Resource and Referral
& Self-Employment
Brett Grumbine
brgrumbine@state.pa.us
Revised 10/08
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Housekeeping
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Roll call
Please mute your phones after roll call
5 minute break between chapters
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Teleconference Agenda
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Self-Employment – one hour.
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Cover PowerPoint content
Cover specific received questions
Open forum for questions if time allows
Resource and Referral – one hour.
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Cover PowerPoint content
Cover specific received questions
Open forum for questions if time allows
3
Self-Employment
4
Self-Employment - General
Self-employed (SE) persons:
 Pay their taxes directly;
 Must have profit;
 Must meet the hourly work
requirement;
 Verify need for care hours by selfcertification
5
Self-Employment – Identifying
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Who pays the taxes?
Types of self-employment and the
corresponding tax documents used are
explained in section 342.4.
CCIS not expected to be thoroughly
knowledgeable about various types,
but is listed in the chapter for your
quick reference.
6
Self-Employment - Verification
Acceptable Verification:
 Tax returns, business records, or other
documents establishing profit;
 Collateral contact;
 Self-Declaration (30 days)
PER REGULATION – a tax document is
NOT required to satisfy SE income
verification.
7
Self-Employment – The CCIS Role
SE is the most complex tax structure to
interpret – even for a tax professional. It is
not the expectation of OCDEL for CCIS staff
to have the knowledge and expertise of a
tax professional. Nor does OCDEL expect
the CCIS to conduct the work of a tax
professional. It is expected that when
verifying SE income, totals presented to
staff are checked for accuracy.
8
Self-Employment – CCIS Role
IRS website resources are provided in
section 342.8 for your quick reference to
print out forms or provide information
to a client who is seeking it.
The CCIS is expected to be able to refer
and use these resources as needed, but
not to be experts of the resource content.
9
Self-Employment – The CCIS Role
The responsibility to provide clear and
comprehendible totals for verification is the
client’s. When acceptable verification
documents other than tax forms are
presented to the CCIS, if the client does not
present paperwork to staff in an
understandable fashion, the client should be
referred to a tax professional or accountant.
Until the client can produce clear
documentation – they are ineligible.
10
Self-Employment – Business Process
A tax document (i.e. quarterly statements, 1040,
Schedule C, etc.) should be the first thing
requested from a SE client. This presents their
information clearly and does not require
accompanying documents for verification. If a
tax document is unattainable and other various
documents are used, they must be
accompanied with the “Client Self-Employment
Income Worksheet” (Appendix A).
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Self-Employment – Business Process
The worksheet is a tool for the client to
complete and allows totals to be
presented to the CCIS in a simple way.
Staff must still assure the accuracy of
information given, but the worksheet
should help client straighten out their
paperwork prior to submitting to the
CCIS.
12
Self-Employment – Business Process
Therefore, verification takes place in two ways:
1. A tax document alone. Easiest. Should
be the first item requested – for the ease
of the client and staff alike.
2. All other acceptable verification as
accompanied by Appendix A.
Responsibility is the client’s.
13
Self-Employment – Collateral Contact
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Acceptable verification if documents
can not be produced.
Typical collateral contacts would be for
document clarification, to the client’s
tax preparer, business associate, or
the P/C’s clientele.
Always document collateral contact
into case comments.
14
Self-Employment – Care Hours
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Need for care is established by
self-certification.
Appendix C is used to self-certify selfemployment work/need for care hours.
15
Self-Employment – Self-Dec
Self-Dec is used to satisfy the income
verification requirement for 30 days in the
absence of acceptable verifying
documentation.
Appendix B is used for the self-declaration of
SE income and standard Self-Dec
procedure applies to SE.
16
Specific SE Questions and
Scenarios
17
SE – Tax Documents
Q: In the past we calculated self employment
by using gross income minus certain
deductions. A while ago, we were told to
simply use line number 31, net profit (loss)
on the 1040 tax form and simply divide that
number by 12 months, and not do anything
with the deductions. As long as there was a
profit, they were okay. Are we now going
back to how it was done before and using
gross income minus only these certain
deductions that apply?
18
SE – Tax Documents
A: As instructed in the chapter, line 12 on the
1040 is used for self-employment income.
This line reflects the total annual profit or
loss from SE after all SE adjustments have
been made. This total could be divided by
12 and entered as a monthly amount or the
entire total could be entered as annual in
PELICAN. The only deductions to be
applied are those typically used for
employed clients as well (i.e. child support,
medical, etc.) – NOT calculating SE
deductions.
