PM04a: Provider Licensing. June 15, 2018

PM04a: Provider Licensing June 15, 2018

Release # or Date CR# or Incident # Change History 11/18/2015 Initial updates due to Supported Platforms review.12/18/2015 Peer Review for Supported Platforms updates 02/08/2016 Peer Review for Supported Platforms updates 02/09/2016 Final Review for Supported Platforms 05/02/2017 Prepare for final submission 03/23/2018 UHS Updates made associated with UHS Enhancement Efforts Change Description Author(s) Section Modified Robert Thornton Throughout Gina SchendowichThroughout Regina RichardsoEntire Document Leah Dienger Leah Dienger Chris Gosselin Entire Document Entire Document Topic Paper Page 2 of 66

Table of Contents 1.1. Introduction... 6 1.2. Pages... 7 1.2.1. License Header... 7 1.2.1.1. Page Overview... 7 1.2.1.2. Page Information... 8 1.2.1.3. CRUD Matrix... 8 1.2.2. Tab-Basic... 11 1.2.2.1. Tab Overview... 11 1.2.2.2. Tab Information... 14 1.2.2.3. Background Processing... 16 1.2.2.4. Save Processing... 19 1.2.2.5. CRUD Matrix... 20 1.2.3. Tab-Characteristics... 21 1.2.3.1. Tab Overview... 21 1.2.3.2. Tab Information... 22 1.2.3.3. Background Processing... 22 1.2.3.4. Save Processing... 22 1.2.3.5. CRUD Matrix... 22 1.2.4. Tab-Details... 24 1.2.4.1. Tab Overview... 24 1.2.4.2. Tab Information... 24 1.2.4.3. Background Processing... 25 1.2.4.4. Save Processing... 26 1.2.5. Tab-Services... 27 1.2.5.1. Tab Overview... 28 1.2.5.2. Tab Information... 29 1.2.5.3. Background Processing... 32 1.2.5.4. Save Processing... 33 1.2.5.5. CRUD Matrix... 33 Topic Paper Page 3 of 66

1.2.6. Pop-Up Page-Additional Licensing Actions... 34 1.2.6.1. Page Overview... 34 1.2.6.2. Page Information... 35 1.2.6.3. Background Processing... 36 1.2.6.4. Save Processing... 37 1.2.6.5. CRUD Matrix... 38 1.2.7. Pop-Up Page-License Notifications... 40 1.2.7.1. Page Overview... 40 1.2.7.2. Page Information... 41 1.2.7.3. Background Processing... 41 1.2.7.4. Save Processing... 42 1.2.7.5. CRUD Matrix... 42 1.2.8. Pop-Up Page Edit Licensed Services... 44 1.2.8.1. Page Overview... 44 1.2.8.2. Page Information... 45 1.2.8.3. Background Processing... 46 1.2.8.4. Save Processing... 47 1.2.8.5. CRUD Matrix... 48 1.2.9. Pop-Up Page Service Rate... 49 1.2.9.1. Page Overview... 49 Navigation... 49 Page Summary... 49 1.2.9.2. Page Information... 50 1.2.9.3. Background Processing... 50 1.2.9.4. Save Processing... 50 1.2.9.5. Pop-Up Page CRUD Matrix... 51 1.2.10. Pop-Up Page Provider Service Rate... 51 1.2.10.1. Page Overview... 52 Navigation... 52 Page Summary... 52 1.2.10.2. Page Information... 52 Topic Paper Page 4 of 66

1.2.10.3. Background Processing:... 53 1.2.10.4. Save Processing... 54 1.2.10.5. Pop-Up Page CRUD Matrix... 54 1.2.11 Pop-Up Page License Select... 55 1.2.11.1. Page Overview... 55 1.2.11.2. Page Information... 57 1.2.11.3. Background Processing... 57 1.2.11.4. Save Processing... 58 1.2.11.5. CRUD Matrix... 58 1.3. Inventories... 59 1.3.1. Table Descriptions... 59 1.3.2. Reference Data... 61 1.3.2.1. Drop Downs... 61 1.3.3. Automated Messages... 62 1.3.3.1. License Status Change... 62 1.3.4. Checklists... 62 1.3.5.1. License About to Expire... 62 1.3.6. Notifications... 63 1.3.7.1. License... 63 1.3.7.2. Foster Home Packet Review and Feedback... 63 1.3.7.3. Relicensing Summary for CPA & CCA... 63 1.3.7.4. License Letter CPA... 63 1.3.7.5. License Letter CCA... 63 1.3.8. Reports... 63 1.3.9. Triggers... 63 1.3.9.1. On-line Trigger Txn Code 6100... 63 1.4. Batch Programs... 64 1.4.1. License About to Expire Batch... 64 1.5. Requirements Covered in This Paper... 66 Topic Paper Page 5 of 66

1.1. Introduction The Licensing Providers design topic supports the documentation and approval of licensing processes for Person Providers and Organization Providers. The activities documented in this topic include Type of License Effective Dates Approval for the License Licensed Capacity Changes to the License Status The responsibility for the licensing of traditional Foster Homes, Therapeutic Foster Homes, Child Placing Agencies (CPA), and residential Child Caring Agencies (CCA) is the responsibility of the Department of Children and Families - (DCF) Licensing. CPAs are responsible for the licensing activities for Foster Care and Therapeutic Foster Care Homes. A Foster Care Home is a private residence that provides 24-hour care to children. Such homes include emergency shelter family homes, family foster group homes, and specialized foster homes for children with special needs. CCAs are residential facilities that provide staffed 24-hour care for children. Some examples of residential child-caring agencies include, maternity homes, runaway shelters, group homes which are administered by an agency, emergency shelters which are not in private residences, and wilderness camps The steps for re-licensure are similar to those for the original licensing process, and relicensing provider work takes the user to the same tabs under this topic as those used for the original license. A tickler is generated 60 days prior to the expiration of the license. The DCF Licensing Unit allocates the responsibility for licensing activities of each CPA and CCA to a specific Zone in the State. CBC (Community Based Care) agencies are responsible for the licensing activities of Foster Care and Therapeutic Foster Care Homes. An example of a licensing activity would be the completion of a home study, in the case of Foster Care Homes. DCF Zone Licensing Agents with an assignment to the provider create and manage license records. All references to 'user', therefore, imply that the user is a DCF Zone Licensing Agent and has an assignment to the provider. Topic Paper Page 6 of 66

