Verifying Information Provided by the Department of
Social and Rehabilitation Services On Its Compliance With the
Terms of the Foster Care Lawsuit Settlement Agreement
MONITORING REPORT #4
EXECUTIVE SUMMARY
LEGISLATIVE DIVISION OF POST AUDIT
ls the Department of Social and Rehabilitation
Services Accurately Reporting
Its Compliance With the Terms of the
Foster Care Settlement Agreement?
The fourth monitoring period covers the six-month period from
July 1 to December 31, 1995. During this period, we assessed compli-
ance with a total of 47 requirements related to 32 settlement elements.
Based on our reviews and testwork we concluded the Department was in
compliance with 17 of those requirements, and not in compliance with 23.
We couldn't determine whether the Department was in compliance with
seven additional requirements, because the Department and Children's
Rights, Inc., haven't yet agreed on what the Department can do in future
monitoring periods to resolve the parties' ongoing disagreement regarding
compliance. Our findings are summarized below.
This report doesn't include elements related to Case Review 2
because the parties are still negotiating a data analysis methodology.
Once the parties have reached an agreement, we'll report our findings in a
supplement to this monitoring report.
The Department didn't comply with 23 requirements in five
areas. The five areas of noncompliance we identified were as follows:
Protective services:
* The Department didn't properly assess and screen abuse or neglect
reports it received.
* Preliminary risk assessments weren't conducted as required, and
protective services investigations weren't initiated by the assigned
deadline.
* Family-based assessments weren't completed as required, and weren't.
completed by the assigned deadline.
* Family service plans weren't completed as required, and weren't
completed by the assigned deadline.
* The Department didn't interview all the appropriate parties during an
investigation.
* Protective services investigations weren't completed by the assigned
deadline.
* The Department didn't review and document previous unconfirmed
reports of abuse or neglect, as required.
* The Department didn't request ex parte orders or removal by law
enforcement appropriately.
Assessment of needs for services and placements:
* The documents submitted by the Department to-date haven't clearly
identified Statewide and regional needs for preventive services, place-
ments, and services for children in Department custody. They also
haven't identified strategies to assist area offices and communities in
the development of resources.
* The Statewide plan submitted by the Department doesn't address the
needs identified by the needs assessment documents, nor does it
Legislative Post Audit
EXECUTIVE SUMMARY
consider existing and potential resources, list specific steps for
developing those resources, set goals for addressing identified needs,
enumerate specific steps to achieve those goals, or give a timetable
for implementing the plan.
Information on Placement Providers:
* The Department hasn't maintained a handbook of services, as re-
quired.
* Confirmed reports of abuse and neglect by foster care providers
weren't entered into the Central Registry, as required.
Staffing:
* The Department hasn't developed caseload guidelines for determining
an appropriate range of cases a worker can handle effectively which
are based on reasonable professional standards.
* The Department hasn't developed criteria for assessing whether
paraprofessional staff are being used effectively.
Information systems:
* Information related to custody, services, and placements wasn't
entered into the FAME information system accurately.
Recommendations. A brief summary of the report's recommen-
dations for these elements, together with a summary of applicable
comments from the agencies, is presented below.
Assessment of needs for services and placements:
* We recommend that the Department assess its Statewide and
regional needs for preventive services, placements, and services for
children in the Department's custody. This needs assessment should
identify the number and types of services available in each manage-
ment area, whether there are sufficient numbers of placements in any
given area, the accessibility of services, the specific service gaps or
deficiencies, and the priority /eve/ assigned to services. This recom-
mendation is repeated from the previous monitoring report.
* Once specific service and placement needs are identified, the Depart-
ment should identify specific strategies to assist area offices and
communities in developing the resources needed to provide them. In
addition, the Department should develop a systematic and compre-
hensive Statewide plan to meet those needs. This recommendation
is repeated from the previous monitoring report.
Staffing:
* The Department should devise guidelines that, at a minimum, provide
criteria for determining what a "target" caseload should be, and what
size caseload can be handled effectively. In addition, it should also
consider how these factors relate to professional standards.
* We also recommend that the Department develop criteria for assess-
ing how and when paraprofessional staff may be used effectively, and
whether the tasks currently being performed by paraprofessionals
meet these criteria. This recommendation is repeated from the
previous monitoring report.
Both the Department and Children's Rights, Inc., concurred with
our recommendations in these areas.
Factors prevented us from determining whether the Depart-
ment had complied with seven requirements in four areas. The
seven requirements related to protective services, assessment of needs
for services and placements, information on placement providers, and
staffing.
* For five of those requirements -- providing access to adequate pre-
ventive services, appropriate placements, and services for children in
Legislative Post Audit
EXECUTIVE SUMMARY
Department custody; equitably distributing cases among social work
staff; and maintaining sufficient staff to comply with the Department's
caseload guidelines -- the Department and Children's Rights, Inc.,
haven't yet agreed on what the Department can do in future monitor-
ing periods to resolve the parties' ongoing disagreement regarding
compliance.
* We have concerns with the data analysis methodology the Monitoring
Unit used to make its assessment for two additional requirements.
These requirements relate to providing medical services in cases
where the Department has determined those services are necessary,
and implementing and maintaining an automated, area office data
system that tracks foster home resources and vacancies. We're
working with the Monitoring Unit to develop methodologies for these
elements which address our concerns.
Recommendations. A brief summary of the report's recommen-
dations for these elements, together with a summary of applicable com-
ments from the agencies, is presented below.
* We recommend that the Department continue to work with Children's
Rights, Inc., to reach agreements on the interpretations of the require-
ments relating to the points raised in the first bullet above.
* We also recommend that the Internal Quality Assurance Monitoring
Unit continue to work with the Department, Children's Rights, Inc., and
Legislative Post Audit to come up with methodologies to more appro-
priately monitor the elements relating to medical services and the area
office data system.
Both the Department and Children's Rights, Inc., concurred with
our recommendations in these areas.
In addition to the above summary, we've attached a matrix which
lists the Department's compliance over time with each requirement that's
been monitored to-date.
APPENDIX A: Summary of Findings Regarding the Department's...... page 27
Compliance With the Settlement Agreement
APPENDIX B: Compliance and Reliability Definitions ............. page 37
APPENDIX C: Agency Responses.................................... page 41
This audit was conducted by Scott Claassen, and
Jennifer Hudgins. If you need any additional information about
the audit's findings, please contact Mr. Claassen at the Division's
offices. Our address is: Legislative Division of Post Audit,
800 SW Jackson Street, Suite 1200, Topeka, Kansas 66612. You
also may call (913) 296-3792, or contact us via the Internet at:
[email protected].