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SE – Tax Documents
Q: On the 1040 form line 27 should the self employment
tax be deducted?
A: No, it should not be deducted. eligibility is determined
on gross profit earned, not adjusted gross.
Q: Line 29 on the 1040 form should the self employment
health insurance deductions be entered into the self
deductions under medical in PELICAN?
A: Yes. Medical deductions are allowed for the selfemployed (if 10%, was incurred in the past 90 and will
continue for the next 6 months). Line 29 on the 1040
would be an annualized amount that can be used,
though the deduction may be verified in other ways
also.
20
SE – Tax Documents
Q: On the 1040 form line 19 if there is
unemployment compensation included
would this be entered into PELICAN?
A: Yes, if the income occurred in the most
recent six-week period. Unemployment
income is always counted - whether
the individual is self-employed or not.
21
SE – Tax Documents
Q: For clients who receive a 1099 from their "employer" is this
sufficient documentation of self-employment income. The
clients we are seeing work for hairdressers, contractors etc.
and do not file taxes as self-employed persons.
A: The 1099 is a form used to report a variety of miscellaneous
income and is normally "in addition" to their typical income. If
the individual has a standard wage job and their employer
pays their tax, this person does not fit the definition of selfemployed and the 1099 income would be other income. The
1099 is also used as a "per job" document for freelancers. If
a 1099 form is used to verify self employment income and
the self employment income is the only source of workrelated income, it must be entered on the self employment
page in PELICAN. This links the work hours to the income
so PELICAN can determine whether the eligibility criteria are
met. If a 1099 is used to report any other income, it should
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be entered on the other income page.
SE – Tax Documents
Q: Can a parent submit a 1099 only as proof of income
from self-employment or does the parent need to
complete the self-employment Income SelfDeclaration form also?
A: A 1099 is a valid document that represents a
particular income. If a 1099 form is used to verify
self employment income and the self employment
income is the only source of work-related income, it
must be entered on the self employment page in
PELICAN. This links the work hours to the income
so PELICAN can determine whether the eligibility
criteria are met. If a 1099 is used to report any other
income, it should be entered on the other income
page. The Self-Dec does not need completed.
23
SE – “Odd Jobs”
Q: How will the CCIS determine if the occasional
odd jobs should be considered self
employment? (The P/C states they are not
planning on reporting it to the IRS or paying
taxes on it and says no one else is responsible
for taxes.)
A: Income is only considered as self-employment
when the individual meets our definition (§
3041.3. Definitions - Operating one’s own
business, trade or profession for profit). If not
self employed, the "odd job" income is still
counted in the eligibility determination - but as
other income, not SE income.
24
SE – Various Policy
Q: If the tax return/schedule shows that p/c
was only in business for a portion of the
prior year, can we take that income and
determine a weekly or monthly amount and
annualize the income or must the P/C
submit other documentation?
A: If the SE has ended, it no longer represents
the client’s current income and should not
be counted in the eligibility determination.
25
SE – Various Policy
Q: We currently use a Self Employment Verification form
which simply states that a parent is Self Employed.
On this form the parent also writes in their weekly
schedule, showing the days and hours worked. The
parent signs and dates this form, to self certify this
information. Is it okay to continue to use this form for
Self Certification of Self Employment to indicate a
need for care or should we be using an actual Self
Certification form?
A: SE need for care is established with the "SelfEmployment Work Hours Self-Certification" Appendix C of the SE chapter. Though per regulation,
any written statement submitted by the P/C is
acceptable so long as it contains all of the pertinent
information to determine eligibility and income.
26
SE – Various Policy
Q: Does a client who does house cleaning as
employment, need to submit the worksheet?
A: If the client meets the definition of being selfemployed, the SE income verification process
is no different. If a tax document is used – no.
If other documents are used – yes.
Q: When calculating the income from selfemployment, is it acceptable that they list $0
for expenses?
A: If no expenses were incurred – yes, this is
acceptable.
27
SE – Various Policy
Q: If the CCIS receives a copy of the IRS 1040
and sees interest income or rental income on
the tax return that the P/C did not report
otherwise, are we still permitted to use that
income information? The chapter tells us
specifically what lines of the various tax
documents we are to use for our calculations,
should we be looking at any other lines?