1.2. Pages 1.2.1. License Header 1.2.1.1. Page Overview The License page consists of four tabs. The first two tabs, Basic and Characteristics, display general information about the license and its approval. The Services tab displays what the provider offers including bed capacity, gender preferences and the types of services the provider license allows the provider to offer. The Details tab displays any restrictions on the license and supplies a text field for narrative. To create an original license, the user selects Provider Work from the Create menu bar option. On the Create Provider Work page, the user selects Create License from the License drop down box in the Create Provider Items group box and then selects the appropriate provider from the list of providers assigned to the user. The License Basic tab displays and the user can start the documentation. The Relicensing Select pop-up page displays for re-licensing activities, when the user chooses Re-License as the value on the Create Provider Work page. The user highlights the license to be renewed and then selects Continue to access the License page. The provider may only have one active license at a time. From the Create Provider Work menu a worker can also make Topic Paper Page 7 of 66

changes to the Licensed name by creating a Name Amendment and following the same steps as for relicensing. Once saved, the user accesses the License from the Providers expando, under the Licensing icon for the provider. Once approved, the Basic tab on the License page will open in view mode. User with appropriate security will be able to update licensed service capacities from the Services tab on License page. 1.2.1.2. Page Information Group Box License Fields: Provider Name: Status: Name Amendment License Number Completion Date: Worker: Name of the Person Provider or Organization Provider for whom the license is being documented; System derived; Not user editable. The status of the license (Pending, Active, Provisional, Denied, Withdrawn, Revoked, Placed on Hold, Closed, Expired and Renewed); System derived; Not user editable; Defaults to Pending. Checked when the page is accessed for a Name Amendment of the License, not user editable. System derived license number. Not user editable. The date of the final approval of the license; System derived; Not user editable; Defaults to current system date at time of final approval. The name of the user who is creating the license; System derived; Not user editable Links Provider ID Enabled as a hyperlink once the License page is saved for the first time. Launches the associated provider page (Person Provider or Organization Provider) in edit mode so the user can update the Provider s name and/or Caregiver 1. 1.2.1.3 Background Processing 1. The system screens the user accessing the page to establish whether the user has an assignment to the provider. The license page will open in view only mode if the user does not have an assignment to the provider. 2. A DCF Zone Licensing Specialist with an assignment to the provider can create licenses. If a user without an assignment to the provider attempts to create a Provider License, via Topic Paper Page 8 of 66

Create > Provider Work > License/Relicense, they will receive an edit message after pressing the Create button: "A license for this provider can only be created/maintained by a DCF Zone Licensing Agent assigned to this provider". 3. Upon license creation, the Status defaults to Pending. After the documentation of an approved initial assessment decision or licensing action, the status will change. 4. Upon license creation, the Completion Date field is 00/00/0000. After final approval of the initial assessment decision, the Completion Date will fill with the current system date. 5. Upon license creation, the Worker field fills with the name of the user creating the license (the logged in user). This field retains the same data regardless of subsequent actions taken on the license instance. 6. Upon license creation, the Provider Name field fills with the name of the Provider. This name is derived from the member identified with the role of Caregiver 1 on the Person Provider record or Name on the Organization Provider record. Changing the current Caregiver 1 on the Members tab of the Person Provider page, updates the provider name on the License page with the new provider name (i.e. new Caregiver 1 name). 7. If the user attempts to create a license when there is a current pending, active, provisional, or on-hold license, they receive the following validation message A pending, active, provisional, or on-hold license already exists for this provider. Please relicense or close the active or provisional license, reactivate or close the on-hold license or continue working with the pending license as appropriate. Please note that if the active license end date is more than 60 days from system date, "The active license cannot be relicensed more than 60 days before the license end date" message displays. 8. The system cannot issue a provider two (2) Provisional Licenses consecutively. The following validation message displays when the user attempts to renew a Provisional license when the previous license status was provisional, A provisional license has previously been issued for this provider. A provider cannot be issued two Provisional Licenses consecutively. 9. The hyperlinked Provider ID conditionally displays once the user has saved the page and when the user is editing a License. The ID displays up until the License is frozen ; otherwise, just display the ID as text 10. The Licensing page will not allow the Issue Date and Expiration Date range of one Licensing page to overlap with the Licensing Dates of another Licensing page. The Issue Date of one License Page must be at least 1 day following the Expiration Date of the prior License page. 11. A Name Amendment can be generated for an existing license. When Name Amendment is initiated from the Create Casework, the access method mirrors Relicensing, Topic Paper Page 9 of 66

except that all data is copied over from the original license, including Issue Date and Expiration Date. The initial status is Pending and all fields are disabled except for the Provider ID link. This hyperlink gives the user access to the provider page to update the provider s name. Once the user has modified the provider s name, they return to this page and generate the template for the new name, but may not make any other changes to the information on the page 12. When License is a Name Amendment, the Date Renewal Application Received is not displayed. 13. When License is a Name Amendment, only the License Template will display in the Options Dropdown. 14. When License is a Name Amendment, no Letters will display in the Options Dropdown. 15. Upon selecting the Approve or Provisional radio buttons directly on the Basic tab of the Licensing page and clicking Save, FSFN will validate that there is a current physical address for the Provider, which also displays on the Basic tab within the Provider Information group box. If there is not a current physical address the following validation message displays: a There must be a current physical address documented for the Provider in order to approve the license. Please access the Provider Address Maintenance page to document the address. <Close> 1.2.1.4 Save Processing 1. There is no save processing for the License-Header group box, as none of the fields are user editable. 1.2.1.5 CRUD Matrix Table Name Create Read Update Delete PROVIDER_ORG LICENSE WORKER X X X Topic Paper Page 10 of 66

