DOCUMENT RESUME

ED 289 596 PS 017 026

AUTHOR Bienia, Nancy

TITLE Improving Program Performance through Management

Information. A Workbook.

INSTITUTION University Research Corp., Bethesda, Md.

SPONS AGENCY Office of Child Support Enforcement (DIMS),

Washington, DC.

PUB DATIL Mar 86

CONTRACT OCSE-609-83-0119

NOTE 141p.; A product of the Child Support Technology

Transfer Project.

PUB TYPE Guides Non-Classroom Use (055)

EDRS PRICE MF01/PC06 Plus Postage.

DESCRIPTORS Check Lists; *Community Programs; Data Analysis; Data

Collection; Guidelines; Information Needs;

Information Processing; *Management Information

Systems; *Program Administration; Program Evaluation;

*Program Improvement; Social Services; *State

Programs

IDENTIFIERS *Child Support; *Child Support Enforcement Services;

Report Format

ABSTRACT

Designed specifically for state and local managers

and supervisors who plan, direct, and operate chili support

enforcement programs, this workbook provides a four-part,

step-by-step process for identifying needed information and methods

of using the information to operate an effective program. The process

consists of: (1) determining what information is needed to monitor

and evaluate each function; (2) ascertaining what data must be

collected to obtain the desired information; (3) displaying the

information in a format which can be understood by staff; and (4)

analyzing the data. The workbook is organized in two parts. Part 1,

including chapters 1 through 5, describes a process for identifying

the types of information that should be collected for intake,

location, establishment, enforcement, and collection and

distribution. Part 2, consisting of chapters 6 through 11, discusses

how that information can be used by management to assess the overall

performance of an office in the areas of collections, expenditures,

cost benefit analysis, and caseload and staffing allocations. Each

chapter contains exercises and worksheets which provide practical

experience in applying the concepts learned. (RH)

***********************************************************************

Reproductions supplied by EDRS are the best that can be made

from the original document. ***********************************************************************
Etc,*

_

.11:110.01104191311=501.4.

s,

$'1

U.S. DEPARTMENT OF EDUCATION Offtie of Educational Research and Improvement EDUCATIONAL RESOURCES INFORMATION

CENTER (ERIC)

This document his been reproduced as Mired from the person or organization

originating it.

CI Minor changes haw been made to Improve

reproduction quality

PoEntaolvisworopuuOnhstatediflthisd0Cia mint do not necessarily represent off Iclil

3. OERI position or policy
Improving

Pmgram

Performance

Through

Management

Information

A WORKBOOK

3
For further information, additional materials, or assistance in

the use of these materials, contact the

National Child Support Enforcement Reference Center

6110 Executive Boulevard

8th Floor

Rockville, MD 20852

Telephone (301) 443-5106

I , ' 4

March 1986
TABLE OF CONTENTS

ACKNOWLEDGMENTS

INTRODUCTION

The Increasing Need for Management Information

Understanding Management Information: Basic Concepts

How a Management Information System Should Work

Purpose of the Workbook

Organization of the Workbook

PART ONE: ASSESSING YOUR CHILD SUPPORT ENFORCEMENT

MANAGEMENT INFORMATION NEEDS

Figure 1: Four-Step Process for Developing and Using

Information

CHAPTER 1: INTAKE

STEP 1: INFORMATION NEEDED

STEP 2: DATA COLLECTION

Figure 1-1:

Figure 1-2:

Figure 1-3:

Sample Intake Data Collection Worksheet

Intake Data Collection Worksheet

Intake Data Analysis Worksheet

STEP 3: REPORTING

Figure 1-4:

Figure 1-5:

Figure 1-6:

Figure 1-7:

Figure 1-8:

Figure 1-9:

Figure 1-10:

Sample Intake Report Format Analysis Worksheet

Intake Report Format Analysis Worksheet

Sample Intake Unit Report

Sample Intake Worker Report

Intake Unit Report Worksheet

Intake Worker Report Worksheet

Intake Report Production Checklist

STEP 4: DATA ANALYSIS

Figure 1-11:

Figure 1-12:

Figure 1-13:

Figure 1 -14:

Sample Comparison of Incoming Referrals

Comparison of Incoming Referrals Worksheet

Sample AFDC and Non-AFDC Cases Received

AFDC and Non-AFDC Cases Received Worksheet

SUMMAR Y

CHAPTER 2: LOCATE

STEP 1: INFORMATION NEEDED

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STEP 2: DATA COLLECTION 24

Figure 2-1:

Figure 2-2:

Figure 2-3:

STEP 3: REPORTING

Figure 2-4:

Figure 2-5:

Figure 2-6:

Figure 2-7:

Figure 2-8:

Figure 2-9:

Figure 2-10:

Figure 2-11:

Sample Locate Data Collection Worksheet

Locate Data Collection Worksheet

Locate Data Analysis Worksheet

Sample Locate Report Format Analysis Worksheet

Locate Report Format Analysis Worksheet

Sample Locate Unit Report

Sample Locate Unit Performance Comparison

Report

Sample Locate Worker Report

Locate Unit Report Worksheet

Locate Caseworker Report Worksheet

Locate Report Production Checklist

STEP 4: DATA ANALYSIS

Figure 2-12:

Figure 2-13:

Figure 2-14:

Figure 2-15:

Sample Comparison of Locates

Comparison of Locates Worksheet

Sample Attempted and Successful Locates

Sample Successful Locates by Worker

SUMMARY

CHAPTER 3: ESTABLISHMENT

STEP 1: INFORMATION NEEDED

STEP 2: DATA COLLECTION

Figure 3-1:

Figure 3-2:

Figure 3-3:

Sample Establishment Data Collection Worksheet

Establishment Data Collection Worksheet

Establishment Data Analysis Worksheet

STEP 3: REPORTING

Figure 3-4:

Figure 3-5:

Figure 3-6:

Figure 3-7:

Figure 3-8:

Figure 3-9:

Figure 3-10:

Figure 3-11:

Sample Establishment Report Format

Analysis Worksheet

Establishment Report Format Analysis Worksheet

Sample Establishment Unit Report

Sample Establishment Unit Performance

Comparison Report

Sample Establishment Attorney (Caseworker)

Report

Establishment Unit Report Worksheet

Establishment Caseworker (Attorney) Report

Worksheet

Establishment Report Production Checklist

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STEP 4: DATA ANALYSIS 54

Figure 3-12: Sample Number of Cases Established 54

Figure 3-13: Number of Cases Established Worksheet 55

Figure 3-14: Sample Number of Cases Established 56

Figure 3-15: Number of Cases Established Worksheet 57

SUMMARY 58

CHAPTER 4: ENFORCEMENT 59

STEP 1: INFORMATION NEEDED 59

STEP 2: DATA COLLECTION 60

Figure 4-1:

Figure 4-2:

Figure 4-3:

Sample Enforcement Data Collection Worksheet 61

Enforcement Data Collection Worksheet 62

Enforcement Data Analysis Worksheet 63

STEP 3: REPORTING 64

Figure 4-4: Sample Enforcement Report Format Analysis

Worksheet 64

Figure 4-5: Enforcement Report Format Analysis Worksheet 65

Figure 4-6: Sample Enforcement Unit Report 66

Figure 4-7: Sample Enforcement Unit Performance

Comparison Report 67

Figure 4-8: Sample Enforcement Worker Report 68

Figure 4-9: Enforcement Unit Report Worksheet 69

Figure 4-10: Enforcement Worker Report Worksheet 70

Figure 4-11: Enforcement Report Production Checklist 71

STEP 4: DATA ANALYSIS 72

Figure 4-12: Sample Number of Enforcement Actions Initiated 72

Figure 4-13: Number of Enforcement Actions Initiated

Worksheet 73

Figure 4-14: Sample Number of Cases Enforced Through

Various Enforcement Techniques 74

Figure 4-15: Number of Cases Enforced Through Various

Enforcement Techniques Worksheet 75

SUMMARY 75

CHAPTER 5: COLLECTION AND DISTRIBUTION

STEP 1: INFORMATION NEEDED

STEP 2: DATA COLLECTION

77

77

79

Figure 5-1: Sample Collection and Distribution Data

Collection Worksheet 79

vii

.... .... .
Figure 5-2:

Figure 5-3:

Collection and Distribution Data Collection

Worksheet

Collection and Distribution Data Analysis

Worksheet

STEP 3: REPORTING

Figure 5-4:

Figure 5-5:

Figure 5-6:

Figure 5-7:

Figure 5-8:

Figure 5-9:

Figure 5-10:

Sample Collection and Distribution Report

Format Analysis Worksheet

Collection and Distribution Report Format

Analysis Worksheet

Sample Collection Report

Sample Collection Performance Comparison

Report

Office Collection Report Worksheet

Team or Unit Collection Report Worksheet

Collection and Distribution Report Production

Checklist

STEP 4: DATA ANALYSIS

Figure 5-11:

Figure 5-12:

Figure 5-13:

Figure 5-14:

SUMMARY

Sample Comparison of AFDC Collections

Comparison of AFDC Collections Worksheet

Sample AFDC vs. Non-AFDC Collections

AFDC vs. Non-AFDC Collections Worksheet

PART TWO: USING MANAGEMENT INFORMATION TO EVALUATE

PROGRAM PERFORMANCE

CHAPTER 6: COLLECTIONS AND EXPENDITURES

TRENDS IN COLLECTIONS AND EXPENDITURES

Figure 6-1:

Figure 6-2:

Figure 6-3:

Itemized Expense Summary Sheet

Sample Trends in Collections and Expenditures

Trends in Collections and Expenditures Worksheet

TRACKING OFFICE PERFORMANCE

Figure 6-4:

Figure 6-5:

Sample Team Progress Towards Collection Goals

Sample Team Progress Towards Collection

Goals Worksheet

IMPACT OF COLLECTION SOURCES

Figure 6-6: Sample Impact of IRS Collections

Figure 6-7: Impact of IRS Collections Worksheet

SUMMARY

viii

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CHAPTER 1: COST BENEFIT RATIO 107

Figure 7-1: Sample Comparison of AFDC and Non-AFDC

Cost Benefit Ratios 108

Figure 7-2: Cost Benefit Ratio Worksheet 109

Figure 7-3: Comparison of AFDC and Non-AFDC Cost

Benefit Ratio Worksheet 110

Figure 7-4: Sample Cost Benefit Ratio 111

Figure 7-5: Cost Benefit Ratio Worksheet 112

SUMMARY 113

CHAPTER 8: DISTRIBUTION OF CASELOAD, OBLIGATIONS, AND

COLLECTIONS 115

Figure 8-1: Sample Total IV-D Caseload, Obligations,

and Collections 115

Figure 8-2: Caseload, Obligations, and Collections Worksheet 117

SUMMARY 118

CHAPTER 9: PERCENT OF PAYING CASES 119

Figure 9-1: Sample Percent of Paying Cases 119

Figure 9-2: Percent of Paying Cases Worksheet 120

Figure 9-3: Sample Percent of Paying Cases Compared to

State Average 121

Figure 9-4: Percent of Paying Cases Compared to State

Average Worksheet 122

SUMMARY 122

CHAPTER 10: IMPACT OF CASELOAD SIZE ON COLLECTIONS 123

Figure 10-1: Sample Impact of Caseload on Collections 123

Figure 10-2: Collections Per Case Worksheet 124

Figure 10-3: Caseload Per Employee Worksheet 124

Figure 10-4: Impact of Caseload on Collections Worksheet 125

SUMMARY 126

CHAPTER 11: POTENTIAL GROWTH AREAS 127

Figure 11-1: Sample Comparison of Establishment of

Support Index and Enforcement Index 127

SUMMARY 129

CONCLUSION 131

BIBLIOGRAPHY 133
ACKNOWLEDGMENTS

We would like to thank the members of the Management Information Task Force who

provided valuable insights and many helpful suggestions. They are Ed Bonnie, Deputy

Regional Representative, Region II, Office of Child Support Enforcement (OCSE), New

York; Leah Mannweiler, Supervising Deputy Director, Child Support Division, Marion

County, Indiana; Marc Rodgers, Manager, Administrative Operations Division, Office of

Child Support, Michigan Department of Social Services; Linda Wiggins, Program

Coordinator, Office of Recovery Services, Utah; and William Wine land, Technical

Assistant, Child Support Program, Oregon Department of Human Services.

This Workbook was written by Nancy Bienia, Management Analyst. We would like to

thank Jared Adair, Management Analyst, for her substantive review and helpful

suggestions; Mona Whittaker, Management Analyst, who prepared the numerous charts;

Laura Slattery, Clerk Typist, who diligently typed the Workbook; and Faye Graves,

Writer-Editor, who provided editorial comments.

We also would like to extend particular thanks to Athena Kaye, Deputy Director,

Child Support Technology Transfer Project (CSTTP), who conducted a substantive review

and final edit of the text, and to Josephine Phi !bin and Ellen Ross who prepared the

artwork.

This publication was edited and produced by the CSTTP under contract number

600-83-0119 from OCSE. The CSTTP is operated for OCSE under this contract by

University Research Corporation.

xi 10
INTRODUCTION

Do you find yourself buried in stacks of computer

printouts and still don't have the information you

need?

Do you panic whenever you are asked for

information about your office because you haven't

been collecting the information, or because it will

take the entire staff 3 days to compile it?

Have you ever found yourself in an appraisal

session with one of your employees wishing you had

objective documentation on his or her performance?

Did your State legislature pass child support

legislation and a year later ask you for information

to document the effect of the legislation?

If some of these scenarios describe your office, this Workbook is for you.

THE INCREASING NEED FOR MANAGEMENT INFORMATION

Since its inception in the mid 1970s, the Child Support Enforcement Program has

increasingly become more complex and sophisticated. The purpose of the Child Support

Enforcement Program is to enforce support obligations owed by absent parents to their

children, to locate absent parents, to establish paternity and to obtain child support.