A: The chapter does address specific lines for
self-employment reference only, but if other
types of unreported income are witnessed, this
gives the CCIS cause to investigate. Follow
your normal procedures for this.
28
SE – Various Policy
Q: The CCIS determines that a parent is selfemployed and they use a tax return for verification.
How does the CCIS proceed if income is reported
on a different line other than those listed here as
acceptable. For example, many parents will report
self-employment income as regular income on line
1 instead of using the proper IRS form or line.
A: If the CCIS has determined an individual as SE
and tax documentation is filled out incorrectly or
inconsistent to where self-employment income
should be listed, the CCIS may determine from the
document the correct total to use.
29
SE – Various Policy
Q: One of the examples given for identifying self employment
was providing child care. Are we saying that a parent who
provides care for other people’s children, can qualify
under CCIS and get help paying child care for their own
children? What if they provide this service out of their own
home? Are we saying CCIS is available for their children
to attend a daycare, while that self employed parent stays
home and watches other people’s children?
A: Generally no. Though under certain circumstances, the
CCIS will pay to have the P/C’s own child in care at
another facility. However, the P/C may not request care for
his child during the hours he is caring for another
individual's children and/or must verify there is no space
available at his child care facility as set forth in 3041.16(c)
(relating to subsidy limitations).
30
SE – Various Policy
Q: If a P/C does not submit a tax return/schedule as
proof of income, what period of information is
acceptable? Can it only be 4wks of the last 6 wks or
60 days worth as Appendix A states or could it be
their Qtrly Earnings Statement as page 7 refers to?
It sounds like 4wks is the minimum and 60 days is
the maximum permitted without a tax return. If so,
then why would we need a Quarterly Earnings Stmt
or better yet - how would we determine the last 30
or 60 days of income from the Qrtly statement?
A: The parent/caretaker must submit 4 weeks of
income verification out of the most recent 6-week
period. The reference to 60 days was incorrect and
will be removed.
31
SE – Various Policy
Q: If a parent submits supporting documents
without submitting the Self-Employment Income
Worksheet is it still necessary for the parent to
submit the Self-Employment Worksheet when
CCIS can calculate the income?
A: The worksheet assists staff when interpreting
the documentation and provides a consistent
and recognizable document to file. An Appendix
A must be completed and filed. The intent is for
the client to fill out the worksheet, but if the
CCIS wishes to fill out for the client, they may.
32
SE – Seasonal SE
Q: If self employment is seasonal, (fruit
picker, cement truck driver, school bus
driver, brick layer, road construction
worker) is income calculated the same
as for any other seasonal worker?
A: Yes. All seasonal employment is
handled in the same manner with
regard to calculating income.
33
SE – Married SE Clients
Q: Married couple applies - the tax return lists wife as a
homemaker and husband as the self-employed person.
They tell CCIS that they both work the business however
for tax purposes she is listed as a homemaker. What do
we require of the wife in order to make this family eligible?
Can the husband fill out an EV form for his wife?
A: Although wife helps in the business, if she is not listed as
a co-owner and all of the profit from the business goes to
her husband, she is not self-employed. She has no
income from the business to report. This couple is
ineligible because wife does not meet the work
requirement. However, if the husband pays his wife as an
employee, it is acceptable for him to complete the EV to
verify her income and hours.
34
SE – Married SE Clients
Q: There is a 2 parent family that is self
employed. The husband is the owner
and the wife is employed by him (She
is not a partner). The husband files
taxes but does not count the wife's
income as wages (#26 on Schedule C
for wages is $0). Does the wife need to
file taxes or can her husband complete
an EV and Cash Form?
35
SE – Married SE Clients
A: If husband and wife are legally partners in the
business their total income from the business is split
between them. If the husband is the sole owner of
the business, two scenarios apply:
1. If wife works for husband, earns a wage and
husband pays her taxes, wife is not self employed.
She is an employee of the business and must
provide proper verification of work hours and
income.
2. If wife works for husband, but earns no wage or
profit, she does not meet the self-employment
definition nor does she meet the work requirement.
The couple is ineligible.
36
SE – Future Profit
Q: What can we do for a P/C that does the work
one month and has the expenses for the work
that month but doesn't get paid for the job until 1
or 2 months after it is completed? They show a
loss because the income hasn't been received
yet.
A: Is work in progress? If yes, an estimate from the
P/C provided to the individual paying for the
service will suffice as estimated income - related
to the expenses for that job/project only. If an
estimate is not available or work has not begun,
the P/C is ineligible until profit can be verified.