1.2.2. Tab-Basic 1.2.2.1. Tab Overview The Basic tab of the License page is the default tab when entering the page. The Basic tab is used to view and record general license information about a Provider. Pre-filled information includes the address of the provider in the Provider Information group box, as well as the names of the Caregiver 1 and Caregiver 2 home members. The user then adds information such as the assessment decision and effective dates. The user can edit the license Type field up until final license approval. The Date Completed Application was Recd date field is user entered and used to record the date the Licensing/Relicensing Standards Checklist for 24-Hour Family Care is received by the DCF Zone Licensing Agent. Once the user completes the assessment process, they document the decision and then use the Approvals common application function to route the assessment decision to a supervisor for approval. There are two approval actions required for licensing a Provider. The first action Topic Paper Page 11 of 66

occurs in the Assessment Decision group box and the user initiates the second action from the Approval value in the Options drop down box on the Basic tab. Upon License approval, the Additional Licensing Actions pop-up page is available, via the Options drop down box. The Additional Licensing Actions pop-up page allows a user to change the status of an active or provisional license. For example, a license revocation may be result of a substantiated Child Abuse and Neglect finding. The page opens in view mode for a user without an assignment to the provider. Upon License renewal, a new License page is launched allowing the user to document the Date the Renewal Application Rec d. The Date Completed Application Recd field will display the initial date that the completed application was received. The renewal page can also be accessed from the outliner. The Licensing Notifications Page, accessed from the Options drop down box by selecting any of the values under the Letters heading, allows the user to generate notification letters concerning the licensing or re-licensing activities. Users without an assignment to the provider can access these license notification letters in view mode and cannot create or update instances of license notifications. Selecting the Renewal Letter from the Options drop down box opens the License Notification page. The License Notification page stores a history of each type of letter generated for the provider. The License document template is located in the Options drop down box under the Text heading. The user must open the license template before final approval of the license or it will not be available to view or print after the license approval. The documents open in view-mode for nonassigned users. A system edit validates the appropriate training has been completed for Caregiver 1 and Caregiver 2 with the status of Active. The validations will occur when the user selects the Approve radio button on the Basic tab of the License page and attempts to save the page for license types Traditional Foster Care and Therapeutic Foster Care. The system will validate that the appropriate amount of pre-service or in-service training has been documented in FSFN on the Training tab of the Person Provider page. License types of Child Placing Agency (CPA) and Child Caring Agency (CCA) will be excluded from these edits. For license types of Traditional Foster Care, 21 hours of pre-service training must be documented for each Caregiver identified on each license created through the Create License action. The system will count the hours completed for courses that have a completion date prior to the Issue date of the Active license. Courses identified as a Need will be excluded from the calculation. If 21 hours of preservice training is not documented for license type Traditional Foster Care when the Approve radio button is selected and the page is saved, the user will receive this message [Caregiver 1/Caregiver 2] does not have 21 hours of pre-service training documented. The Training tab of the Person Provider page must then be updated with the appropriate amount hours of preservice training before a license Topic Paper Page 12 of 66

can be issued. This message will display for each caregiver that does not meet the required hours of training. Eight hours of in-service training must be documented for each Caregiver identified on a license created through the create Relicense action. The system will validate each Caregiver has completed a total of 8 hours of in-service training where the completion date of the training is within 12 months prior to the Issue Date of the renewal license. Courses identified as a Need will be excluded from the calculation. The user will receive this message when the Approve radio button is selected for licenses of type Traditional Foster Care and the Save button is clicked on the License page and 8 hours or in-service training have not been documented. [Caregiver 1/Caregiver 2] does not have 8 hours of in-service training documented. The Training tab of the Person Provider page must be updated with the appropriate amount hours of in-service training before a renewal license can be issued. This message will display for each caregiver that does not meet the required hours of training. For license types of Therapeutic Foster Care, 51 hours of pre-service training must be documented for each Caregiver on the license created through the create License action. If this edit is not satisfied, the user will receive this message [Caregiver 1/Caregiver 2] does not have 51 hours of pre-service training documented. The Training tab of the Person Provider page must then be updated with the appropriate amount hours of preservice training before a license can be issued. The system will only count courses that have a completion date prior to the Issue date of the Active license. Courses identified as a Need will also be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. For renewal licenses types of Therapeutic Foster Care 16 hours of in-service training must be documented for each Caregiver on the license created through the create Relicense action. If this edit is not satisfied, the user will receive this message [Caregiver 1/Caregiver 2] does not have 16 hours of in-service training documented. The Training tab of the Person Provider page must be updated with the appropriate amount hours of in-service training before a renewal license can be issued. The system will validate each Caregiver has completed a total of 16 hours of in-service training where the completion date of the training is within 12 months prior to the Issue Date of the renewal license. Courses identified as a Need will be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. Topic Paper Page 13 of 66