Across the country, child support enforcement budgets have increased dramatically and

the passage of progressive child support legislation has provided States with new

enforcement techniques to enhance the Program. Also, changes in the level of Federal

financial participation have required jurisdictions to assess their performance in relation

to collections critically. These increasing demands make it more difficult and more

important than ever for managers to provide the leadership needed to operate a successful

child support enforcement program. Part of the answer to this dilemma is information.

The 1980$ have been called the decade of information and in child support, as in any

other field, information is the key factor that will allow managers to handle the

increasing complexity of doing business today successfully. Unfortunately, many

managers do not have the information they need to make critical decisions and to operate

cost effective programs. Without an effective management information system,

managers will not be able to meet the challenge of operating efficient child support

programs in the decades ahead.

This publication does not assume to present a "model" management information

system for child support offices. Nor is it a guide to assist managers in assembling the

required State and Federal reports. Rather, it offers a process for identifying what

information is needed, what data need to be collected, and how thin information can be

used to help operate a more efficient office.

1i
UNDERSTANDING MANAGEMENT INFORMATION: BASIC CONCEPTS

Before we get started, let's review some basic concepts pertaining to management

information.

What is a Management Information System? A management information system

(MIS) is an organized method of providing past, present, and projected information on an

organization. It provides information to support the day-to-day operation c, a program

and assists managers in decisionmaking by providing feedback on the status of the

program. Based on this feedback, the manager can initiate changes in the operation cf

the office when necessary.

A child support MIS can provide information on a caseload from intake through

distribution. For example, it can track how many cases the office has located or enforced

each month. It zan track the amount of collections received, thereby providing a monthly

indicator of the office's performance.

Is a MIS a Computer System? A MIS is not an automated data processing (ADP) system. As a rule, an ADP system deals with storing, retrieving, sorting, duplicating, and

classifying data. In contrast, MIS takes data and transforms it, through calculation and/or

summarization, into information that can be used to manage an office. This information

can be obtained through either a manual or computerized system. For example, a MIS can track the total amount of collections received by an office, as well as by each

caseworker. Also, a MIS can indicate how much money was collected through each

enforcement mechanism.

This distinction between an ADP and MIS system is important because it allows a

manager to actively participate in the design of a MIS without fear that techn:cal data

processing know-how will be overwhelming or intimidating. A MIS can be developed with or without the aid of a computer. The main advantage to an automated system is the

speed and accuracy of producing reports.

Why is the distinction between an ADP and a MIS important? Unfortunately, many managers have less than a positive attitude about the whole concept -f management

information. This attitude exists because many managers think of management

information as synonymous with data processing--complete with disc drives, storage

capacity, and bytes. Since many managers do not fully unde ltand computers, many feel that they cannot contribute to the development of a management information system for

their office. As a result, often the data processing staff determines the format and

information a manager receives.

The distinction between an ADP and a MIS system is important because a Child

Support Enforcement Program manager can develop and define information needs without

having a computer background.

What is the purpose of a MIS? The purpose of a MIS is to record and report on the

past and present status of a program. The reports provide a basis for assessing program

performance. Specifically, a MIS can assist managers in determining backlogsor problem

areas and in planning future activities for the office.

12

xiv
Who should be involved in developing a MIS? A MIS should be developed by

the people who will use the system or be affected by it. Therefore, various levels of staff

should be involved in the development of the system. Although this will vary from

jurisdiction to jurisdiction, it will probably include office managers, unit supervisors,

enforcemer: officers, clerks or data input operators, accounting clerks, investigators,

attorneys, and systems analysts. In addition to having insight into information needs and

problem areas, their early participation in the project will facilitate in an easy transition

and will assist in overcoming resistance to change.

What type of MIS problems do managers encounter? Most managers

complain that they are overwhelmed by the sheer volume of information they receive.

The old saying about the importance of quality versus quantity is particularly true in the

area of management information. Too many offices have fallen victim to the "more is

better" concept. A key question to ask when determining whether to collect a piece of

information is: "Is the cost of collecting, storing, and retrieving the information worth

the benefit to be derived from it?" If the answer is a definite "no" or even a

"maybe " - -then the staff should discontinue collecting this ;nformation.

What are the benefits of a good MIS? A good MIS can facilitate coordination

within and between child support units. It can assist in tracking performance and can

provide relevant and accurate information for rational management decisionmaking. In

addition, by selectively determining what data are needed for an organization, the amount

of staff time spent on collecting unneeded information can be reduced significantly.

Who will use the MIS? The term "Management Information System" infers

that the system will be used primarily by management. Actually, a MIS is used by staff at

all levels throughout the organization. Specifically, a MIS can be viewed in terms of three

levels of reports: program-wide reports primarily for top management; functional reports

for supervisors; and individual reports for the staff members.

HOW A MANAGEMENT INFORMATION SYSTEM SHOULD WORK

In developing a MIS, managers need co define key result areas, that is, they

need to decide what it is they want to accomplish. For example, the office may want to

increase collections by 20 percent or increase the number of paternities established by 10

percent. Deciding what it is you want to accomplish is important since as the saying goes

"you can't get there if you don't know where you are going." With the key result areas

defined, the office knows where it is going.

The next step is to decide how to get there. This direction is provided by

breaking down the key result areas into activities, which are measurable, and will indicate

performance. These "key ;ndicators" in turn determine what activities must be performed

by each functional unit and individual staff in order to achieve the desired

accomplishments. For example, if the office wants to increase collections by 20 percent,

it may require that each casewo, ker execute 10 additional wage assignments each month.

As the staff is working toward these goals, the MIS will provide information to

the manager on the performance of the office. Based on this feedback, managers can

make changes, as necessary, to ensure that the office is working toward the key result

areas. For example, a MIS can indicate if each caseworker is executing the 10 additional

wage assignments each month. If an employee is not working up to this goal, the manager

can inquire into the reason and make any necessary changes or adjustments to correct the

situation.

xv 13
There are numerous courses and books on how to implement a results-oriented

approach to managing an ....ff ice. The Bibliography lists several publications on this

subject that may be helpful.

PURPOSE OF THE WORKBOOK

Over the years, both manual and automated systems were developed by States and

localities for locating absent parents, establishing and enforcing support orders, and

processing collections more efficiently. However, today many managers of child support enforcement programs still do not have the management information necessary to make

infoi'med decisions and to operate cost effective programs.

The purpose of this Workbook is to take the mystery out of developing and using management information in a child support enforcement office. The Workbook has been

specifically designed for State and local managers and supervisors who must plan, direct, and operate child support enforcement programs. The Workbook provides a step-by-step process to identify what information is needed and how this information can be used to operate a more effective program.

ORGANIZATION OF THE WORKBOOK

The Workbook is organized in two parts. Part One (Chapters 1-5) provides the reader with a process for identifying the types of information that should be collected for the

Intake, Locate, Establishment, Enforcement, and Collection and Distribution functions.

Part Two (Chapters 6-11) discusses how this information can be used by top management to assess the overall performance of an office in the areas of collections, expenditures, cost benefit analysis, and caseload and staffing allocations.

Each chapter contains exercises and worksheets that provide you with practical experience in applying the information presented. The Workbook can be used selectively,

i.e., you can read the entire Workbook or only those chapters that apply to your office. In

doing the exercises, it is suggested that you use actual data obtained from your own office and State. In this way, the Workbook can be tailored to the specific needs and

responsibilities of your office.' -'

1/ The Workbook also can be a valuable tool when performing a needs analysis, which is

required when developing or en:.ancing a child support enforcement automated

system.

xvi 14
PART ONE

Assessing Your Child Support Enforcement

Management Information Needs

Child support enforcement programs across the country vary from fully integrated

programs in which all activities are under one director, to highly fragmented programs in

which functions are split among three or more different organizations. Additionally, the

definition of what constitutes the case functions of Intake, Locate, Establishment,

Enforcement, and Collection and Distribution can vary according to the jurisdiction. For

example, in some offices the Intake function may consist of staff conducting the initial

interview with the recipient or attempting to locate the absent parent, while in another

office, Intake may consist of setting up the physical file and prioritizing the case.

Regardless of how programs or functions are organized, each function is always performed

and the general tasks are consistent throughout the Child Support Enforcement Program.

Therefore, it is possible to generalize about the type of information that is needed to

manage a child support enforcement program and its units.

Another important aspect to consider is that the six child support functions are

interrelated. The total performance of a child support enforcement program will depend

on how well each function performs independently and in relation to the rest of the

office. The Intake function--the point at which cases enter a child support enforcement

office--sets the child support enforcement process in motion. The number of referrals,

indicates the composition of the caseload, the quality of the referrals, and the presence of

any backlogs will indicate how many and what types of resources a manager will need.

The location of an absent parent is needed before the caseworker can establish or enforce

a case. Establishment is an essential step in the child support enforcement process for

without an order or stipulation the child support enforcement agency has no legal

authority to collect child support. The amount of collections receied by an office is

dependent upon the number of cases established as well as the number of cases enforced.

How does a manager determine what information is needed to monitor and evaluate

the performance of each function? Figure 1 illustrates a four-step process that can assist

managers in determining these needs. The first step in this process is referred to as

Information Needed. A manager needs to ask, "What do I really need to know about this

function?" and, "What are some key indicators of performance which should be

monitored?' This first step is the most critical step in the process. All too often,

managers interpret this to mean that they should collect more information when in fact

they should collect only what they really need. Determining what information is needed

leads to the second step in the process, Data Collection. The manager decides what

data must be collected in order to obtain the desired information. Once the data have

been collected, the third step is to determine how to display this information in a format

that can best be understood by the staff. This is referred to as Reporting. The fourth

and final step is Data Analysis. Based on the information that has been collected, a

manager can objectively assess the operation, identify any problems, and take remedial

action if necessary.

1

10
Figure 1

Four-Step Process for Developing and Using Information

MANAGEMENT

INFORMATION

SYSTEMS

STEP 4

DATA ANALYSIS

STEP 3

REPORTING

STEP 2

DATA COLLECTION

STEP 1

INFORMATION NEEDED
How can this four-step process assist a manager in operating a more effective

office?

It reduces the amount of staff time spent on collecting unnecessary information.

It provides management with feedback on the performance of the units and

individual staff.

it eliminates "information glut," i.e., too many reports that are either

unnecessary or are in the wrong format to be useful.

It reduces computer costs by reducing the amount of data that need to be

stored, sorted, and retrieved.

Now, let's see how this process can be applied to a child support enforcement office.

It is suggested that you first read the section on Intake since it provides the most

comprehensive description of the process. Then you can proceed to those sections which

apply to your office.

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CHAPTER 1

Intake

As indicated previously, the definition of Intake may vary. However, for the purpose

of this Workbook, Intake will consist of the following activities:

Obtaining the referral document (from the Aid to Families with Dependent

Children Program, foster care, non-AFDC client, etc.)

Screening the referral to determine if the information is complete and accurate.

Determining if the case is a new referral or a reopening.

Establishing a physical file.

Routing the case to the appropriate unit or individual responsible for processing

the case.

STEP 1: INFORMATION NEEDED

What kind of information should a manager know about Intake? Although the answer

depends upon the specific jurisdiction, the following are some questions a manager may

want to ask:

How many cases is the office receiving each month?

How many and what type of cases are being referred to the office?

How many cases are being returned to IV-A due to incomplete information on

the referral?

Is there a backlog of cases at the Intake level? How long have the cases been in

Intake?

How long do clients and absent parents have to wait to see a caseworker?

How much money has been collected through application fees?

Why is this information important? What does it tell a manager? What does it

indicate about the office? How can this information be used to improve the performance

cf the unit? There are several immediate benefits that a manager with this information

can realize.

First, by tracking the number of referrals received each month, a manager can

develop a referral trend for the office. This will indicate if the office has enough staff to

process the caseload. For example, if the number of referrals continues to increase each

month, a manager may consider hiring additional staff. This information can then be used

to justify additional positions. However, if the prospect of additional staff is not feasible,

a manager may need to evaluate how resources are being used, realign staff, or perhaps

reassess the case prioritization system in the office. On the other hand, trend analysis

5

18
may indicate that the fluctuation in the number of referrals is seasonal and additional full

time staff is not required.

Second, the composition of the caseload determines the staffing allocation in an

office. Therefore, it is important to know not only how many, but also what types of

cases are referred to the office. For example, in some offices, non-AFDC cases are

handled separately from AFDC cases. Therefore, a shift in either the number of AFDC or non-AFDC cases may require that staff be shifted to accommodate the fluctuating

caseload. Also, a manager may want to know how many paternity and incoming URESA

cases have been referred since these cases require different staff resources and often

take longer to process.

Third, if there appears to be a problem with the quality of referrals, a manager may

want to monitor the number of cases returned to IV-A. By monitoring the number of

returned cases, a manager can determine if the IV-A interface needs to be improved.

Fourth, if there is a backlog of cases in Intake, a manager can monitor the extent of,

and determine the reasons for, the backlog.

Fifth, as the manager of a public service program, you may want to know if the

office is providing fast and efficient service to clients and absent parents. To do this, you

can monitor how long people must wait to see a caseworker.

Exercise. Are you collecting information that will allow you to evaluate the Intake

unit? We have provided some ideas on the type of information a manager might want to

know about Intake. In the space provided below, write down the information or key

indicators you feel your office needs to know about Intake.

1.

2.

3.

4.

Information Needed--Intake

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STEP 2: DATA COLLECTION

Now that you have determined what information you need, the next step is to

determine what data need to be collected to provide this information.

Let's suppose that you want to know how many and what types of cases the office is

receiving and if there are any backlogs. What data need to be collected in order to obtain

this information? One way to find out is to break down the information needed into basic

questions and then list the data that are needed to answer these questions as illustrated in

Figure 1-1. For example, to determine how many and what types of cases the office is

receiving, you would first need to know the number of AFDC and non-AFDC cases that

have been received. Of these cases, how many are paternity, URESA, establishment, and

enforcement cases? To determine if there are any backlogs, you would need to know the

date the cases were received in the office and the date the cases were transferred to the

next function.