37
SE – Future Profit
Q: Are there any exceptions for clients who are just
starting a business in regards to showing a profit
within the 30 day self-declare time frame? Most
clients if they are billing their customers will not
have completed their first billing cycle within this
time frame.
A: Is work in progress? If yes, an estimate from the
P/C provided to the individual paying for the
service will suffice as estimated income - related
to the expenses for that job/project only. If an
estimate is not available or work has not begun,
the P/C is ineligible until profit can be verified.
38
SE – PELICAN
Q: In PELICAN you find acceptable verification
selections for the "Tax Document" field. Are
these the acceptable verification documents?
Or is this just for PELICAN?
A: If a tax document is used as verification, simply
use the line amount on the tax document. The
tax document field in PELICAN is only used
when a client verifies using a tax document.
This field is not mandatory and other methods
of verification are allowable other than a tax
document.
39
SE – PELICAN
Q: More clarification on determining and
entering wages paid to themselves.
A: If a person owns a business and then
pays themselves a wage, the profit
from the business would be entered on
the SE screen and the wage would be
entered on the employment screen.
40
SE – Multiple Jobs
Q: If P/C meets the work requirement at one job
and starts a second job that is self employed
but doesn't make a profit at the self employed
job, are they still eligible?
A: By definition, the P/C is not self-employed if no
profit is earned. In this example, the P/C
meets the work req. at one job, so eligibility
continues. Because the P/C is not considered
self-employed, the P/C need for care hours
does not include the time being "selfemployed".
41
SE – Multiple Jobs
Q: If P/C has multiple self employed jobs and two of them
make a profit and 2 of them have a loss, are we correct
that we can subtract the losses from the profits and as
long as the overall total is a profit, the p/c is still
eligible?
A: It depends on how the information is presented to you.
It is possible the P/C with multiple SE jobs will present
you with the total profit (or loss) from all jobs via the
Schedule C line 31 or 1040 line 12 total and you may
be unaware of multiple jobs. If the verification you
receive denotes or the P/C reports to you that there
are multiple SE jobs and that some of them do not
earn profit, we will only pay for the care related to
those jobs that earn a profit. In this example, we will
only pay for care for two jobs earning profit.
42
SE – Rede
Q: If in between rede's, the P/C becomes
self-employed and submits wks of selfemployment verification and is
determined to remain eligible and now
the rede is due 2 months later, does the
P/C have to submit new self-employment
verification?
A: Yes.
43
SE – Rede
Q: The chapter says that verification of self employ
will be completed at EVERY rede. If the P/C
submitted last year's tax return and says their
business is doing the same as last year, do we
need them to submit another copy of the tax
return at rede time or can we just carry it forward?
A: If after discussion or correspondence with this
individual, it is determined that the annual tax
document previously provided continues to be an
accurate representation of their SE income, the
CCIS may copy the document to file with the new
rede and reenter the information in PELICAN.
44
SE – Rede
Q: At rede time, the P/C reports that her husband got a
new job and submits an EV form as proof of the new
job. The household remains eligible with a $65 copay
eff 5/5/08. A couple of weeks later, the husband sends
in a copy of his first pay stub and we discover that he
is self-employed and the pay stub is just a copy of the
check he was paid for his services. We get a selfemployment self-declaration from the husband and if
we had known this at rede time, the copay would
have been $75 instead of $65. Does the copay
increase to $75 in 13 days and we forget the past or
should the copay increase to $75 on 5/5/08
(backwards) and we have an overpayment now to
recoup?
45
SE – Rede
A: If new/prospective employment or the P/C
did not submit all verification at rede, the
CCIS will take the new information and
apply it to the case accordingly (in this case
$75 copay). If there was a misunderstanding
on the part of the P/C on what was required
of them, the copay would remain at $65.
The information will change moving forward
only.
46
SE – Rede
Q: When the P/C self-declares their information
and then submits the proof 30 days later
and the income and expenses don't agree
(Ex: Self Declared $500 profit and actually
made $900 profit), do we use the $900 in
PELICAN and increase the copay (if copay
stabilization doesn't have the copay capped
already)? What if the initial self-declare was
at rede time and the proof is received after
the rede, do we increase the copay because
the self-declare was incorrect at rede time?