1.2.2.2. Tab Information Group Box Provider Information Fields Caregiver 1: Name of Caregiver 1 for the Person Provider; System derived; Not user editable; Defaults to the home member assigned as Caregiver 1 on the Person Provider Page, Members tab. Group Box: Caregiver 2: C/O, Street/Route, Unit Designator, Building, City, County, State, ZIP, Country Phone: Work Phone: Fax Number: Name of Caregiver 2 for the Person Provider; System derived; Not user editable; Defaults to the home member assigned as Caregiver 2 on the Person Provider Page, Members tab. Address of the Person or Organization Provider; standard system address format; system derived; view only Address of the Person or Organization Provider; standard system address format; system derived; view only Address of the Person or Organization Provider; standard system address format; system derived; view only Address of the Person or Organization Provider; standard system address format; system derived; view only Address of the Person or Organization Provider; standard system address format; system derived; view only Phone number of the Provider; System derived; Not user editable; Defaults to the address of the Provider where ADDRESS.cd_grp = 5 and ADDRESS.cd_grp_type = 1. Work phone number of the Provider; System derived; Not user editable; Defaults to the address of the Provider where ADDRESS.cd_grp = 5 and ADDRESS.cd_grp_type = 1. Fax number of the Provider; System derived; Not user editable; Defaults to the address of the Provider where ADDRESS.cd_grp = 5 and ADDRESS.cd_grp_type = 1. License Information Fields: Type: The type of license; User entered; No default value. Sub-type (no label) License sub-types for a CCA license type; Conditionally visible and enabled; User entered, required if Child Caring Agency value is selected in the Type drop down; No default value. Topic Paper Page 14 of 66

Date Completed Application Recd: Issue Date: The date the Licensing/Relicensing Standards Checklist for 24-Hour Care license application and all supporting license documentation is received in the Licensing Unit; Required; Defaults to 00/00/0000; Must be less than or equal to the current system date. The issue date of the license; User entered date field; User editable; Required; Defaults to 00/00/0000. Group Box: Expiration Date: The end date of the license; User entered date field; User editable; Required; Defaults to 00/00/0000. Assessment Decision Fields: Approve: The user selects this radio button to denote that the license is eligible to be approved; User selected radio button; User editable; Defaults to unselected. Deny: The user selects this radio button to denote that the license is to be denied; User selected radio button; User editable; Defaults to unselected. Provisional: The user selects this radio button to denote that a license is eligible for provisional approval for up to 1 year; User selected radio button; User editable; Defaults to unselected. Pending: The user selects this radio button to denote that a license decision has yet to be made; User selected radio button; User editable; Defaults to selected. Withdrawn: The user selects this radio button to denote that the license is to be withdrawn; User selected radio button; User editable; Defaults to unselected. Reason 1: The first reason for the initial assessment decision; User selected drop down, User editable when assessment decision radio buttons Deny or Withdrawn are selected; Required when the Deny or Withdrawn radio buttons are selected. Reason 2: The second reason for the initial assessment decision; User selected drop down, User editable when assessment decision radio buttons Deny or Withdrawn are selected; not required. Reason 3: The third reason for the initial assessment decision; User selected drop down, User editable when assessment decision radio buttons Deny or Withdrawn are selected; Not required. Topic Paper Page 15 of 66

Options: Actions: Approval: Navigates the user to the Approval History page. The system enables this page when users select either the Approve, Provisional, Deny, or Withdrawn radio buttons in selected in the Assessment Decision group box. The page opens in view mode for non-assigned users. Additional Licensing Actions: Navigates the user to the Additional Licensing Actions page. The system enables this page for users after an approval of a license. When the license is pending, the Additional Licensing Actions value is not available in the Options drop down box. Text: License Launches the License template Template Foster Home Packet Review and Feedback Launches the Foster Home Packet Review Template. Letters: Relicensing Summary for CPA & CCA License Letter CPA License Letter CCA Buttons: Save Standard Save Processing Launches the Relicensing Summary for A Child Placing Agency Template. Launches the License Notification page with the Provider, License Type, and Document Type pre-filled based on the associated License page from which the template was launched. Launches the License Notification page with the Provider, License Type, and Document Type pre-filled based on the associated License page from which the template was launched. Close Standard Close Processing 1.2.2.3. Background Processing 1. The system screens the user accessing the page to establish whether the user has an assignment to the provider. Topic Paper Page 16 of 66

2. The Issue Date and the Expiration Date default to 00/00/0000 when creating a license. Users can change the Issue Date and the Expiration Date when the license is pending.. 3. The Expiration Date entered cannot be greater than 1 year from the Issue Date if the user selects the Provisional radio button in the Assessment Decision group box. 4. When relicensing an active license via the Relicensing Select page, the Issue Date defaults to one day after the Issue Date on the previously active license. 5. If the user attempts to create multiple active, provisional, or pending licenses via the Create Provider Work page, the system gives the following error message after the worker presses the Create button: A pending, active, or provisional license already exists for this provider. You cannot create a license at this time. 6. Selecting Deny or Withdrawn as an assessment decision enables the Reason 1, Reason 2 and Reason 3 drop downs. Reason 1 is required. 7. The Additional Licensing Actions value in the Options drop down box is available after the initial license has been approved. Prior to approval, this value will not appear in the Options box. 8. A license created for a Person Provider will NOT pre-fill with an inactive provider member name. (e.g., Caregiver 2 has been inactivated will not pre-fill into the license when creating a new license). 9. Changing the Caregiver 1 or Caregiver 2 roles on the Person Provider page, Members tab, will update the Caregiver 1 and Caregiver 2 fields in the Provider Information group box for the license. 10. The address information in the Provider Information group box on the Basic tab fills with the provider address where ADDRESS.cd_grp = 5 and ADDRESS.cd_grp_type = 1. If the user updates the provider address via the Maintain Physical Address page, the address information on the License page does not update. The currently active license closes and the system creates a new pending license for the provider if the user updates the provider address via the Create Physical Address page. The new license will contain the updated address information. PM08: Address Maintenance topic paper contains additional information regarding provider address update. 11. When creating a new license, the Assessment Decision group box defaults to Pending. The Approval History page, launched from the Options drop down box, will be view only until the user selects another radio button in the Assessment Decision group box. 12. When the user selects the Approve radio button on the Basic tab of the License page and attempts to save the page for license types Traditional Foster Care and Therapeutic Foster Care. The system will validate that the appropriate amount of pre-service or in service training has been documented in FSFN on the Training tab of the Person Provider Topic Paper Page 17 of 66