Figure 1-1

Intake Data Collection Worksheet

(Sample)

Information

Needed Data

Collected

Now?

Yes No

How many and what

types of cases is

No. of AFDC cases

4 No. of non-AFDC

X

the office receiving? cases X

Total no. of cases X

No. of enforcement

cases X

No. of establishment cases X

No. of URESA cases X

No. of paternity

cases- X

Is there a backlog Date case received in

of cases at Intake? Intake X

Date case referred

to next function X

With this data, a manager can determine not only how many cases have not been

processed, but how long they have been in the office.

7 20
Exercise. In the Information Needed section, you identified specific information on

Intake that was needed by your office. Now complete the "Intake Data Collection Worksheet" (Figure 1-2) to determine what Intake data you need. Then indicate in the

last column whether you are currently collecting that information.

Figure 1-2

Intake Data Collection Worksheet

Information

Needed Data

Collected

Now?

Yes No

8 21
What additional information or data are you currently collecting at Intake? Is the

information beIng used and is it really needed? To help answer this question, let's assess

what additional information you are currently collecting at Intake. The "Intake Data

Analysis Worksheet" (Figure 1-3) can assist in this effort. List the information you are

currently collecting on Intake in thu left-hand column and then answer the following

questions:

Figure 1-3

Intake Data Analysis Worksheet

What Data Are

You Currently

Collecting?

Who Is Using

This Information?

Why Is This

Information

Needed?

Continue

To Collect?

Yes No

Who uses this information?

Why is this information needed?

Is it really necessary to collect this information?

If your answer to the last question is no, you may consider not collecting this

information.

9

22
STEP 3: REPORTING

Now that you have determined the data that need to be collected for Intake, the next

step is to present this data in a format that can be used by the staff. Essentially, three

levels of reports will be needed. A report will be needed for the manager, the supervisor,

and the Intake caseworkers. The format and content of the data will vary based on the

needs of these three positions. For example, while caseworkers need detailed case

information to process cases ...ffectively, supervisors and managers need collective

information to maintain and evaluate the performance of a unit or office.

Let's take our example of the manager who wants to know how many and what type

of cases were being received in Intake and if there were any backlogs. What information

does the manager. the unit supervisor, and the caseworker need? The "Sample Intake

Report Format Analysis Worksheet" (Figure 1-4) illustrates one way to determine this.

Figure 1-4

Intake Report Format Analysis Worksheet

(Sample)

Information Needed Manager Supervisor Caseworker

No. of AFDC cases X X X

No. of non-AFDC cases X X X

Total no. of cases X X X

No. of Paternity cases X X

No. of URESA cases X X

No. of other Interstate

cases X X

No. of Establishment cases X X

No. of Enforcement cases X X

No, of Locate cases X X

Total no. of cases in backlog X X X

No. cases in backlog 1 week X X

No. cases in backlog 2 weeks X X

No. of cases in backlog 3

weeks or longer X X

10 23
In the left column we have listed the data that are needed. In the columns to the

right we have illustrated what data are needed by the manager, supervisor, or

caseworker. As indicated, the manager and the supervisor would need to know the total

number and types of cases received by the office. The caseworker would probably not want or need to know this information. However, the manager, supervisor, and

caseworker would all want to know if there is a backlog. Additionally. the caseworker

would need a detailed report indicating exactly which cases need to be worked.

Exercise. In the previous section, you identified the data you needed to collect. Now, continuing with that example, fill out the "Intake Report Format Analysis Worksheet" (Figure 1-5). This exercise will ensure that your staff has the information

they need to do their jobs and that they are not being burdened with irrelevant and cosily

reports.

Figure 1 -5

Intake Report Format Analysis Worksheet

Information Needed Manager Supervisor Caseworker

11 24
Now that you have determined who needs what data, the next step is to arrange the data in a report format. Illustrated below are two sample report formats based on the

previously identified data: one for the manager or supervisor of the unit (Figure 1-6) and

one for the Intake caseworker (Figure 1-7).

Figure 1-6

Intake Unit Report

(Sample)

Date:

Total no. of cases received

No. of AFDC cases

No. of non-AFDC cases

Total no. of cases processed

No. of cases referred to:

Locate

Establishment/Paternity

Enforcement

URESA

Other Interstate

Cases not processed within

14 days of receipt

Balance From This Year to Last Year

Previous Month Month Date To Date

12 25
Figure 1-7

Intake Worker Report

(Sample)

Caseworker. Date:

Intake cases not processed

Past due (Days)

14-20

21-28

29 or more

14-20 days

21-28 days

29 or more

Number of Cases

Name of Absent Parent Social Security Number or ID#

13 26
Exercise. Using Figures 1-8 and 1-9, develop two Intake report formats that

illustrate the information you have previously identified. The first report should be one

that can be used by the Intake supervisor and the second report should be developed for

the caseworkers.

Figure 1-8

Intake Unit Report Worksheet Date:

14 27
Figure 1-9

Intake Worker Report Worksheet Date:

15 28
Report Production. As a manager, you need to ensure that your staff members

have the information they need to perform their jobs. All too often, however, employees

receive more information than they can possibly use. As a result, many reports are

produced and never used by the staff. Also, the reporting needs of an office continually

change. Periodically a manager should reassess the reporting needs of the office by

meeting with the staff and deciding who really needs a report and how often a report

should be produced. The "Intake Report Production Checklist" (Figure 1-10) can assist a

manager in determining this information.

Figure 1-10

Intake Report Production Checklist

Name Of The

Report

Who Needs

The Report?

How Many

Copies? How Often?

29

16
STEP 4: DATA ANALYSIS

The fourth and final step in the information development process is to analyze the

data that have been collected. The primary purpose of collecting this data is to monitor

the performance of the office in key result areas. Collecting the right kind of data will give you this information. However, sometimes data and charts define situations that

require further research to determine the exact cause of a problem. Charts, such as those

illustrated in this section, indicate problems or trends. However, it is the manager's

responsibility to determine what factors are producing these problems or trends. In the

following section we provide sample Intake data and charts and discuss the implication of

the data. Sample exercises are provided that will allow readers to analyze data from

their own offices.

Figure 1-11 is a chart that illustrates the number of referrals received by a county

over a 2-year period.

3.0

2.8

Figure 1 -1 1

Comparison of Incoming Referrals

(Sample)

2.6 -

O 2.4 - '4

1.. 6

,4421-a 2.2 -

co -0

cc F.

4--0 2.0 - o c

L. 2 S 1.8 -

E=z 1.6 -

1.4 -

1.2

1.0 -

0.8

I I I I I I I II I Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

a Year 1 + Year 2

17 30
What does this chart tell us about this office?

Yearly trends approximate each other.

The number of referrals increased sharply in June but declined for the next 4

months.

Exercise. In the graph below, Figure 1-12, chart the total number of referrals your

office received each month during the previous year. With a separate line, chart the

number of referrals received each month this year.

0

Figure 1-12

Comparison of Incoming Referrals Worksheet

]

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

What does this chart indicate about your office? Have the number of referrals increased,

decreased, or remained the same over the years?

18 31

)
Figure 1-13 is a chart which compares the number of AFDC and non-AFDC cases

received in a county.

1.6

1.5

1.4

1.3

1.2

1.1

1.0

co

wee5 1.4-F 0.9

0.8

0.7

z

0.6

0.5

0.4

0.3

0.2

0.1

0

Figure 1-13

AFDC and Non-AFDC Cases Received

(Sample)

January - December

Jan Feb Mar Apr May Jun Jul Aug Sep Oct No Dec

AFDC

19

NON-AFDC

32
What does this chart indicate about the office?

Each month approximately twice as many AFDC as non-AFDC cases are

received.

The rate of AFDC cases appears to be increasing at a greater rate each month

than the non-AFDC cases.

More staff may be needed to process the increasing AFDC caseload.

Exerciso. Now using Figure 1-14, plot the number of AFDC and non-AFDC cases

received in your office in the past year.

Figure 1-14

AFDC and Non-AFDC Cases Received Worksheet

January - December

0 1111111 III II

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

ME AFDC

20

33

Non-AFDC
What does this chart indicate about your office?

SUMMARY

Intake is the point at which cases enter a child support enforcement office and case

processing actually begins. The Intake function is important because it indicates how

many and what types of resources will be needed to process the caseload. Information

obtained at Intake will enable a manager to increase or shift staff to the various functions

that will insure a smooth flow of cases through the office. To do this, a manager needs

information on the number of referrals, the types of cases received, the composition of

the caseload, the quality of the referrals, and the presence of any backlogs.

By tracking the number of referrals received each month, a manager can develop a

referral trend for the office. A referral trend can indicate if the caseload is increasing or

decreasing. Identifying the types of cases received will assist a manager in determining

the proper staffing allocation for the office. For example, if the majority of referrals

have court orders, staff resources should be shifted into the Enforcement function. By

monitoring the number of referrals returned to IV-A, a manager can determine if more

training or meetings are needed with the IV-A staff. Finally, a manager needs to monitor

the development of any backlogs. Backlogs indicate that a problem in staffing or

performance exists.

21

, 34
CHAPTER 2

Locate

Locate is generally defined as the process of verFfying the residence and/or the place

of employment of the absent parent (AP). In many ways, the success of a child support

enforcement program depends on how effectively the staff is able to locate absent

parents. Unfortunately, due to the transient nature of APs, Locate can be difficult and

often requires frequent relocating.

STEP 1: INFORMATION NEEDED

From a management perspective, what information would a manager want to know

about the Locate process? Specifically, a manager might want to know the following:

How many cases are currently in Locate?

How long have these cases been in Locate?

How many cases required locate this month?

Of the cases processed last month, how many Locates were made? How many

cases were closed or placed in an inactive status?

How many cases have been referred to State Parent Locator Service (SPLS) and

the Federal Parent Locator Service (FPLS)?

What methods are most successful in obtaining successful Locates?

What is the Locate caseload per employee?

How many successful Locates were made by each employee in the unit last

month?

Why is this type of information needed? Without careful monitoring, hundreds of

cases with good collection potential will remain unworked. The critical factors used to

monitor Locate activities are timing and the type of Locate sources used.

Timing is important because the sooner you find an AP the sooner he can be

brought into the child support enforcement process. Therefore, it is important to know

how long a case has been in Locate. All too often, Locate becomes the graveyard for

hundreds of cases staying in this function indefinitely. After a certain amount of time, if

a case cannot be located, it should be placed in an inactive status for review at a later

date. This will reduce the number of active cases in the caseload and will allow the

caseworker to concentrate on those cases with the greatest potential. The sources of

the Locate information are also important because some sources are more effective than

others and therefore should be used first.

23 35
Exercise. In the space provided below, write down the information you feel your office should know about Locate.

1.

2.

3.

4.

Information Needed--Locate

STEP 2: DATA COLLECTION

Let's suppose that a manager has decided that the following information is needed to

monitor the Locate function:

1. How many and which cases are in Locate?

2. How long have these cases been in Locate?

3. How many cases have been processed and located by each employee each

month?

As can be seen on the "Sample- Locate Data Collection Worksheet" (Figure 2-1) in

order to know how many cases are in Locate, a manager must know the total number of

active and inactive Locate cases. To determine which cases are in Locate, you need to be

:.;ble to identify specific cases. To do this, you would need, at a minimum, a case

identifier (SSN, IV-D number, etc.) and the AP's last and first name.

By assigning a worker identification number for each case, a manager can track the

number of cases assigned to each employee. And finally, to determine the total number

of cases processed, you would need to know the number of cases located, closed,

inactivated, and referred to FPLS or SPLS.

24 36
Figure 2-1

Locate Data Collection Worksheet

(Sample)

Information

Needed Data

Collected

Now?

Yes No

How many cases are No. of active locate

in Locate? cases x

No. of inactive locate

cases x

Total no. of locate

cases x

What cases are in Case identifier-SSN x

Locate?

AP last, first name x

What is Locate

caseload for each

worker?

Worker ID No. x

How long have cases

been in Locate?

Date received in

Locate

x

What is the total

number of cases

processed?

No. of cases located

No. of cases inactivated

No. of cases to FPLS

No. of cases to SPLS

x

x

x

x

25

37
Exercise. Now that you have determined what information you need, fill out the

"Locate Data Collection Worksheet" (Figure 2-2) illustrated below.

Figure 2-2

Locate Data Collection Worksheet

Information

Needed Data

Collected

Now?

Yes No

26

38
What additional information are you currently collecting at Locate? Is the

information being used and is it really needed? To help answer these questions, let's

assess what additional information you are currently collecting at Locate. The "Locate

Data Analysis Worksheet" (Figure 2-3) can assist in this effort. List the information you

are currently collecting in the left-hand column and then answer the following questions:

Who uses this information?

Why is this information needed?

Is it really necessary to collect this information?

If the answer to the last question is no, stop collecting this information.

Figure 2-3

Locate Data Analysis Worksheet

What Data Are

You Currently

Collecting?

Who Is Using

This Information?

Why Is This

Information

Needed?

Continue

To Collect?

Yes No

27 39
STEP 3: REPORTING

Now that you have determined the data that need to be collected, you must decide

what information does the manager, the supervisor, and the caseworker need?

Let's take our example of the manager who wanted to know how many and which

cases are in Locate, how long they have been in Locate, and how many cases have been

processed by each employee. The "Sample Locate Report Format Analysis Worksheet"

(Figure 2-4) illustrates what information each person will need. For example, a manager

needs to know very generic information such as the total number of cases that need

Locate services or how many cases have already been processed and/or located. The

supervisor and the caseworker need more specific information on the status of the cases

in Locate.

Figure 2-4

Locate Report Format Analysis Worksheet

(Sampll)

Information Needed Manager Supervisor Caseworker

No. of active

Locate cases X X

No. of inactive cases X X

Total no. of cases X X X

Case identifiers X X

Date received in

Locate X X

Worker ID no. X X

No. of cases located X X X

No. of cases inactivated X X

No. of cases to FPLS X X X

No. of cases to SPLS X X X

No. of cases closed X X X

Total no. of cases

processed X X X

28 4 0
Exercise. In the Data Collection section, you identified data that were needed in

Locate. Now, complete the "Locate Report Format Analysis Worksheet" (Figure 2-5)

illustrated below to help you determine what data are needed by your staff.