47
SE – Rede
A: Verified amounts overrule self-declare
amounts and all totals should be
adjusted in PELICAN when verification
is received. Copays are to be adjusted
accordingly. An increase will only be
effective in 13 days.
48
SE – Rede
Q: At redetermination, if a parent chooses to
submit a tax return that shows no profit, may
we request a more current profit/loss
statement? If so, does the parent have an
overpayment for the previous period that had
no income?
A: Yes, the P/C may submit more current
acceptable documents to establish profit in
conjunction with Appendix A. The income
reported will continue forward and no past
overpayment will be considered unless
fraudulent activity is suspected.
49
SE – Self-Dec
Q: Can the P/C write up their own signed statement of
income, expenses, and profit and submit it to save
time, or do they have to submit an App B form if
they are self declaring? (This would be important if
AA for rede is almost up and there is no time to mail
them a form.)
A: An Appendix B should be filed for SE selfdeclaration. If taken over the phone, use standard
self-declare procedures. Though per regulation, any
written statement submitted by the P/C is
acceptable so long as it contains all of the pertinent
information to determine eligibility and income.
50
SE – Self-Dec
Q: When the P/C self-declares their information and then
submits the proof 30 days later and the income and
expenses don't agree (Ex: Self Declared $500 profit
and actually had a $200 loss), do they go on an AA
for no profit and not eligible? Do we have an
overpayment for the period of the self-declare that
was originally thought to have a profit or do they just
term on the AA and we don't worry about it? If they
say their business will be improving now and they
want to send in a new self-declare for the next 30
days projecting a profit for the next 30 days, will that
satisfy the AA and we start over again and keep them
eligible and see what happens when they send that
proof in? If not, please tell us how to advise the P/C
on options that could satisfy the AA.
51
SE – Self-Dec
A: Yes. An AA should be generated since the
follow-up verification did not confirm the original
information the parent/caretaker submitted.
However, there is no overpayment unless the
CCIS has proof the parent/caretaker intentionally
mislead or withheld the information in a
fraudulent manner.
Q: Can we do self employment self-declarations by
telephone like all other self-declarations or must
the P/C prepare and submit it to us?
A: Yes.
52
SE – Self-Dec
Q: When the P/C self-declares their information
and then submits the proof 30 days later
and the income and expenses don't agree
(Ex: Self Declared $400 profit and actually
made $800 profit), what are we supposed to
do if the self-declare was at rede time and
now the proof shows that the profit is more?
Should the copay be increased? If so, when
should that increase be effective - in 13
days or backwards and an overpayment
exists?
53
SE – Self-Dec
A: Verified amounts overrule self-declare
amounts and all totals should be
adjusted in PELICAN when verification
is received. Copays are to be adjusted
accordingly. An increase will only be
effective in 13 days. We would not go
backwards, only forward from when
verification is received.
54
SE – Self-Dec
Q: Regarding acceptable verification,
specifically accounting ledgers, because
every self-employed person does not have
an accountant, by its nature this is
something the P/C can write for themselves.
If the parent writes the document, is it
considered acceptable documentation, not
self-declaration?
A: Yes, in conjunction with Appendix A, income
is considered verified and not self-declared.
55
Resource and Referral
56
R&R – New Additions
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Availability of email functions for the
delivery of referral lists and follow-up
questionnaires.
Provider profile update process
Availability of Provider Self-Service
57
R&R - General
CCIS is the center of child care
information for the local community.
R&R services available to all families
regardless of income.
R&R services focus on the needs of
parents and families.
58
R&R – General (con’t)
R&R Services provides parents:
 Custom child care referrals
 A bank of information for child care,
early learning programs, and other
various family services
 Child care counseling
59
R&R – General (con’t)
Other R&R Services:
 Maintaining the R&R client and
provider database
 Cooperation with local groups and
programs
60
R&R – Provider Complaints
If a parent submits a complaint to the
CCIS regarding a provider, the CCIS
must follow up with the regional office
to verify if the complaint has been filed.
Providers remain in R&R active status
until Certification closes the site. Under
certain circumstances OCDEL may
request the CCIS end enrollments.
61
R&R – Provider Complaints
For protocol, the CCIS should consider the following:
 The CCIS should encourage the parent to call in the
information directly to the region whenever possible.
 The bottom-line is, if the parent does not or will not call in the
complaint, the CCIS should do so.