page. License types of Child Placing Agency (CPA) and Child Caring Agency (CCA) will be excluded from these edits. For license types of Traditional Foster Care, 21 hours of pre-service training must be documented for each Caregiver identified on each license created through the Create License action. If 21 hours of pre-service training is not documented for license type Traditional Foster Care, the user will receive this message [Caregiver 1/Caregiver 2] does not have 21 hours of pre-service training documented. The Training tab of the Person Provider page must be updated with the appropriate amount hours of preservice training before a license can be issued. The system will count the hours completed for courses that have a completion date prior to the Issue date of the Active license. Courses identified as a Need will be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. For license types of Traditional Foster Care, 8 hours of in-service training must be documented for each Caregiver identified on a license created through the create Relicense action. If 8 hours of in-service training have not been documented for license type Traditional Foster Care, the user will receive this message [Caregiver 1/Caregiver 2] does not have 8 hours of in-service training documented. The Training tab of the Person Provider page must be updated with the appropriate amount hours of in-service training before a renewal license can be issued. The system will validate each Caregiver has completed a total of 8 hours of in-service training where the completion date of the training is within 12 months prior to the Issue Date of the renewal license. Courses identified as a Need will be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. For license types of Therapeutic Foster Care, 51 hours of pre-service training must be documented for each Caregiver on the license created through the create License action. If 51 hours of pre-service training have not been documented for license type Therapeutic Foster Care, the user will receive this message [Caregiver 1/Caregiver 2] does not have 51 hours of pre-service training documented. The Training tab of the Person Provider page must then be updated with the appropriate amount hours of preservice training before a license can be issued. The system will only count courses that have a completion date prior to the Issue date of the Active license. Courses identified as a Need will also be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. For renewal licenses types of Therapeutic Foster Care, 16 hours of in-service training must be documented for each Caregiver on the license created through the create Relicense action. If 16 hours of in-service training have not been documented Topic Paper Page 18 of 66

for license type Therapeutic Foster Care, the user will receive this message [Caregiver 1/Caregiver 2] does not have 16 hours of in-service training documented. The Training tab of the Person Provider page must be updated with the appropriate amount hours of in-service training before a renewal license can be issued. The system will validate each Caregiver has completed a total of 16 hours of in-service training where the completion date of the training is within 12 months prior to the Issue Date of the renewal license. Courses identified as a Need will be excluded from the calculation. This message will display for each caregiver that does not meet the required hours of training. 1.2.2.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 2. If the Expiration Date entered is less than the Issue Date, on save processing, the user receives an error message stating, License Issue Date must precede Expiration Date. 3. If the Expiration Date entered is less than the current system date, on save processing, the user receives an error message stating, License end date entered should be greater than or equal to Today s Date. 4. If the user selects the Provisional radio button in the Assessment Decision group box, and the Expiration Date is greater than 1 year from the Issue Date, on save processing the user receives an error message stating, License Expiration Date entered cannot be greater than one year from the Issue Date for a Provisional License. 5. There may be no overlapping dates for licenses. In the event the user attempts to create a pending, active, or provisional license with overlapping dates and presses the Save button, the user receives an error message stating, Overlapping License Dates are not allowed. 6. The Type, Date Completed Application Recd., Issue Date, Expiration Date, and Reason 1 (if Deny or Withdrawn are selected in the Assessment Decision group box) fields are required and cannot have a null value at time of save processing. If any of these fields are null, the user receives an error validation stating, Please enter data in the fields which are highlighted - <field name>. 7. The license sub-type field is visible, enabled and required when the user selects Child Caring Agency from the Type field and cannot have a null value at time of save processing. If the field is null, the user receives an error validation stating, Please enter data in the fields which are highlighted - <field name>. 8. Provider address information, initially retrieved from the ADDRESS table with the Provider ID, saves to the ADDRESS table with the associated License ID. Topic Paper Page 19 of 66

9. After selecting the Approve, or Provisional radio button in the Assessment Decision group box and initiating final approval, at time of save processing, the License About to Expire tickler is created and saved to the TICKLER table. 10. After selecting the Deny radio button in the Assessment Decision group box and initiating final approval, at time of save processing, the license status changes to Denied. 11. After selecting the Withdrawn radio button in the Assessment Decision group box and initiating final approval, at time of save processing, the license status changes to Withdrawn. 12. If re-licensing, an approved assessment decision (such as Approve) deletes the relicensing tickler created upon the approval of the previous license and creates a new tickler with the updated Expiration Date. 13. When renewing a license, the status for the old license is set to Renewed upon approval of the new license. 1.2.2.5. CRUD Matrix Table Name Create Read Update Delete PROVIDER_ORG PROVIDER_PART PROVIDER_PART_STAT X X X LICENSE X X X ADDRESS X X TICKLER X Topic Paper Page 20 of 66