Figure 2-5

Locate Report Format Analysis Worksheet

Information Needed Manager Supervisor Caseworker

29

41
Now that you have determined who needs what information, the next step is to develop a report format to present this information. The following are examples of

reports that have been developed to present Locate information. The "Sample Locate

Unit Report" (Figure 2-6) provides an overview on how the entire unit is performing,

whereas the "Sample Locate Unit Performance Comparison Report" (Figure 2-7) compares

the amount of work performed by each employee in the Locate Unit. This is particularly

helpful when performance standards have been developed for the office, and in performing

employee evaluations. The "Sample Locate Worker Report" (Figure 2-8) provides the

caseworker with specific information on which cases should be worked.

Figure 2-6

Locate Unit Report

(Sample)

Total No. of Locate

Cases

No. of active cases

No. of inactive cases

Total Cases Processed

No. of Locates made

No. of cases closed

No. of cases to inactive

status

Cases in Process

Referred to FPLS

Referred to SPLS

0-30 days

31-60 days

61-90 days

91 days or more

Balance From This Year to Last Year

Previous Month Month Date To Date

42

30
Figure 2-7

Locate Uait Performance Comparison Report

(Sample)

Total No. of Locate

Cases

No. of active cases

No. of inactive cases

Total Cases Processed

No. of Locates made

No. of cases closed

No. of cases to

inactive status

Cases in Process

Referred to FPLS

Referred to SPLS

0-30 days

31-60 days

61-90 days

91 days or more

Caseworker A Caseworker B Caseworker C Caseworker D

31 43
Figure 2-8

Locate Worker Report

(Sample)

Caseworker: Date:

Total No. of Cases Located

Total No. of Locate Cases

Total No. of Inactive Cases

Total No. of Active Cases

Active Cases in Process

Balance From This Year to Last Year

Previous Month Month Date To Date

AP Name

0-30 days

31-60 days

61-90 days

91 days or more

Identifier Status
Exercise. In the space provided below (Figures 2-9 and 2-10), develop some Locate

reports for the Locate unit and the Locate caseworker that will illustrate the information

that you have identified.

Figure 2-9

Locate Unit Report Worksheet Date:

33

45
Figure 2-10

Locate Caseworker Report Worksheet Date:

4V
Report Production. In the space provided below (Figure 2-11), indicate how many

copies of the Locate reports should be produced, who gets each copy, and how often they

should be produced.

Figure 2-11

Locate Report Production Checklist

Name Of The

Report

Who Needs

The Report?

How Many

Copies? How Often?

35 47
STEP 4: DATA ANALYSIS

Figure 2-12 illustrates how Locate information can be compared. In this Figure, tha

number of monthly locates performed in year 1 is compared with the number ()f monthly

locates performed in year 2. Information like this can be developed fcpc an office, a

county, or an entire State. By plotting this type of data, a manager can evaluate how well the Locate unit is performing.

Figure 2-12

Comparison of Locates

(Sample)

Year 1 vs. Year 2

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

0 Year 1 + Year 2

What roes this chart indicate about the office?

The office was locating approximately 100 more cases each month in year 2

than in year 1.

There also has been a monthly fluctuation in the number of cases located in

year 2 compared to year 1.

I
A manager should determine what is causing these fluctuations. Are

additional staff or perhaps the introduction of new Locate techniques into the

Exercise. In the space below (Figure 2-13), chart the number

performed by your office for the past 2 years.

Figure 2-13

Comparison of Locates Worksheet

Year 1 vs. Year 2

they due to

office?

of Locates

0 1 1 1 1 1 1 1 1 1 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov

0 Year 1 + Year 2

Dec

What does this chart indicate about your office? What types of changes, if any, are

needed to improve the Locate operations irt your office?

37

49
Since time is money, a manager may want to know which Locate sources are the most

successful. Figure 2-14 illustrates the number of attempts that were made through a

specific Locate technique and how many of these attempts actually resulted in locating an

absent parent.

Figure 2-14

Attempted and Successful Locatos

(Sample)

Year to Date

0.4

0.3

11.2

0.1

0

FPLS SPLS Employer Relative DirectrAles Other

Attempted MI Successful

What does this chart indicate about the various Locate tecnniques used in this office?

The three most successful techniques used were the FPLS, the SPLS, and

contacting relatives.

Although directories and other Locate techniques had been frequently used,

they did not result in a large percentage of successful locates.

38

50
Based on these data, the manager should encourage the staff to contact relatives and

use the SPLS and FPLS as the primary Locate techniques since they appear to be the most

successful. The Locate unit supervisor also may want to monitor the performance of each

employee in the unit. Figure 2-15 charts the number of successful Locates performed by

four caseworkers in a 6-month period.

180

160

140

120

100

80

60

40

20

0

Figure 2-15

Successful Locates by Worker

(Sample)

January - June

Jan

Alice

Feb

Bob

Mar

Cathy Dave

Apr M56: May Jun

What does this chart indicate about the number of successful locates performed by

each worker?

In January, Bob and Cathy located almost twice as many absent parents as

Alice and Dave.

Bob continually locates more cases each month than the rest of the

caseworkers.

39 51
SUMMARY

Locate is defined as the process of verifying the residence and/or place of

employment of an absent parent (AP). Monitoring the Locate process is critical since the

location of an AP is needed before the caseworker can establish or enforce a case.

However, due to the transient nature of APs, Locate can be difficult and often requires

frequent relocating. To monitor the Locate activities in an office a manager needs to

know how many cases need Locate, how many new cases are referred to Locate each

month, which Locate techniques are the most successful, and how many cases are being

located each month.

Tracking the number of cases that need Locate and the number of new Locate cases

received each month will enable a manager to determine if the appropriate number of

staff are assigned to the Locate function. Identifying which Locate techniques provide

the best Locate information will enable the staff to process more cases in a shorter

amount of time. Monitoring how many cases are located each month will enable the

manager to assess the productivity of the Locate unit and each staff member.

40 52
CHAPTER 3

Establishment

Each child support enforcement program agency (or its designated agent) is required

to establish paternity and child support obligations through the court or ;,they legal means

such as administrative process. The establishment of a legal obligation is essential because without an order the child support enforcement agency is not authorized to

collect child support payments. The establishment of a support obligation also is

important in that it legalizes the amount of the support payment. In addition, an essential

part of this process consists of performing a financial assessment, i.e., determining the

financial ability of absent parents to pay.

STEP 1: INFORMATION NEEDED

What types of information does a manager need to monitor the establishment of cases

within the office? The following are some examples:

What is the status of the Establishment caseload?

Of the cases that need Establishment, how many are paternity cases and how

many are nonpaternity cases?

Of the paternity cases, how many are voluntary and how many are contested?

How long have cases been in the Establishment function?

How many cases have required blood tests?

Of these cases, how many have resulted in the exclusion of the absent parent?

How many court or administrative orders are established by the staff each

month?

What is the average amount of support ordered in both types of procedures?

How long does it take to establish a paternity case? What is the cost of establishing paternity?

Why is this information needed? What does it tell a manager and what does it

indicate about the office?

First, a manner should know how many and what types of Establishment cases have

been referred to the office. Assuming that the location of the absent parent is known,

separation and uncontested paternity cases are generally easier to work and require fewer staff resources. A manager should, however, ensure that enough staff are allocated to

these cases. Knowing how long cases have been in the Establishment function will

indicate how well the unit is performing. Is there a backlog? If so, perhaps additional staff is needed. Is the staff working in the most effective manner? Perhaps the

establishment process is too cumbersome. What can be done to streamline the process and allow staff to work more effectively?

... 41 53
Second, blood tests, although necessary, can be extremely costly. Therefore, a

manager may want to monitor how many blood tests are being performed. Tracking

information on these blood tests will allow the manager not only to keep a running

account of the costs but also will indicate if blood testing has been an effective tool in

establishing paternity. For example, if a high percentage of the blood tests result in

excluding defendants, perhaps the staff needs to reevaluate the criteria they are using in

submitting cases.

Third, determining how many orders are established each month provides the manager

with a way to evaluate not only the performance of the unit, but also the performance of

each staff member. Also, by monitoring how the orders were established and the amount

of the orders, a manager can determine which method is more effective and results in

higher support amounts.

Finally, a manager may want to know how long and how much it is costing to

establish a paternity case. This can be of particular interest to offices in which the legal

aspect of Establishment is contracted to attorneys outside of the Child Support

Enforcement Program. By monitoring this type of information, a manager can project

how long and how much it will cost to establish orders on a certain percentage of the

caseload. Also, by comparing the average amount of time each attorney spends on each

case, a manager can develop performance standards for the legal staff.

What type of information would best help you menage the Establishment part of your

office? It is important to remember that you may not want or need all of the items

mentioned previously.

Exercise. In the space provided below, list the information you want to know about

Establishment.

1.

2.

3.

4.

Information Needed--Establishment
STEP 2: DATA COLLECTION

Now that you have determined the information you need, the next step is to

determine what data to collect to provide this information.

Let's suppose a manager wants to know how many cases need to be established, and,

of the cases that were established, how they were established, how many were established by each employee, and the average amount of support ordered for each case. What data

are needed to otitain this information? In the "Sample Establishment Data Collection

Worksheet" (Figure 3-1), we have listed the basic information needed and then indicated

what data are needed to obtain this information. In the third column, we have indicated if

the data are currently being collected.

Figure 3-1

Establishment Data Collection Worksheet

(Sample)

Information

Needed Data

Collected

Now?

Yes No

How many and what

types of cases need

No. of nonpaternity

cases

X

establishment?

No. of paternity cases X

Total no. of cases X

Which cases need AP name X

establishment?

AP SSN or ID no. X

How were cases No. through court X

established?

No. through administrative process

X

No. through stipulation X

How many were estab- Worker ID no. X

lished by each worker?

What is the average Actual amount of each

amount of support order X

ordered?

55

43
For example, to determine how many and what type of cases need Establishment, a

manager needs to know the number of paternity and nonpaternity cases. To determine

how cases were established, a manager would need to know if the cases had been

established through the court, administrative process, or stipulation. In order to obtain

the average amount of support ordered, a manager would need to know the actual amount

of each court order. By assigning a worKer identification number for each case, the

performance of each employee can be tracked.

Exercise. In the Information Needed section, you identified what information was

needed regarding the Establishment of cases in your office. Now, complete the

"Establishment Data Collection Worksheet" (Figure 3-2) to determine what data are

needed to obtain this information.

Figure 3-2

Establishment Data Collection Workshee

Information

Needed Data

Collected

Noyv?

Yes I No

44

5 6
What additional information are you collecting in Establishment? Is the information

being used aild is it really needed?

Exercise. Assess the information you are collecting in Establishment by filling out

the "Establishment Data Analysis Worksheet" (Figure 3-3).

Figure 3-3

Establishment Data Analysis Worksheet

What Data Are

You Currently

Collecting?

Who Is Using

This Information?

Why Is This

Information

Needed?

Continue

To Collect?

Yes No

45

3 57
STEP 3: REPORTING

Now that you have determined what data need to be collected, let's determine what

information the manager, supervisor, and the caseworker need. As indicated in the

"Sample Establishment Report Format Analysis Worksheet" (Figure 3-4), the manager and

the supervisor need to know generic information, such as the total number of cases that

need Establishment. The caseworker needs to kr.ow specific information six:. as which

cases need Establishment and whether they are paternity or nonpaternity crses.

Figure 3-4

Establishment Report Format Analysis Worksheet

(Sample)

Information Needed Manager Supervisor Caseworker

No. of nonpaternity

cases X X

No. of paternity

cases X X

Total no. of cases X X X

AP name X

AP SSN or ID no. X

Cases established

through:

Court X X

Administrative

Process X X

Stipulation X X

Worker ID no. X X

Actual amount of

order X X

Total no. of cases

processed X X X

4658
Exercise. In the previous section, you identified what data you needed to collect. Now fill out the "Establishment Report Format Analysis Worksheet" (Figure 3-5) to

determine what data are needed by the manager, supervisor, and caseworker.

Figure 3-5

Establishment Report Format Analysis Worksheet

Information Needed Manager Supervisor Caseworker

Now that you have determined the data that are needed by the various staff, you

need to arrange this data in a format that can be easily understood by the staff.

The following are examples of reports that have been developed based on the data

identified in the previous section. The "Sample Establishment Unit Report" (Figure 3-6) provides an overview of how the entire unit is performing, whereas the "Sample Establishment Unit Performance Comparison Report" (Figure 3-7) compares the amount of work performed by each employee in the Establishment unit. The "Sample Establishment Attorney (Caseworker) Report" (Figure 3-8) provides an attorney or

caseworker with specif:c information on the cases assigned to his or her caseload.

47 52
Figure 3-6

Establishment Unit Report

(Sample)

Total No. of

Establishment Cases

Total No. of

Paternity Cases

Total No. of

Nonpaternity Cases

Total No. of Cases

Established

Court

Administrative

Process

Stipulation

Balance From

Previous Month

This Year to Last Year

Month Date To Date

WININIIIMENNW Balance From

Previous Average This Average Year to Average

Month Amount Month Amount Date Amount
Figure 3-7

Establishment Unit Performance Comparison Report

(Sample)

Total No. of

Establishment Cases

Total No. of Paternity

Cases

Total No. of

Nonpaternity Cases

Total No. of Cases

Established

Court

Average Amt. of Order

Administrative Process

Average Aint. of Order

Stipulation

Average Amt. of Order

Attorney/ Attorney/ Attorney/ Attorney/

Caseworker A Caseworker B Caseworker C Caseworker D

49

61
Figure 3-8

Establishment Attorney (Caseworker) Report

(Sample)

Attorney (Caseworker) Date:

Total No. of Cases

Established

Total No. of Paternity

Cases

Total No. of

Nonpaternity Cases

Balance From This Year to Last Year

Previous Month Month Date To Date

Active Cases in Process AP Nvne Identifier Status

Paternity Cases

Nonpaternity Cases

962
Exercise. In the space provided below (Figures 3-9 and 3-10), design Establishment

reports for your Establishment unit and for your caseworkers or attorneys.