 The CCIS has a responsibility to ensure appropriate
complaints get to the region. By appropriate I mean things
that relate to the regulations, not stuff like “My provider
charges too much” or “My provider feeds my child cake every
day before I pick him, up and then he won’t eat his
supper”. Real regulatory infractions such as unsafe
conditions, physical discipline, overcrowding observed by the
parent, lack of supervision, etc.
 The CCIS should get as much information as possible from
the parent so they can answer as many of the regions
questions as possible. That means they should have the 62
who, what, when, where and how of the situation.
R&R – Consumer Education
Minimum of 4 topics discussed with all clients:
 Keystone STARS
 Indicators of quality care
 Impact of early education on positive child
development
 Types of care available
63
R&R – Profile Updates
We are no longer printing mass profile
updates for all providers and mailing
them. With the advent of Provider SelfService, providers are now able to
“own” their profile data and make
profile changes online whenever
needed.
64
R&R – Profile Updates
Instead, the R&R Profile Coversheet (Appendix E)
will be mailed. This single sheet will inform the
provider there is the option to review their
profile online or request a hardcopy update form
if needed.
OCDEL’s intent is to mail this coversheet with
closures and/or rate surveys annually, if
possible. The annual mailing of Appendix E will
be required as per OCDEL instruction only.
65
R&R – Profile Updates
OCDEL has postponed this year’s initial
mailing to allow Certification time to
enter their relevant provider data and
to allow some time to stabilize the new
system. CCISs will receive detailed
instructions regarding the initial use of
the coversheet in the future.
66
R&R – Q&A
Q: We currently have an answering machine or
voice mail for after hour calls. Is this
sufficient? Please clarify answering service.
A: Yes, an answering machine or voice mail is
sufficient.
Q: Does a referral need to be submitted on
every p/c that contacts the CCIS for child
care or only if the p/c requests one?
A: Only when requested.
67
R&R – Q&A
Q: For follow up phone contacts do we ask the
questions from the e-mail follow up screen?
A: The emailed questionnaire is worded in a
more parent-friendly way because the
parent will not benefit from the counsel of a
CCIS staff worker via an email. When on the
phone, the worker will be able to answer
any questions the parent has. If an agency
wishes to use the email language when
talking to a parent on the phone, that is
totally acceptable, but not required.
68
R&R – Q&A
Q: We attempted to follow-up with 100% of our
families listed on the random sample of clients
report but are often unable to connect to
individuals and get feedback. What is the
expectation regarding actual number or
percentage of completed follow-up attempts?
A: 20% is the expectation. When generating the
random sample report (RE802), the default
percentage for the report is 20%. If the CCIS
increased this percentage, then not all clients
listed would need to be reached. For example,
if the report requested was 40%, only half of
those listed would need to be reached.
69
R&R – Q&A
Q: Where is information extracted from for
reports RE802 (Random Sample of Clients)
and RE804 (Child Care Planning)? ?
A: The 804 report pulls follow-up data entered
for the selected parameters. The 802 report
selects a random sample of those who have
had a referral generated or modified within
the selected parameters.
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R&R – Q&A
Q: We followed up with the regional office to see if a
parent called them regarding a complaint (parent did
also call); a few days later the child care facility called
our agency and asked why we made a complaint
against them. Note, we did not make complaint but
were only following up as per policy and facility was
told CCIS made report, are the complaints to be kept
confidential?
A: As a mandated reporting agency, there is no
expectation of confidentiality. It is possible the regional
office could mention that a CCIS had made a report.
Your response to inquiry is that CCIS is a mandated
reporting agency and must follow up on a report made
by a parent.
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R&R – Q&A
Q: Should complaint records be entered under
that particular provider in PELICAN or
should these incidents be logged in the
providers hard files only?
A: Though the chapter states the CCIS may
develop their own system for documenting,
it is strongly recommended that at a
minimum, comments be placed in PELICAN.
This prevents loss of hardcopies and may
also be accessed by HQ if needed.
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R&R – Q&A
Q: Can you provide more training or resources
on how to file a child abuse complaint
through ChildLine?
A: Call the toll free number (1-800-932-0313)
and follow the same protocol as regional
office complaints. Of course, information is
preferred to be reported first-hand, but if the
CCIS must report, provide as much
information as possible.
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R&R – Q&A
Q: When emailing referrals, do we put
the four small brochures on how to
make an informed child care decision
in the US Mail to the client?
A: No. The email provides links to the
quality/STARS information. One of the
benefits of emailing is agency savings
on postage.