1.2.3. Tab-Characteristics 1.2.3.1. Tab Overview All information on the Characteristics Tab is view only when accessed via the Provider Licensing page. The Characteristics tab consists of two list boxes. The user can record the characteristics of children whom the provider will accept for placement in Provider Accepts list box. By defining these selection lists, the department can accurately match specific needs such as matching children with providers. The Other Provider Characteristics list box details characteristics of the provider itself that may affect the placement decision. The Characteristics tab allows users to view the existing provider characteristics. The worker can add, update or delete characteristics using the Person Provider/Organization Provider page, Characteristics tab. The PM02a: Person Provider andpm02b Organization Provider topic paper include additional information regarding updating characteristics Topic Paper Page 21 of 66

1.2.3.2. Tab Information Group Box: Provider Accepts Fields: Group Box: Provider Accepts The searchable, selected list of Provider Accepts characteristics, selected for the provider from the Person Provider page, Characteristics tab or Provider Accepts group box from the Organization Provider page, Characteristics tab; System derived; Not user editable. Other Provider Characteristics Fields: Other Provider Characteristics The non-searchable, selected list of Other Provider. Characteristics selected for the provider from the Person Provider page, Characteristics tab or Other Provider Characteristics group box from the Organization Provider page, Characteristics tab; System derived; Not user editable. Buttons: Save Standard Save Processing Close Standard Close Processing 1.2.3.3. Background Processing 1. The system pre-reads the information in the Provider Accepts and Other Provider Characteristics list boxes from the PROVIDER_CHAR table. The License Characteristics tab reflects updates made to a provider s characteristics via the Provider Characteristics Tab. 2. Once the Supervisor approves the License, the information on the Characteristics tab is frozen. 1.2.3.4. Save Processing 1.There is no save processing for the Characteristics tab, as none of the fields are user editable. 1.2.3.5. CRUD Matrix Table Name Create Read Update Delete Topic Paper Page 22 of 66

PROVIDER_ORG PROVIDER_CHAR X X Topic Paper Page 23 of 66

1.2.4. Tab-Details 1.2.4.1. Tab Overview The Detail tab serves two purposes with regard to the documentation of a license. First, the License Restrictions group box allows the user to document any restrictions on the License. Such restrictions could be specific to the provider, for example, the provider license is for a specific child. The restriction might limit the provider s placement capacity, the acceptable gender or age of the children accepted for placement. Values selected in any of the 4 drop down boxes in the License Restriction group box will display on the License. Second, the Details tab has a text box that allows the user to document notes specific to the provider licensing or relicensing. 1.2.4.2. Tab Information Group License Restrictions Topic Paper Page 24 of 66

Box: Fields: Group Box: Fields: Specific Restriction s Capacity Restriction Gender Restriction License Notes Specific restrictions for the license; Three User-select dropdown boxes; User editable for DCF Zone Licensing Agents prior to final license approval; Not required; No default value. Capacity restrictions for the license; User entered (numeric) text box; User editable for DCF Zone Licensing Agents prior to final license approval; Required; Defaults to the Total License Bed Capacity from the Services tab. Gender restrictions for the license; User selected drop down box; User editable for DCF Zone Licensing Agents prior to final license approval; Not required; No default value. License Notes User entered text field; User editable for DCF Zone Licensing Agents prior to final license approval; Not required; No default value. 1.2.4.3. Background Processing 1. Values selected in the Specific Restrictions dropdown boxes pre-fill the License template when accessed from the Options menu on the Basic tab. 2. The value entered in the Capacity Restriction field pre-fills the License template when accessed from the Options menu on the Basic tab. 3. The value in the Capacity Restriction field defaults to the value in the Total License Bed Capacity field from the Services tab of the License page. 4. The number in Capacity Restriction field can be modified, but can only be less than or equal to the value of Total License Bed Capacity on the Services tab of the License page. 5. If the user modifies the value in the Capacity Restriction field on the Details tab, the Total License Bed Capacity field on the Services tab of the License page will be updated with this value. 6. When Licensed Services are added/ updated on the Services tab, the capacity will be limited to the new value in the Total License Bed Capacity field on the Services tab of the License page. Topic Paper Page 25 of 66

7. Values selected in the Gender Restriction dropdown box pre-fills the License template when accessed from the Options menu on the Basic tab. 8. The values in the License Restrictions group box on the Details tab, Provider Preference by Gender, and the Provider Preferences by Age fields on the Services tab will be frozen on the License Page at the time of the license s approval. Any updates to the Provider Total Bed Capacity, Clients by Gender - Preferences, and Clients by Age -Preferred Age fields that are made on the Service's Tab of the Person Provider page after the license is approved will generate the following alert: "The Provider Capacity, Gender Preference or Age Range fields have been updated. If you wish the license to be updated with this information please create a new license for the Provider. 1.2.4.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. 2. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 3. After final approval on the Licensing page, the values in the Specific Restrictions dropdown boxes are no longer editable. 4. After final approval on the Licensing page, the value in the Capacity Restriction field is no longer editable. 5. After final approval on the Licensing page, the value in the Gender Restriction dropdown box is no longer editable. 6. At Re-licensure, the values in the Specific Restriction dropdown boxes, the Capacity Restriction field, and the Gender Restriction dropdown box become user editable. Topic Paper Page 26 of 66

1.2.5. Tab-Services Fiscal Agency Specific View Topic Paper Page 27 of 66

All Fiscal Agencies View 1.2.5.1. Tab Overview The Services tab serves two purposes with regard to the documentation of a license. First, the Provider Information group box allows the worker to view information about the provider as an entity, separate from the license. This information includes the total capacity of the home, and gender and age preferences for placements. Second, the Licensed Services group box displays the service types that this license will authorize, including the name of the Fiscal Agency with which each service is associated. The worker can view the capacity allocated to each licensed service type. Any updates to these capacities occur on the Edit Licensed Services page by a Fiscal Agency user with the appropriate security to edit licensed services. The Edit Licensed Services hyperlink (enabled when the user selects the Fiscal Agency specific radio button in the Licensed Services group box) launches the Edit Licensed Services page. This topic paper discusses further the Edit Licensed Services page functionality in another section. The Licensed Services group box shows licensed services for the Provider in two formats: Topic Paper Page 28 of 66