Figure 3-9

Establishment Unit Report Worksheet Date:

51

63
Figure 3-10

Establishment Caseworker (Attorney) Report Worksheet Date:

52 64
Report Production. In the space provided below (Figure 3-11), indicate how many

copies of the Establishment reports should be produced, who should get a copy, and how

often they should be produced.

Figure 3-11

Establishment Report Production Checklist

Name Of The

Report

Who Needs

The Report?

How Many

Copies? How Often?

53 6'5
STEP 4: DATA ANALYSIS

Now let's take a look at some sample information on the Establishment of cases

within the office.

Figure 3-12 compares the number of cases established through court action,

administrative process, and by stipulation. By analyzing data like these, a manager can

determine which methods of establishing support are the most effective and, therefore,

should be used most often.

400

Figure 3-12

Number of Cases Established

(Sample)

January - June

Jan

Admin. Process

Feb Mar Apr

I I Court

May

tqW

Jun

Stipulation

What does this chart indicate about this office?

The majority of cases are established through administrative process.

Very few cases are established by stipulation.

54 60
Based on this information, a manager may want to question why so few cases are

established by stipulation. Have the staff had adequate training in processing

stipulations? Do they feel comfortable interviewing and negotiating with the absent

parent?

Exercise. In the space provided below (Figure 3-13), chart the number of cases

established in your office through the administrative process, court, or stipulation.

Figure 3-13

Number of Cases Established Worksheet

January - June

ea.

0

=MI

1 Jan Feb Mar Apr May Jun

Admin. Process Court rAdv: Stipulation

What does this chart indicate about your office? Are you still processing most of

your cases through the court?

55 67
Figure 3-14 compares the total number of cases established over a 2-year period.

Data such as these can indicate how the office is perfcrming compared to the same period

during the previous year. In so doing, a manager can identify trends or problem areas and

take steps to correct the situation.

Figure 3-14

Number of Cases Established

(Sample)

January - June

Year 1 vs. Year 2

Jan Feb Mar Apr

0 Year 1 + Year 2

What does this chart indicate about this office?

May Jun

In year 2, the office established at least 100 more cases each month than during

the previous year.

In both year 1 and year 2, there was a substantial drop in the number of cases

during the month of April.

56

6d
Based on this information, a manager may want to know the reasons for the increase

in orders established in year 2, and why did the number of cases established decline

between March and April.

Exercise. In the space provided below (Figure 3-15), chart the number of cases

your office has established over the past 6 months.

600

Figure 3-15

Number of Cases Established Worksheet

Year 1 vs. Year 2

500-

co 400 - m

ce

as a

't 300-

.Z

E

Z 200-

100-

0

Jan Feb Mar Apr May Jun

o Year 1 + Year 2

How many orders does your office establish each month? Is your office establishing

approximately the same number of cans each month nr are some months higher than

others? Do you think the staff could be establishing more cases each month?

1

57

69
SUMMARY

The Establishment function consists of determining paternity and support obligations

through the court or other legal means. Establishment is an essential step in the child

support enforcement process, for without an order or stipulation the child support

enforcement agency has no legal authority to collect child support. To monitor

Establishment activities in an office, a manager needs to know how many and what types

of cases (paternity/nonpaternity) need to be established and how many cases are being

established each month. Also, a manager needs to know if blood tests are being used

effectively and how long it is taking to establish a case.

Tracking the number and types of cases that need to be established can help a

manager determine if enough staff have been allocated to work these cases. Monitoring

the number and how the cases were established will assist a manager in evaluating the

performance of the unit and each caseworker. In addition, it can identify which

Establishment method (court order, stipulation, etc.) is the most effective and results in

higher support amounts. Monitoring blood testing activities will enable a manager to

determine if blood tests are being used in the most efficient manner. Finally, by

monitoring how long it is taking to establish cases, a manager can project how long it will

take to establish orders or stipulations on a certain percentage of the caseload.

70

58

9
.. CHAPTER 4

Enforcement

Enforcement consists of all activities associated with securing child support

payments. All too often, however, these payments become irregular or cease altogether.

When this happens, the child support agency must begin Enforcement procedures.

Enforcement procedures often begin with initiating nonlegal activities such as sending

dunning notices or making phone calls to the absent parent. However, when these

attempts fail the child support enforcement office must rely on legal enforcement, such

as wage assignments or garnishments, to obtain the ordered support.

In this chapter, we will discuss the various types of actions which can be taken to

enforce a case. In the following chapter or' Collection and Distribution, we will discuss

how successful these actions have been as measured by the amount of collections received.

STEP 1: INFORMATION NEEDED

What type of information does a manager need to know about Enforcement? A

manager would probably want to know the following:

How many cases need Enforcement?

How long have these cases been in Enforcement?

What kinds and how many Enforcement actions have been made by the office

and by each caseworker?

Which Enforcement actions have been the most successful?

Why is information like this important? What does it tell a manager? What does it

indicate about the office? And, how can this information be used to improve Enforcement

activities in the office?

First, whether Enforcement activities are performed in a IV-D office or are

contracted to private or State attorneys, a manager needs to know how many cases need

Enforcement. This information will indicate if the manager needs to allocate more staff

to this function. This is particularly important since studies have shown that collections

per caseworker tend to decline as ttz: size of their caseload increases.

Second, the aging of Enforcement cases also is important because the sot.ner

Enforcement action is taken on a case the better the chances of obtaining regular

collections. Additionally, there is a psychological advantage to enforcing orders before

the arrearage becomes too large.

Third, monitoring how many and what type of Enforcement actions have been taken

will allow the manager to assess how well the office and each caseworker is performing.

59 71
Exercise. What type of information are you collecting about Enforcement? Are

you collecting information that will allow you to evaluate the performance of the unit?

In the space provided below, write down the information your office should be

collecting to help enforce child support cases.

1.

2.

3.

4.

Information Needed -- Enforcement

STEP 2: DATA COLLECTION

Now that you have determined what information you need, the next step is to

determine what data need to be collected to provide this information. Let's suppose that a manager wants to know the following:

How many and which cases need Enforcement, and is there a backlog of cases that need Enforcement?

What kinds and how many Enforcement actions have been made by the office and

by each caseworker?

In the following "Sample Enforcement Data Collection Worksheet" (Figure 4-1) we

have indicated what data are needed to obtain this information.

60 P.i2
Figure 4-1

Enforcement Data Collection Worksheet

(Sample)

Information

Needed Data

Collected

Now?

Yes No

How many and No. of AFDC cases with

which cases need support 30 days past

Enforcement? due

No. of non-AFDC cases

with support 30 days

past due

Total no. of cases

with support 30 days

past due

AP name and SSN

How long have cases

been in Enforcement?

Date support due

How many and which

type of Enforcement

actions have been

taken?

No. of wage assignments

No. of liens

X

X

No. of garnishments X

No. of offsets X

To determine how many cases need Enforcement, you need to know how many AFDC

and non-AFDC cases are 30 days past due. To determine which cases these are, you need

to know the absent parent's name, Social Security number, or other identifying numbers.

Finally, in order to determine how many and what types of Enforcement actions have been

taken, you need to determine how many wage assignments, liens, garnishments, etc., have

been executed.

61 73
Exercise. In the Information Needed section, you identified the information that

was needed regarding the enforcement of cases within your office. Now, complete the

"Enforcement Data Collection Worksheet" (Figure 4-2) to determine what data elements

are needed in your office.

Figure 4-2

Enforcement Data Collection Worksheet

Information

Needed Data

Collected

Now?

Yes No

6274
Exercise. What additional information are you currently collecting? Is the

information being used and is it really needed? To help answer these questions, let's

assess what additional information you are collecting about Enforcement. Complete the

"Enforcement Data Analysis Worksheet" (Figure 4-3).

Figure 4-3

Enforcement Data Analysis Worksheet

What Data Are

You Currently

Collecting?

Who Is Using

This information?

Why Is This

Information

Needed?

Continue

To Collect?

Yes No

63 75
STEP 3: REPORTING

Now that you have determined what data are needed, the next step is to determine

what information the manager, the supervisor, and the caseworker need. Let's take our

example of the manager who wanted to know how many cases needed Enforcement and

how many and what types of Enforcement actions had been taken. The "Sample Enforcement Report Format Analysis Worksheet" (Figure 4-4) below indicates what

information is needed by the manager, supervisor, and caseworker.

The manager would primarily be interested in knowing the total number of cases that

need Enforcement and the total number of Enforcement actions that have been taken.

The supervisor and caseworkers, however, would need to know more specific information

such as how many AFDC and non-AFDC cases need Enforcement.

Figure 4-4

Enforcement Report Format Analysis Worksheet

(Sample)

Information Needed Manager Supervisor Caseworker

No. of AFDC cases

with support 30

days past due X X

No. of non-AFDC

cases with support

30 days past due X X

Total no. of cases

30 days past due X X X

Date support due X X

Case name/identifier X X

No. of wage

assignments X X

No. of garnishments X X

No. of liens X X

No. of offsets X X

Total number of

Enforcement actions

taken X X X

64

7 6'
Exercise. In the Data Collection section you identified the information needed to

monitor Enforcement activities. Not, fill out the "Enforcement Report Format Analysis

Worksheet" (Figure 4-5) to 4etermine what information is needed by the manager,

supervisor, and caseworker in your office.

Figure 4-5

Enforcement Report Format Analysis Worksheet

Information Needed Manager Supervisor Caseworker

65 77
Now that you have determined the information that the manager, supervisor, and

caseworker will need, the next step is to arrange these elements in a report format that

can be used by the staff. Three sample report formats have been developed based on the

previously defined information. The "Sample Enforcement Unit Report" (Figure 4-6) provides an overview of how the entire Enforcement unit is performing, whereas the

"Sample Enforcement Unit Performance Comparison Report" (Figure 4-7) compares the amount of work performed by each person in the Enforcement Unit. The "Sample Enforcement Worker Report" (Figure 4-8) provides the caseworker with specific

information on which cases need to be worked.

Figure 4-6

Enforcement Unit Report

(Sample)

Total No. of

Enforcement Cases

No. of AFDC cases

No. of non-AFDC cases

Total No. of Cases

Processed

Wage Assignments

Garnishments

Liens

Offsets

Ca .3s in Process

0-30 days

31-60 days

61-90 days

91 days or more

Balance From This Year to Last Year

Previous Month Month Date To Date

66 78
Figure 4-7

Enforcement Unit Performance Comparison Report

(Sample)

Total No. of

Enforcement Cases

No. of AFDC cases

No. of non-AFDC cases

Total No. of Cases

Processed

Wage Assignments

Garnishments

Liens

Offsets

Cases in Process

0-30 days

31-60 days

61-90 days

91 days or more

Caseworker A Caseworker B Caseworker C Caseworker D

67 7 9
Figure 4-8

Enforcement Worker Report

(Sample)

Caseworker: Date:

Total No. of Enforcement

Cases

No. of AFDC cases

No. of non-AFDC

cases

Active Cases in Process

0-30 days

31-60 days

61-90 days

91 days or more

Balance From This Year to Last Year

Previous Month Month Date To Date

AP Name

Arrearage

Identifier Amount

In the space provided (Figures 4-9 and 4-10), develop some reports for your Enforcement Unit and for your Enforcement caseworkers based on the information you want to know about Enforcement.

6880
Figure 4-9

Enforcement Unit Report Worksheet Date:
Figure 4-10

Enforcement Worker Report Worksheet Date:

70

82
Report Production. In the space provided below (Figure 4-11), indicate how many

copies of the Enforcement reports should be produced, who should get copies, and how

often the reports should be produced.

Figure 4-11

Enforcement Report Production Checklist

Name Of The

Report

Who Needs

The Report?

How Many

Copies? How Often?

71

83
STEP 4: DATA ANALYSIS

Now let's take a look at some sample Enforcement data. Figure 4-12 charts the

number of cases enforced compared to the office goal. Plottioy this type of information will enable the manager to see how well the office is performing in relation to its goals.

600

Figure 4-12

Number of Enforcement Actions Initiated

(Sample)

January - June

400 -

300 -

-s

0

Jan

l--

Feb Mar

1 Apr May Jun

0 Enforcement Actions + Enforcement Goal

What does this information indicate about this office?

The office has not been able to meet its Enforcement goal for any month.

The number of Enforcement actions decreased from March through May.

84
Based on this information, a manager should question why the office isn't reaching its

goals. Are the goals unrealistic? Or perhaps the staff needs to reassess how it is

processing cases. Also, why did the number of Enforcement actions decrease from March

through May?

Exercise. In the space providad (Figure 4-13), chart the number of Enforcement

actions initiated in your office during the past 6 months. What does this information

indicate about the success of the various Enforcement methods used in your office?

0

Figure 4-13

Number of Enforcement Actions Initiated Worksheet

January - June

Jun Feb Mar Apr May Jun

0 Enforcement Actions + Enforcement Goal

73 85
Figure 4-14 illustrates the number of cases enforced through the various

Enforcement techniques. This type of chart can be developed for an entire office, a

county, or even a State, to determine which Enforcement techniques are the most

successful.

Figure 4-14

Number of Cases Enforced

Through Various Enforcement Techniques

(Sample)

Jan Feb Mar Apr May

ral Wage Assignment UM Offsets M Garnishme

What does this chart indicate?

Jun

Lien

Wage assignments continue to be 013 most effective Enforcement technique,

followed by offsets.

Liens appear to be the least successful of the four Enforcement mechanisms.

