Planning Document Guidance for Agile Projects

State & Tribal Child and Family Services Plan

Instruments, Tools, and Guides for Child and Family Services Reviews

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