By selecting the Fiscal Agency specific radio button, the worker will only see licensed services for the selected Fiscal Agency. The Fiscal Agency column is not visible in the Licensed Services group box. In this view, the Edit Licensed Services hyperlink is available and located to the right of the Fiscal Agency specific radio button. When selecting this link, the Edit Licensed Services page opens and allows the Fiscal Agency user with the appropriate security to update licensed services. The Licensed Services group box displays services associated with the provider from every Fiscal Agency by selecting the All Fiscal Agencies radio button. The Fiscal Agency column heading is visible for licensed services. The Edit Licensed Services hyperlink is not available in this view. 1.2.5.2. Tab Information Group Box: Provider Information Fields: Group Box: Fields: Group Box: Last Updated Total License Bed Capacity The last date on which the license has been updated; System derived date field when save processing is conducted on the License page; Not user editable. Provider Capacity The license bed capacity of the provider expressed in numeric terms; System derived numeric field from the Person Provider page Services tab or Organization Provider page Services tab Provider Preferences by Gender Fields: Preferences Provider preferences for the number of children served; documented per male, female, and total; System derived numeric fields from the Services tab on the Person Provider page or the Services tab on the Organization Provider page; Not user editable. Group Box: Fields: Preferred Age Provider Preferences by Age The provider s preferred age range for children; Documented as a From and To range; System derived numeric fields from Service tab on the Person Provider page or the Services tab on Topic Paper Page 29 of 66

From/To: the Organization Provider page. Not user editable. Group Box: Fields: All Fiscal Agencies Fiscal Agency specific Fiscal Agency: Category: Type: Lic Capacity: Licensed Services This radio button displays service types in the Licensed Services group box for all Fiscal Agencies associated with the provider; when selected, the Fiscal Agency header column is added to the service type view; User selected radio button; Defaults to not selected. This radio button displays service types in the Licensed Services group box for the Fiscal Agency selected in the drop down box. When selected, the Fiscal Agency header column is removed from the service type view; User selected radio button and drop down box for assigned users; For nonassigned users, the drop down box fills with their Fiscal Agency name and is disabled; Radio button defaults to selected and the Fiscal Agency drop down box defaults to the Fiscal Agency of the user accessing the provider record. The Fiscal Agency of a service that a provider is offering; Visible when the All Fiscal Agencies radio button is selected; Not user editable; System generated from services activated on the Edit Licensed Services page; No default value. The category of service, which the provider is offering, specific to the Fiscal Agency selected in the Fiscal Agency specific drop down box when selecting the Fiscal Agency specific radio button. Not user editable; System generated from services activated on the Edit Licensed Services page; No default value. The type of service, which the provider is offering, specific to the Fiscal Agency selected in the Fiscal Agency specific drop down box when selecting the Fiscal Agency specific radio button. Not user editable; System generated from services activated on the Edit Licensed Services page; No default value. The total bed capacity available for the selected service record; Not user editable; System generated from services activated on the Edit Licensed Services page; No default Topic Paper Page 30 of 66

value. Status: The status of the service that the provider is offering. Not user editable; System generated from services activated on the Edit Licensed Services pages; No default value. Links: Edit Licensed Services Located in the Licensed Services group box. Navigates the user to the Edit Licensed Services page when selecting a Fiscal Agency from the Fiscal Agency specific drop down box; Link is not available when selecting the All Fiscal Agencies radio button. Link is only available for assigned users with the appropriate security. Options: Provider Service Rate Service Rate Accesses the Provider Service Rate page for the selected service record in the Licensed Services group box. This option will only be available for the selected service type where SERVICE_TYPE.fl_prvd_rate = Y and SERVICE_TYPE.fl_pmnt_allwd = Y. Opens in view mode when accessed from the navigational Provider Search page (i.e. Utilities search) Accesses the Service Rate page in view only mode for the selected service record in the Licensed Services group box. This option will only be available for the selected service type where SERVICE_TYPE.fl_prvd_rate = N and SERVICE_TYPE.fl_pmnt_allwd = Y. Buttons: Save Standard Save Processing Close Standard Close Processing Topic Paper Page 31 of 66

1.2.5.3. Background Processing 1. The system screens the user accessing the page to establish whether the user has an assignment to the provider or the user is from the Fiscal Agency associated with that provider. 2. All information displayed on the Services tab is view only, except for the Fiscal Agency specific drop down box. The Fiscal Agency user can update licensed services on the Edit Licensed Services page, accessed from the Edit Licensed Services hyperlink. 3. The Licensed Services group box displays the service types that are associated with the selected License. 4. The Fiscal Agency specific drop down box defaults with the Fiscal Agency associated with that provider accessing the license record. The field remains enabled on licenses for Fiscal Agency users only to add licensed services, the associated Fiscal Agency worker can select the appropriate Fiscal Agency in the Fiscal Agency specific drop down box and press the Edit Licensed Services hyperlink. The Edit Licensed Services page opens for the selected Fiscal Agency. For a non-associated Fiscal Agency worker, the worker will not be able to launch the Edit Licensed Services hyperlink. The link does not display. 5. Only the licensed services for the selected Fiscal Agency will be visible in the Licensed Services group box when selecting the Fiscal Agency specific radio button. 6. The Edit Licensed Services hyperlink is available for Fiscal Agency users with the appropriate security when selecting the Fiscal Agency specific radio button in the Licensed Services group box. If a license s status is placed on hold, closed, revoked, or expired, the Edit Licensed Services hyperlink is not available on the Services tab. 7. When selecting the All Fiscal Agencies radio button, licensed services associated to the provider license for all Fiscal Agencies are visible in the Licensed Services group box. The system adds the Fiscal Agency column header to the Licensed Services group box. Service records are displayed in alphabetical order based on the Fiscal Agency value. 8. The Edit Licensed Services hyperlink is not available when selecting the All Fiscal Agencies radio button. Additionally, the Fiscal Agency specific drop down box becomes disabled.. 9. Scroll bars in the Licensed Services group box allow all records to be viewed. 10. When a radio button is selected for a licensed service record and SERVICE_TYPE.fl_prvd_rate = N and SERVICE_TYPE.fl_pmnt_allwd = Y, the Service Rate value is available for selection in the Options drop down box for Fiscal Agency users with the appropriate security. 11. When a radio button is selected for a licensed service record and Topic Paper Page 32 of 66