Knowing this, what should a manager do? Perhaps the manager should urge the

caseworkers to use wage assignments and offsets wrienever possible.

74 86
Exercise. In the space provided below (Figure 4-15), chart the number of cases

enforced through the various methods available to you. What does this information

indicate about the success of the various Enforcement methods?

0

ERZ

Figure 4-15

Number of Cases Enforced Through

Various Enforcement Techniques Worksheet

SUMMARY

Jain Feb Mar Apr May Jun

Wage Assignment inn Offsets N.,.. Garnishment 1 1 Lien

The Enforcement function consists of all activities associated with obtaining child

support payments. These activities consist of nonlegal remedies such as issuing dunning

notices or making phone calls to the absent parent. When these techniques do not work,

caseworkers must rely on legal remedies such as wage assigr nents, garnishments, or court

action.

75 87
To monitor Enforcement activities in the office, a manager needs to know how many

cases need Enforcement action. This information will enable a manager to allocate or

redistribute staff since studies have shown that collections per ..aseworker tend to decline

as the size of his or her caseload increases. It is also important for a manager to monitor

how many and what types of Enforcement actions have been initiated. This information

will enable the manager to assess how well the office and each caseworker is performing.

This information also can indicate which Enforcement techniques have been the most

successful.

76

C8
CHAPTER 5

Collection And Distribution

The Child Support Collection and Distribution functions generally consist of the

following activities: collecting child support payments; matching these payments to the

correct cases; distribut:ng the AFDC and disbursing the non-AFDC payments: billing the

absent parent; and maintaining the payment history on each case.

Support payments collected on IV-D cases are disbursed according to Federal law. In

AFDC cases, the State retains an amount for reimbursement of all or part of the current and past AFDC assistance that has been paid to the family. From this amount, the State

will determine the Federal Government's share of the collection. From the Federal share

the State will pay the amount of any incentive payment due the State or locality that makes the collection. In non-AFDC support cases, payments are recorded and passed on

to the client.

STEP 1: INFORMATION NEEDED

What kind of information should a manager know about the collection process? The

following are some types of information a manager may want to know:

How much money is received each month on AFDC and non-AFDC cases by each caseworker, office, county, and the entire State?

How many cases are being collected on by each caseworker, office, county, and

the entire State?

How much money is being distributed on behalf of AFDC families and disbursed

to non-AFDC families each month at the office, county, and State levels?

What is the balance of the undistributed AFDC and undisbursed non-AFDC

collections at the and of each month at the office, county, and State level?

What is the nature of the undistributed and undisbursed collections (i.e., future

payments, unidentified payments, etc.)?

How much money is being collected through the various Enforcement

techniques: wage assignments, garnishments, State and Federal tax offsets,

unemployment compensation offset, cash payments, etc.?

How much money is being issued to the client through the $50 disregard

provision?

How much money is being distributed to the Federal, State, and county governmcalis and, if applicable, to a responding State?

'low much of the collections is sent to other States and counties, and how much

is received from other States and counties?

77

.011== .

89
Why is information like this important? What does this information tell a manager? What does it indicate about the office? Some important answers to these questions

include:

Effective October 1, 1985, States will be able to collect jncentives on both

AFDC and ncn-AFDC collections. Since these incentives will be calculated

separately, managers will need to maintain separate accounts on these

collections.

By tracking collections, a manager will be able to monitor collt.,:tion trends in

the office. For example, if collections begin to decline, the manager should

discuss the problem with the staff and determine what actions need to be taken

to reverse this :rend. By monitoring the amount of support each caseworker

collects, a supervisor is able to assess the performance of each employee in

relation to the rest of the staff.

Monitoring the amount of collections received through the various Enforcement

mechanisms will enable the manager and the staff to identify the methods that

result in the highest collections and those which are the most cost beneficial.

A manager would want an accounting of the $50 disregaras issued to eligible

AFDC family units.

Effective October 1, 1985, States must report on a yearly basis the amount of

support collected on behalf of the AFDC recipient.

A manager should monitor any undistributed and/or ,ftndisbursed collections, since a State cannot obtain incentives on a collection until it has been

distributed or disbursed.

What information are you tracking on your collections? Are you collecting

information that will allow you to evaluate your office?

Exercise. In the space provided below, write down the information you believe

your office needs to know about its collections.

1.

2.

3.

4.

Information Needed-- Collection and Distribution
STEP 2: DATA COLLECTION

Now that you have determined the information you need, the next step is to determine what data you need to collect. Let's suppose a manager wants to know how many

collections are being received monthly and how much has been received through each

Enforcement mechanism.

As indicated in the "Sample Collection and Distribution Data Collection Worksheet"

(Figure .. -1), in order to determine the total amount of money received, you would need to

know the amount of AFDC and non -AFDC collections and the total of both amounts. In

order to determine how much money has been obtained through an Enforcement mechanism, you need to know how much money has been collected through wage

assignments, garnishments, cash payments, Federal and State tax offsets, unemployment

compensation offsets, other Enforcement actions, regular payments and other States.*

Figure 5-1

Collection and Distribution Data Collection Worksheet

(Sample)

Information

Needed Data

Collected

Now?

Yes No

What i3 the total Amount of AFDC

amount of support collections

received? Amount of non-AFDC

collections

Total amount

How much money has Amount collected by:

been collected through

the various Enforce- Wage assignments X

ment techniques for Garnishments X

both AFDC and non- Cash payments X

AFDC cases? Federal tax offsets X

State tax offsets X

Unemp. comp. offsets X

Other Enforcement

techniques X

Regular payments

Other States X

*Management should also consider including other local, State and/or Federal reporting

requirements.

79 91
Exercise. In the Information Needed section, you identified the information you

wanted to know about your collections. Now complete the "Collection and Distribution

Data Collection Worksheet" (Figure 5-2) to determine the data neek.ad to provide the

information you want.

Figure 5-2

Collection and Distribution Data Collection Worksheet

Information

Needed Data

Collected

Now?

Yes No

80

0 2
What additional information are you currently collecting regarding collections? Is

this information being used and is it really needed? To help answer th's question, fill out

the "Collection and Distribution Data Analysis Worksheet" (Figure 5-3).

Figure 5-3

Collection and Distribution Data Analysis Worksheet

What Data Are Why Is This Continue

You Currently Who Is Using Information To Collect?

Collecting? This Information? Needed? Yes No

81 93
STEP 3: REPORTINC

Now that you have determihed the data that need to be collected, the next step is to

present these data in a format that can best be used by the staff. The format and content

of the report will vary based on the needs of the staff. The "Sample Collection and

Distribution Report Format Analysis Worksheet" (Figure 5-4) will assist in the effort. In

the left column, we have listed the data that are needed. To the right, we have indicated

whether the information is needed by the manager, supervisor, or caseworker. For

example, a manager needs to know the total amount of AFDC and non-AFDC collections

received by the office. Additionally, the manager may want to know the amount of

collections received through Federal, State, and unemployment compensation offsets.

The supervisor and caseworkers may want to know how much money was collected through

each Enforcement mechanism.

Figure 5-4

Collection and Distribution

Report Format Analysis Worksheet

(Sample)

Information Needed Manager Supervisor Caseworker

Amt. of AFDC collections X X X

Amt. of non-AFDC

collections X X X

Total amt. of collections X X X

Amount collected by:

Wage assignment X X

Garnishments X X

Cash payments X X

Fedsral tax offsets X

State tax t's ff set s X

Unemp. comp. offsets X X X

Other Enforcement

techniques X X

Regular payments X X

Other States X X

82

94
Exercise. In the previous section, you identified the information and the

corresponding data that were needed to monitor and track your collections. Now

complete the "Collection and Distribution Report Format Analysis Worksheet" (Figure 5-5) to determine the data needed by the supervisor, the manager, and the caseworker.

Figure 5-5

Collection and Distribution

Report Format Analysis Worksheet

Information Needed Manager Supervisor Caseworker

83 95
The following are examples of reports that have been developed based on the data

identified in the previous section. The "Sample Collection Report" (Figure 5-6) provides

an overview on how the entire unit is performing, wnereas the "Sample Collection

Performance Comparison Report" (Figure 5-7) compares the amount of work performed

by each employe in the if f ice.

Figure 5-6

Collection Report

(Sample)

Total Amount

of Collections

Total Amt.

of AFDC

Total Amt.

of Non-AFDC

Cogoctions from This Year to Last Year

Previous Month Month Date to Date

Non- Non- Non- NonAFDC AFDC AFDC AFDC AFDC AFDC AFDC AFDC

Type of Collection

Wage Assignment

Garnishments

Cash Paynents

Fede.al Offset.;

State Offsets

Unemployment

Compensation

Offsets

Other Enforcement Techniques

Regulh: Payments

Other States

84

96
Figure 5-7

Collection Performance Comparison Report

(Sample)

Total Amount

f Collections

Total Amt.

of AFDC

Total Amt.

of Non-AFDC

Type of Collection

Wage Assignment

Garnishments

Cash Payments

Federf.: Offsets

State Offsets

Unemployment

Compensation

Offsets

Caseworker A Caseworker B Caseworker C Caseworker D

Non- Non- Non- NonAFDC AFDC AFDC AFDC AFDC AFDC AFDC AFDC

Other Enforcement Techniques

Regular Payments

Other States

Exercise. In the space provided on the next pages (Figures 5-8 and 5-9), develop

two reports: an Office Collection Report to show officewide performance and a Team or

Unit Collection Report that will illustrate the information your supervisors and staff

should know about the collections received in the office.

85 97
Figure 5-8

Office Collection Report Worksheet Date:

86 98
Figure 5-9

Team or Unit Collection Report Worksheet Date:

87 9 9
Report Production. In the space below (Figure 5-10), indicate how many copies of

the collection reports should be produced, who should receive copies, and how often the

reports should be produced.

Figure 5-10

Collection and Distribution Report Production Checklist

Name Of The

Report

Who Needs

The Report?

How Many

Copies? How Often?

88 100
STEP 4: DATA ANALYSIS

Now that you have the data you need, the last step is to analyze this informat'on to

determine how well the office is performing. Figure 5-11 compares for two years the

collections received in the office for the same period. By tracking this type of data a

manager is able to determine trends and monitor any changes in the amount of support

received.

Figure 5 -11

Comparison of AFDC Collections

(Sample)

January - June

Jan Feb

What does this chart indicate?

Mar Apr

CI Yearl + Year2

May Jun

The amount of collections received from January through June in Year 2 were

consistently higher than in Year 1.

During the month of May in Year 2 over $34,000 was collected. This is $16,000

more than the amount collected during the same month in the previous year.

89 101
Exercise. In the space provided below (Figure 5-12), chart the collections received

in your office over the same 6-month period in each of the last 2 years. What is

happening to collections in your office? Are collections increasing or decreasing? What

factors may be affecting the rate of collections in your office?

0

Figure 5-12

Comparison of AFDC Collections Worksheet

January - June Year 1 vs. Year 2

1 Jan Feb Mar Apr May Jun

0 Year 1 + Year 2

What does this information indicate about your office?
Effective October 1, 1985, States will be able to collect incentives on both AFDC and

non--AFDC collections. Since these incentives will be calculated separately, managers

will need to maintain separate accounts on these collections. Figure 5-13 compares the

amount of AFDC and non-AFDC collections received by an office, a county, or a State.

40

35

Figure 5-13

AFDC vs. Non-AFDC Collections

(Sample)

January - June

30 -

coC

7.,c) 25

V a; = -0c 0 1 20

IS 3=

c" - 15

O

E

Q

10

5 -

0

\\ \

Jan Feb

F3:;1 AFDC

What does this chart indicate?

Mar Apr May

Non-AFDC

Jun

Each month the office continued to ce!lect more AFDC than non-AFDC

collections.

During March there was a substantial increase in both the AFDC and non-AFDC

collections; however, collections declined drastically in April.

91 1 0 3
Exercise. In the space provided (Figure 5-14), chart the amount of AFDC and

non- FATtcollections made by your office during the past 6 months.

0

Figure 5-14

AFDC vs. Non-AFDC Collections Worksheet

January - June

Jan Feb

///

Mar Apr May Jun

Non-AFDC I I AFDC

What does this chart indicate about your office?

92 104
SUMMARY

The Child Support Collection and Distribution functions generally consist of

collecting child support payments; maiching these payments to the correct cases;

distributing the AFDC and disbursing the non-AFDC payments; billing the absent parent;

and maintaining the payment history on each case.

Effective October 1, 1985, States will be able to collect incentives on both AFDC and

non-AFDC collections. Since the incentives will be calculated separately. managers will

need to maintain separate accounts on their collections. By tracking collections, a

manager will be able to monitor collection trends in the office. By monitoring the amount

of support each caseworker collects, a manager is able to assess the performance of each

caseworker.

It also is important that a manager monitor the amount of collections received

through the various Enforcement mechanisms. This will enable the staff to identify which

Enforcement methods result in the highest collections.

Also, the 1984 Child Support Amendments require that a State monitor and report

annually the amount of AFDC support collected on behalf of the AFDC recipient. Finally,

a manager should monitor any undistributed and/or undisbursed collections since a State

cannot obtain incentives on a collection until it has been distributed or disbursed.

93 105
PART TWO

Using Management Information

To Evaluate Program Performance

In the Introduction, we discussed the importance of identifying key result areas and

performance indicators. These serve to give the office direction, since they indicate where the office is going and what needs to be done to get there. In Part One, you

determined the operational information needed to operate and monitor the Intake, Locate,

Establishment, Enforcement, and Collection and Distribution functions effectively.

In this section, we will discuss ways to measure office performance. This information

can be used to help a manager assess the overall performance of the office, to determine

if the office is achieving its goals, and to determine future growth areas.

There are many ways to measure the performance of an office. However, for the

purpose of this Workbook, we will address the areas of collections and expenditures, cost

benefit ratios, distribution of caseload, obligations: collections, percentage of paying

cases, impact of caseload size on collection, and potential growth areas.