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R&R – Q&A
Q: Who is providing us with information on
Accreditations for profile updates?
A: Some CCIS as a business practice ask for a
document to verify accreditation. OCDEL
policy does not require this. In order to
accommodate the business practices of some
CCIS, accreditations has been made a
managed update. This in essence, puts the
CCIS on notice when a change for this
provider characteristic is made via PSS. If it is
not your office practice to verify, simply
approve the change.
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R&R – Q&A
Q: How can parents know legal requirements of
a regulated facility when booklets are not
available from regional office and website is
not user friendly?
A: Legal requirements can be found on the FAQ
portion of the DPW site; through clicking on
“certification” or “registration” on the provider
search welcome page; through the PSS
homepage; or by browsing pacode.com
directly.
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R&R – Q&A
Q: We could not find a way for parents to
file a complaint online.
A: On the provider search welcome page,
on the left-hand column is a link to file
complaints; or on the left-hand column
of the Provider Self-Service
homepage.
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R&R – Q&A
Q: Are church-run pre school programs that do
not have a DPW or Dept. of Ed license
operating legally?
A: Possibly yes. Though not subject to
certification, they are subject to “supervision”.
Your regional office will know who these
facilities are. If in question, call your regional
office. In addition, these legal providers will not
be found in PELICAN and can not accept
subsidy children. Reg reference – Statement of
Policy - § 3270.3A
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R&R – Q&A
Q: Is there any way to put a system fix in PELICAN in
order to search a R&R client by email? We have
recently been getting a lot of undeliverable email
addresses in our outlook mailbox. These messages
do not appear until 1 or 2 days later and the workers
are unable to remember the clients full name in order
to call them to get the correct email address.
A: A PCR (15497) requesting the R&R case number be
added to emailed correspondence was withdrawn as
unnecessary by CCB. The email search parameter
would be another way to achieve this. Another PCR
(18300) has been entered.
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R&R – Q&A
Q: How do we get closed child care sites not to
come up on providers searches?
A: Due to an overlap between our CCW
release 5 and Certification release 1, some
closed providers have been “stuck”. PCR
17856 addresses this and a data fix needs
completed for these providers. As a
temporary work-around, if you are aware of
closed providers who keep showing in your
referral results, make them R&R inactive –
not on mailing list.
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R&R – Q&A
Q: Provider Closure questionnaire is not
mentioned in chapter. We have
collected this for non-subsidy
providers, as well as for subsidy
providers. In the past we were
required to do this. Is this no longer
true?
A: It no longer exists.
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R&R – Q&A
Q: What/Where is Appendix E?
A: Appendix E accompanied the R&R chapter
release on 2/29/08.
Q: Provider Survey: No rates are requested when
we sign up a new provider. What is the State’s
expectation? Are we to send the market rate
survey appendices anyway?
A: The C-1 appendix of the provider agreement is
used to capture rates for new providers. See
Policy Communiqué #07-16. OCDEL
anticipates an updated version to be released
this July.
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R&R – Q&A
Q: Are comments placed only in the R&R
section or also in Pelican Case if open
at time of call?
A: R&R actions should be documented in
the R&R case comments. They do not
need to be duplicated in the client's
case comments unless there is
rationale for doing so.
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R&R – Q&A
Q: Parent follow-ups: requirement is to use the
client assistance log [CAL] to record. However,
there are no categories to select that capture
this activity. In the past we have used the
Comment log which seems more appropriate. If
we are to use the CAL, can something be added
to select for this activity.
A: R&R case comments is the more appropriate
place for documentation. The CAL was
referenced in err for the documentation of client
follow-ups. Use the case comments log.
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R&R – Q&A
Q: Can you review a few sample entries in the
Contact Log and Client Assistance Log?
Specific examples might include: 1. A caller who
needs a referral and subsidy application. The
R&R Specialist was able to provide the client
with verbal education and a packet of material
which include a subsidy application, referral
packet and the required DPW brochures. 2. A
social service agency called and requested that
10 subsidy applications be sent for distribution
to their clients as needed.
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R&R – Q&A
A: 1. Enter in the Client Assistance Log.
2. Enter in the Contact Log.
Ask yourself:
 Did the caller provide me with the
information I need to create an R&R case? If
yes, create a case and enter appropriate
information in the CAL. If not or information
requested is not individual-specific (i.e. a
business), enter in the CL.
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End of Training
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