106 95
CHAPTER 6

Collections and Expenditures

The key to an effective cost benefit ratio is high collections combined with low

expenditures. Therefore, a manager needs to watch these two key indicators closely.

Tracking collection and expenditure data enables a manager to monitor how well the office is achieving its goals and to identify problem areas that could be affecting the

productivity of the office.

TRENDS IN COLLECTIONS AND EXPENDITURES

Most child support enforcement offices can obtain specific collection information on

their operations. This information often consists of a breakdown between AFDC and

non-AFDC collections as well as collections per caseworker, team, or unit.

Unfortunately, the same is not true for expenditures. Often IV-D expenditures are

recorded by a unit of the umbrella agency other than the IV-D unit. Because of this,

many IV-D managers either do not have their expenditures reported to them or, if they

do, they are not reported in sufficient detail to permit the manager to analyze them.

With the new emphasis on cost effectiveness, managers need detailed monthly/quarterly

expenditure reports for their programs. Only then will managers be in a position to

adequately monitor and control both their collections and expenditures.

What types of expenditure data should a manager collect? These will vary according

to the jurisdiction.* Ideally, a manager may want to monitor the following expenditure

items:

Payroll Control Costs

Fringe Benefits Blood Testing

- Service of Process

Training

Indirect Costs

Office Rent

Travel

Equipment

Postage

Rental - Purchase Supplies

ADP Costs

Exercise. Many managers do not have detailed expenditure information on their

offices. However, if this information is available for your office, fill out the "Itemized

Expense Summary Sheet" (Figure 6-1). This chart will assist you in monitoring

expenditures on a monthly basis in order to control costs.

*Management should also consider including other local, State, and/or Federal reporting

requirements.

97

107
.. Figure 6-1

Itemized Expenses Summary Sheet

Payroll

Fringe Benefits

Training

Office Rent

Equipment

-Rental

-Purchase

ADP Costs

Contract Costs

-Blood Testing

-Service of Proc 3S

Indirect Costs

Travel

Postage

Supplies

JANUARY FEBRUARY MARCH APRIL MAY JUNE

98

108
Let's assume that you have the basic collection and expenditure information for your

office. How can this information help you monitor and *valuate your off be? Figure 6-2

is a line chart that compares both collections and expenditures over a 6-month period.

`13= 6 g G

I180

150

120

90

0

Figure 6-2

Trends in Collections and Expenditures

(Sample)

July - December

July Aug Sept

0 Expenditures

What does this chart indicate?

Oct

+ Collections

Nov Dec

Although collections have remained fairly constant, there has been a slight

decrease in collections during the last 3 months.

Expenditures increased by $30,000 durir the first 3 months; however, from

September to October, expenditures dropped by almost $30,000.

Based on this information, a manager should identify what is causing the decline in

collections and the fluctuation in expenditures.
Exercise. in the space provided (Figure 6-43), chart your office's collections and

expenditures over the past 6 months.

0

Figure 6-3

Trends in Collections and Expenditures Worksheet

0 Expenditures + Collections

What does this chart indicate about your office? Are your collections increasing each

month? What about your expenditures: are they increasing or decreasing?

11 0

100
TRACKING OFFICE PERFORMANCE

Using a bar chart is one way to track office performance. For example, if an office

is organized into teams, a manager could track each team's progress toward their collection goal. The solid bar in Figure 6-4 represents a collection goal a team is expected to achieve from June through December. The empty bar indicates the actual

amount of the collections received.

Figure 6-4

Team Progress Towards Collection Goals

(Sample)

AFDC Collections (June-December)

Team #1 Team #2

Goal

Team #3 Team #4

Actual

Team #5

As indicated in Figure 6-4, Teams 3 and 5 come closest to achieving their goals with approximately an 83 percent success rate although none of the teams met their

established goals. In reviewing why collection goals are not being achieved, management

should consider the entire process from goal-setting techniques to collection procedures.

For example, were the goals realistic? To determine this, evaluate how the goals were

set. Were they based on historical data such as trends or past team performance? Further, were there factors the teams could not control that influenced collection

performance? This type of analysis can be useful in the decision-making process to

readjust goals or implement changes to the collection process.

101

111
Exercise. If this information is availabie, fill in the "Team Progress Towards

Collection Goals Worksheet (Figure 6-5). This chart will assist you in monitoring progress

toward defined collection goals.

co

L. al

0a

Figure 6-5

Team Progress Towards Collection Goals Worksheet

AFDC Collections (6 Months)

Team #1 Team #2 Team #3 Team #4 Team #5

Goal J

What does this chart indicate about the office?

102 112

Actual
IMPACT OF COLLECTION SOURCES

Another important aspect a manager should monitor is the impact of the IRS and State offset collections. Figure 6-6 illustrates the impact of IRS collections on the

collection performance of an office.

Figure 6-6

Impact of IRS Collections

(Sample)

160

140

120

100

80

Jan Feb Mar Apr

EM Other Collections

What does this chart indicate about the office?

May Jun Jul

IRS Collections

Overall collections from January through June have increased.

However, discounting the impact of IRS collections, the collections have

actually decreased from April through July.

Although the Federal and State offset projects have helped many offices maintain

their collection goals, offices cannot rely on debt offset collections to boost collections

each month. Other Enforcement measures must be strengthened to ensure collections.

103

-. i 113
Exercise. In the space provided below (Figure 6-7), chart the collections received

by your office from January through July separating out IRS collections. Is your office

depending on IRS payments to increase collections?

Figure 6-7

Impact of IRS Collections Worksheet

0 1 Jan

1

I r

1 1 1

Feb Mar Apr May Jun Jul

::::::::- Other Collections

What does this information indicate about your office?

104 114

1 I IRS Collections
SUMMARY

In order to operate an effective child support enforcement program, a manager needs

to monitor expenditures as well as collections. Often IV-D expenditures are recorded by a

unit of the umbrella agency other than the IV-D unit. However, if possible, a manager

should obtain a detailed listing of monthly expenditures. This will enable a manager to

monitor expenses associated with: payroll, fringe benefits, blood testing, service of

process, training, travel, postage, equipment rental or purchase, and indirect costs.

Conversely, a manager needs to track how much money has been collected each

month and, of that amount, how much was collected through the State and Federal offset

programs and through each of the other Enforcement techniques. Finally, a manager needs to determine if the office is meeting its collection goals.

115

105
CHAPTER 7

Cost Benefit Ratio

What exactly is a cost benefit ratio? A cost benefit ratio indicates the amount of

collections received for each dollar spent. This ratio is computed by dividing the

collections by total expenditures for a given period. Cost benefit ratios are particularly

important to a manager in that they measure the efficiency of the program. If data are

available, cost benefit ratios can be developed for an individual office, a county, or an

entire State.

In the past, incentives to the States were based on a fixed percentage of their AFDC

collections. Effective October 1,1985, States will receive incentives on both their AFDC

and non-AFDC collections. These incentives, however, will be based on percentages

derived from the separate cost benefits for AFDC and non-AFDC collections. Therefore,

it is critically important that managers monitor and track both cost benefit ratios.

Let's take a look at some cost benefit data and see how collection and expenditure

information can help a manager monitor and evaluLle an office's efficiency. Figure 7-1 is

a bar graph showing the AFDC and non-AFDC cost benefit ratios.

What does this chart indicate about the office?

The cost benefit ratio for the AFDC caseloaci peaked in March, followed by the

low point in April.

The cost benefit ratio for the non-AFDC caseload exhibited peaks in March,

June, and November.

As a manager, you would need to ask: "Why did the cost benefit ratios fluctuate?"

The first step would involve identifying if the ratio fluctuation was due to changes in the

collection amounts or in the expenditures.

116

107
1.6

1.5

1.4

1.3

1.2

1.1

1.0

0.9

0

:r.

a ) 0.8

cc 3.7

0.6

0.5

0.4

0.3

0.2

0.1

0

Figure 7-1

AFDC and Non-AFDC Cost Benefit Ratios

(Sample)

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Non-AFDC

1 108 117

M I I I AFDC
Exercise. In the space provided below (Figure 7-2), determine the AFDC and the

non-AFDC cost benefit ratios for your office during the past 6 months.*

Figure 7-2

Cost Benefit Ratio Worksheet

January

AFDC

Non-AFDC

February

AFDC

Non-AFDC

March

AFDC

Non-AFDC

April

AFDC

Non-AFDC

May

AFDC

Non-AFDC

June

AFDC

Non-AFDC

Collections Expendituros Cost Benefit Ratio

(Total)

*Although we separate AFDC and non-AFDC expenditures, for internal management

purposes, we compare total expenditures separately with AFDC and non-AFDC

collections when calculating Federal AFDC incentives, effective October 1, 1985.

1°9 118
Exercise. Now, in the space below (Figure 7-3), chart the AFDC and the

non-AFDC cost benefit ratios in your office.

0

03 a

0 I I I I I

I I I I I Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Figure 7-3

Comparison of

AFDC and Non-AFDC Cost Benefit Ratio Worksheet

What does this chart indicate about your office?

110 119
Figure 7-4 compares the cost benefit ratios of four teams. The performance of the

counties is compared to both the State and national average.

o

C

II

3.5

Figure 7-4

Cost Benefit Ratio

(Sample)

July - September

2.5

1.5 -

0.5 -

0

2.86

,...

.... .... A.. ,A,V \\\N ,\\\N

.\\\AN , \\\N ,\\\N ,\\\'S ,\\\, \\\N ,\\\N ,.\\ \\\ 4,\\V %NAV ,,.\\V , \\\S ,\\\ \\\

%.\\VI %\\\*1 ,..\\\ ,,,\\\ \\V,.\\\N

\NAV \\\\ N.\\V \\\\.

.1. .1. N. o\N\\\\ \\\\ \\\ \' \\\.

\\NAV \\\V

\NAV

\\>.

/

2.66

2.30

2.13

1.89

1.45

Team #2

i

Team #4

What does this chart indicate?

Natl. Avg. State Team #1 Team #3

As illustrated, Teams #2 and #4 are performing above both the State and

national average, whereas Teams #1 and #3 are performing below both of the

averages.

111

120
Exercise. In the space provided (Figure 7-5), chart the national cost benefit ratio,* your State's cost benefit ratio, and the cost benefit ratio for your office and

several other offices within your State.

Figure 7-5

Cost Benefit Ratio Worksheet

July - September

Your Office Office Office

Office A Natl. Avg. State B C

What does this information indicate about your office?

*This information can be obtained from the Child Support Enforcement Annual

Report to Congress published annually by the Office of Child Support Enforcement,

Rockville, Maryland.

112

121
SUMMARY

A cost benefit ratio indicates the amount of collections received for each dollar

spent. Cost benefit ratios are important in that they measure the efficiency of an office.

In order to monitor the effectiveness of an office, a manager should calculate both

the AFDC and the non-AFDC cost benefit ratios. ihis is particularly important since

effective October 1, 1985, incentives will be based on by collection to cost ratios. Also, a

manager should compare the cost benefit ratio of his or her office with the State and

national average. This information will enable a manager to assess whether t"e office is

performing above or below the State and national averages.

113

122
CHAPTER 8

Distribution Of Caseload, Obligations,

And Collections

Another way to assess the effectiveness of an office is to compare the size of the

caseload with the number of current obligations and the amount of current collections.

Why is this. type of analysis important and what does it indicate about an office? Ideally,

if an office ha.s 20 percent of the State's caseload, you would expect the office to have

approximately 20 percent of the obligations and to generate approximately 20 percent of

the State's collections. Unfortunately, this relationship does not always correlate due to

such factors as variations in the absent parent population. Nevertheless, this comparison

does provide valuable comparative information.

Let's look at some collections, obligations, and caseload data and see how this

information can help you evaluate your program in relation to the rest of your State.

Figure 8-1 is a bar chart which tracks the percent of caseload, obligations, and collections

for five counties during a particular month.

28

21

14

Figure 8-1

County IV-D Caseload, Obligations, and Collections

As a Percentage of the State's

(Sample)

January

County

A

County

B

Collections

County

C

Obligations Caseload

1151 23

County County
What does this indicate about the performance of the various counties?

Counties B, D, and E account for a larger share of the collections than would be

expected with their relative caseload size.

Counties A, B, and D exhibit ability to obligate their caseload; however, county

A is not as successful in moving the cases into a paying status.

How does your office compare in these areas to the other counties or districts in your

State? In order to determine this information, you must first calculate the percent of

caseload, obligations, and collections for your office below.

CASELOAD, OBLIGATIONS, AND COLLECTIONS CALCULATIONS

CASELOAD Your Office Caseload = %

Total State Caseload

OBLIGATIONS Your Office Obligations = %

Total State Obligations

COLLECTIONS Your Office Collections = %

Total State Collections

In the space below, calculate the caseload, collections, and obligations percentages

for your office.

CASELOAD, OBLIGATIONS, AND COLLECTIONS CALCULATION WORKSHEET

CASELOAD

OBLIGATIONS

COLLECTIONS

%

%

%

116 124
Exercise. In the space provided (Figure 8-2), chart the percentages of caseload,

obligations, and collections for your office. If possible, develop the same percentages for

other offices in your organization.

Figure 8-2

Caseload, Obligations, and Collections Worksheet

Your Office

Ns.".. \ \ \ \ Collections

I--

County 1

ts

1 County 2

Obligations int Caseload

I County 3

What does this information indicate about your office? How is your office

performing in relation to the rest of the State?

117 125
SUMMARY

An additional way to assess the effectiveness of an office is to compare the size of

the caseload with the number of obligations and the amount of collections. Ideally, these

percentages should be the same; howeveri_rnajor differences in these percentages can

provide valuable information on how the office is performing and where improvements

need to be made. For example, information such as this can indicate if the office needs

to establish more cases or if they should concentrate on keeping the cases they currently

have in a paying status.

118 126
CHAPTER 9

Percent Of Paying Cases

Ideally, a manager would like to receive regular collections on every child support

enforcement case. In reality, however, IV-D offices collect on only a small percentage of

their actual caseload, and the collections that are received are often irregular and

demand constant monitoring. Monitoring the percent of paying cases, however, is an

effective way of tracking the effectiveness of the office in collecting child support

payments. Also, managers can compare the percent of paying cases in their office with

those in other jurisdictions or against the State and national average.

Let's look at some percent of paying cases data and see how this information can help

a manager evaluate the office. Figure 9-1 is a line graph comparing the percent of paying

cases for both AFDC and non-AFDC cases.

Figure 9-1

Percent of Paying Cases

(Sample)

January - August

25

C

e

20

w

n.

15 -

10

5

Jan

T Feb Mar Apr May Jun Jul Aug

0 AFDC + Non-AFDC

What does this chart indicate about the office?

As would be expected, the percent of non-AFDC paying cases is consistently

higher than the AFDC percent of paying cases.

The graph does display monthly fluctations of paying cases as a percentage of

the total cases.

119127
Exercise. In the space provided below (Figure 9-2), determine the percent of

paying AFDC and non-AFDC cases in your office.

Figure 9-2

Percent of Paying Cases Worksheet

January - August

Jan Feb Mar Apr May Jun

0 AFDC + Non-AFDC

What does this chart indicate about your office?

120

128

Jul Aug
Figure 9-3 is a line graph which compares the percent of AFDC paying cases with

either a State or a national average. This chart is useful in determining how an office is

performing in relation to the rest of the State.

32

30

28

26

22

4., c

to 20

oL.

o

a. 18

16

14

12

10

8

Figure 9-3

Percent of Paying Cases

Compared to State Average

(Sample)

00 .0 00 00 .0

OM

ma..." ........ as.. as.. .... as.. .... .... as.. as.. .11....... as.. as.. as.. as.. I.*

.."..""*".......0

Jan Feb Mar Apr May Jun Jul Aug

County --- State

What does this chart indicate about the county?

January through May the county performed below the State average.

Between April and June the county had a major increase in the number of

paying cases while the State average declined slightly.

In June and July, the county performed above the State average.

121 129
P

Exercise. In the space provided below (Figure 9-4), chart the percent of paying AFDC and non-AFDC cases in your office. With a dotted line indicate the percent of

total cases being collected by your entire State. What does this chart indicate about your office? How does your office compare to the rest of the State?

0

Figure 9-4

Percent of Paying Cases

Compared to State Average Worksheet

Jan

SUMMARY

I I I I I I Feb Mar Apr May Jun Jul

County State

Aug

Monitoring the percent of paying cases is an effective way of evaluating how well the

office is monitoring and enforcing its caseload. As a manager, it is important that an

office maintains a good percent of paying cases since it is cost-effective to enforce a case

that already has a court order. A manager also should compare his or her office to the

State and national average. This information will enable a manager to assess whether the

office is performing above or below these averages.

122
CHAPTER 10

Impact Of Caseload Size On Collections

An additional way a manager can assess the performance of an office is to study the

effect of caseload size on the amount of support collected. The size of an investigator's

caseload is only one of the factors affecting collections. However, it is important since

the larger the caseload, the less time the investigator can devote to each case.

Therefore, using this model as an indicator of performance, a manager can compare the

relative standing of various units, teams, or offices.

How do you determine the impact of caseload size on collections? First, you need to

determine the collections per case. This is determined by dividing the collections by the

caseload for a specific period. Second, you need to determine the caseload per

investigator, which is the number of cases divided by the number of employees. Now that

you have determined this information, the next step is to plot it. Figure 10-1 illustrates

how this is done. The vertical axis represents the collections per case and the horizontal

axis represents the caseload per investigator. The diagonal line (trend line) represents the

average relationship between the two. This chart can be prepared for the AFDC caseload,

the non-AFDC caseload, or the combination of both. The example illustrated in Figure

10-1 shows that collections in the various offices decreased as the caseload per

investigator increased.

Figure 10-1

Impact of Caseload on Collections

(Sample)

12.00

10.00 -

8.00

6.00

4.00

2.00 -

0.00

F

D

c

E

12.00

10.00

co 8.00 g0

,.. co n 6.00 i=

g

4.00 c)6

2.00

10

1 500

1 10001 1500

0.00

2000

Caseload Per Investigator

123 131
Exercise. In the space provided, determine how collections in your office are

affected by the size of a worker's caseload. First, determine the collections per case

(Figure 10-2) and the caseload per employee (Figure 10-3).

Figure 10-2

Collections Per Case Worksheet

COLLECTIONS PER TOTAL NO. OF COLLECTIONS

CASE TOTAL NO. OF CASES

YOUR OFFICE

COUNTY A = $

COUNTY B = $

COUNTY C = $

COUNTY D = $

Figure 10-3

Caseload Per Employee Worksheet

CASELOAD PER TOTAL NO. OF CASES = Cases

EMPLOYEE-0- TOTAL NO. OF EMPLOYEES

YOUR OFFICE

COUNTY A

COUNTY B

COUNTY C

COUNTY D

124 132
Exercise. If possible, determine this information for several of the offices in your

State. Then plot this information on Figure 10-4.

Figure 10-4

Impact of Caseload on Collections Worksheet

0

Caseload Per Employee

How is your office performing in relation to other offices?

125 133
Another way to assess the performance of an office is to study the effect of the

caseload size on the amount of support collected. The size of the caseload appears to be

a major factor affecting collections since caseworkers have less time to monitor and

follow-up on cases. It is important that managers monitor the size of the caseload so that

they prevent them from becoming so large that they cannot be worked effectively.

126

134
CHAi-rER 11

Potential Growth Areas

Two important indicators which measure areas of potential growth and increased

collections for an office are the Establishment of Support Obligation Index, and the

Enforcement Index. The Establishment of Support Obligation Index is the percent of the

caseload which has support orders or stipulations. This index reports how successful an

office has been in establishing support orders, and is important because it provides insight

into the future growth potential of an office. Specifically, an increase in the percent of

support orders can enhance the collection potential of an office.

The Enforcement Index measures the rate at which collections are made on cases

with orders or stipulations. This figure indicates the amount of untapped collections that

could potentially be derived from those cases witn orders.

Figure 11-1 lists the Establishment and Enforcement Indexes for five counties. What does this chart indicate about the performance of the five counties? County C, for

example, has the highest Establishment of Support Index with over 30 percent of the

caseload obligated. In comparision, County D has obligations on only 6.9 percent of its

caseload. Looking at these data, a manager needs to question why one county has been

able to establish more obligations than the other counties. What practices are

contributing to their success? Could these practices be used in the other counties?

When assessing the performance of an office, it is equally important to evaluate the

Enforcement Index. For example, although Figure 11-1 indicates that County C has more

than 30 percent of its cases obligated, it is only collecting on 10 percent of its obligated

caseload. A manager would want to know what caused this situation. For example, has

the office placed too much emphasis on Establishment and not enough on Enforcement, or

is there a problem with the performance of the Enforcement staff?

Figure 11 -1

Comparison of Establishment

of Support Index and Enforcement Index

(Sample)

Jurisdiction

Establishment Of

Support Index

Enforcement

Index

COUNTY A 15.5% 8.7%

COUNTY 8 18.3% 12.3%

COUNTY C 30.1% 10.0%

COUNTY D 6.9% 16.8%

COUNTY E 22.4% 10.2%

127 135
In the space provided below, determine the Establishment Index for your AFDC and

non-AFDC cases.

ESTABLISHMENT OF SUPPORT OBLIGATION INDEX WORKSHEET

Establishment of

Support Index

Example:

AFDC Index ____),.. No. of AFDC Cases (8,250) = 40%

Total No. of Cases (20,500)

Non-AFDC Index _Ip... No. of Non-AFDC

Cases (4,175) = 20%

Total No. of Cases (20,500)

Your AFDC Index ______ = %

Cases with

Support Orders

Total No. of Cases

Your Non-AFDC Index ___). = %

Now, determine the Enforcement Index for your AFDC and non-AFDC caseload.

ENFORCEMENT INDEX WORKSHEET

Enforcement

Index

AFDC Index

Non-AFDC Index

Your AFDC Index

Your Non-AFDC

Index

-Dip. Total Amount of

Support Collected

= 20%

50%

%

Total Amount of Support

Obligations Established

Amount of AFDC

Collections $100 000

--ANTotal Amount of $500,000

Obligations

Amount of Non-AFDC

Collections $250,000 =

Total Amount of $500,000

Obligations

= -ON,.

--OP- = %

128 136
What do these percentages indicate about your office?

Now that you have determined these indexes, it is possible to project future increases

in collections. Let's look at the following example. Suppose that your office has 1,500

AFDC cases of which 500 cases have established orders and are paying regularly. If you

increase the number of cases with support orders by 2 percent how much additional money

could you expect to collect, assuming the average AFDC support payment is

approximately $100 per month?

No. of Cases with Support Orders = 500

Total No. of AFDC Cases = 1,500

2 Percent Increase in Cases = 10 Cases

With Support Orders

10 Cases x $100 = $1,000/month or $12,000/year

A 2 percent increase in paying cases would be 10 cases. At $100 per month, the

office would increase its col lecti is by $1,000 per month, or $12,000 per year!

Although it is unrealir+ic to assume that these new established orders will result in 12

full payments over the year, it is important to realize how essential it is to obtain

additional support obligations and keep them in a paying status. Both of these factors are

critical to maintaining and increasing your collections.

SUMMARY

The Establishment of Support Obligation Index and the Enforcement Index are two

indicators which measure potential growth areas. Determining these indexes can assist a

manager in projecting where additional staff resources should be placed. For example, if

the Establishment of F-_,pport Index is low (i.e., few cases have orders) then a manager

may want to allocate additional staff to establishing more cases.

Finally, these indexes can be helpful in projecting anticipated collections, assuming

additional cases are established or enforced.

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CONCLUSION

Since its inception in the mid-1970s, the Child Support Enforcement Program has

become increasingly more complex and sophisticated. Budgets have increased and more

people than ever are working in child support enforcement offices across the country. This growth in the Child Support Enforcement Program poses a unique challenge to those

involved in managing IV-D offices. For example, how do you monitor the Intake, Locate,

Establishment, Enforcement, and Collections and Distribution functions? How do you determine staffing allocations? How do you assess staff performance? How do you

increase collections? These are only a few of the problems facing IV-D managers today. Part of the solution to this problem is an effective management information system.

In the past, developing management information was often considered the

responsibility of the data processing staff. This attitude is beginning to change as

managers realize that the data processing staff often do not have the time or expertise to

develop the type of management information needed to operate an effective child support enforcement program.

This Workbook describes a four-step process that can be used by managers to identify and develop management information for child support enforcement offices. The first

step is referred to as "Information Needed." This step consists of determining what

information is needed to monitor and evaluate each function. This first step is the most

critical and requires that managers carefully evaluate and select information that will enable them to monitor key performance areas. After determining what information is

needed, the next step is to determine what data need to be collected to obtain the desired

information. This is referred to as "Data Collection." The third step is "Reporting." This

step requires the manager to determine how to display this information in a format that

can be understood by the staff. The fourth and final step is "Data Analyses." Information

developed in the previous steps can be used to evaluate a program, identify problems, and

take remedial action if necessary.

By following this four-step process, a manager can develop a management

information system to monitor and control the Intake, Locate, Establishment, Enforcement, and Collection and Distribution functions. Equally important, an MIS can provide relevant and accurate information for rational decisionmaking. With limited staff

and budget resources, it is critically important that child support enforcement managers make the most informed and cost-effective decisions possible. However, making a good

management decision depends upon having good information, and the oniy way to obtain

this information is through an accurate and efficient management information system.

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BIBLIOGRAPHY

For further information on Management by Objectvies, see:

1. Morrisey, George L., Appraisal and Development through Objectives and Results, Reading, MA: Addison-Wesley, 1972.

2. Morrisey, George L., Management by Objectives and Results in the Public Sector, Reading, MA: Addison-Wesley, 1970.

3. Odiorne, George S., Management Decisions by Objectives, Englewood Cliffs, NJ: Prentice-Hall, 1969.

4. Raia, Anthony P., Managing by Objectives, Glenview, IL: Scott Foresman, 1974.

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* U. S. GOVERNMENT FRUITING OFFICE 1986 491-381/53451
1114

PUBLICATION EVAWATION

Improving Program Porformance

Through Management information

A WORKBOOK

YOUR RESPONSES TO THE FOLLOWING QUESTIONS WILL ASSIST US IN PRODUCING PUBLICATIONS WHICH ARE RESPONSIVE TO THE NEEDS OF THE CHILD SUPPORT ENFORCEMENT FIELD.

1. Indicate your assessment of the material contained by rating the following items. (Circle the number which

represents your opinion; 5 being high and 1 below low.)

a) Clarity of the Information presented (I.e., was the language clear and easy to understand;were the major

concepts easy to Identify?)

Very Clear 6 5

b) Sequence in which topics were discussed

4 3 2 1 Not Very Clear

Very Logical 6 5

c) Usefulness of Information

4 3 2 1 Not Very Logical

Very Useful 6 5 4 3 2 1 Not Very Useful

d) Relevancy of Information provided to your work needs

Very Relevant 6 5 4 3 2 1 Irrelevant

2. Please rate the overall quality of this document.

Excellent 6 5 4 3 2 1 Poor

3. How do you plan to use the material? (Check all that apply.)

Reference

Develop new procedures

Adapt current procedures

Share Information with staff

Training

Education

Personal interest

Other (please specify)

4. What concepts presented In the publication were of most value to you, and why?

-OVER

, 140
or

5. Do you have any suggestions on how this document could be Improved? (Le., the content, the sequence, the

format used to present the material, the level of detail provided, and the clarity of the Information.)

6. Comments:

7. Job Title

8. Name

(optional)

Address

Telephone

THANK YOU FOR YOUR COOPERATION

Evaluation Specialist

National institute for Child Support Enforcement

5530 Wisconsin Avenue, Suite 1600

Chevy Chase, MD 20815

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stamp

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