SERVICE_TYPE.fl_prvd_rate = Y and SERVICE_TYPE.fl_pmnt_allwd = Y, the Provider Service Rate value is available for selection in the Options drop down box for Fiscal Agency users with the appropriate security. 12. When a radio button is selected for a licensed service record and SERVICE_TYPE.fl_pmnt_allwd = N, neither the Service Rate nor Provider Service Rate values are available for selection in the Options drop down box. 1.2.5.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 1.2.5.5. CRUD Matrix Table Name Create Read Update Delete PROVIDER_ORG X PROVIDER_SERVICE X X SERVICE_TYPE X LICENSE X X PRVD_SRVC_LCNS X X Topic Paper Page 33 of 66

1.2.6. Pop-Up Page-Additional Licensing Actions 1.2.6.1. Page Overview After approval of the license, the user can access the Additional Licensing Actions page through the Options drop down box on the Basic tab of the License page and allows for the documentation of actions taken with regard to a license. Licenses Denied, Withdrawn, Renewed, Expired, Closed or Made in Error cannot be re-activated from this page. The user needs to create a new license in these instances. The Insert button creates a new row in the Licensing Actions group box. There can only be one active License Action at a time, so the Insert button is available only when there are no license actions or only approved previous license actions once an Additional Licensing Action is Not Approved, the Insert button is enabled such that the user can create another Additional Topic Paper Page 34 of 66

Licensing Action. Since each licensing action has an effect on the status of the license, it must go through the approval process. Approving the licensing action updates the status field for the license and removes ticklers affecting the license, if appropriate. The Additional Licensing Actions page for licenses opens in view mode for non-assigned users. Identifying a provider as a duplicate and linking the provider to another suitable provider record in the system, automatically ends the associated license in FSFN. The provider link functionality modifies the Additional Licensing Actions page as follows: Add a reference value of Duplicate Provider Clean-up to the Reason 1 field. o Note: The Duplicate Provider Clean-up value will be available to select on the Additional Licensing Actions page by selecting the Action value of Close. o If an approved active license exists, end the license on theadditional Licensing Actions page as follows: Set the Actions field to Close. Set the Effective Date to be the system date. Set the Reason 1 field to be Duplicate Provider Clean-up. Auto-approve the page with the name of the worker inactivating the provider and use the system date. - If an approved withdrawn or denied license exists, and the Issue Date and Expiration Date are in the past (with respect to the linking date): o No Additional Licensing Actions (rows) are inserted o Issue Date and Expiration Date are not updated 1.2.6.2. Page Information GroupBox: Header Fields: Box: Provider Name License Number: Status: Licensing Actions Name of the Person Provider or Organization Provider for whom the additional licensing action is being documented; System derived; Not user editable. The unique ID number assigned to the specific Provider License; system derived; not user editable; no default value. The status of the license (Pending, Active, Provisional, Denied, Withdrawn, Revoked, Placed on Hold, Closed, Expired and Renewed); System derived; Not user editable; Defaults to Pending. Topic Paper Page 35 of 66

Fields: Action: The future status for the license; User selected drop down box; User editable for DCF Zone Licensing Agents prior to final approval; Required; No default value. Effective From: Reason 1: Reason 2: Reason 3: The effective date of the license action; User entered date field; User editable for DCF Zone Licensing Agents prior to final approval; Required; Defaults to 00/00/0000. The first reason for the license status update; User selected drop down box; User editable for DCF Zone Licensing Agent prior to final approval; Required; No default value The second reason for the license status update; User selected drop down box; User editable for DCF Zone Licensing Agents prior to final approval; Not required; No default value The third reason for the license status update; User selected drop down box; User editable for DCF Zone Licensing Agents prior to final approval; Not required; No default value Options: Approval: Navigates the user to the Approval History page. Enabled only for DCF Zone Licensing Agents. Could be enabled for other worker with other appropriate security like Fiscal Supervisor. Buttons: Insert: Adds a new record in the Licensing Actions group box presuming there isn t currently a new or unapproved row currently in the group box. If there is a new or unapproved record in the Licensing Actions group box, the Insert button is disabled. Save: Standard Save Processing. Close: Standard Close Processing. 1.2.6.3. Background Processing Note: non-assigned users have view only access to the Additional Licensing Actions page. 1. A vertical scroll bar appears on the right side of the Licensing Actions group box to facilitate viewing all actions. 2. A horizontal scroll bar appears on the bottom of the Licensing Actions group box to facilitate viewing all reasons for action. 3. The Insert button adds a row to the Licensing Actions group box, available only if all other licensing actions have been approved and the license status is not Closed, Renewed or Expired. 4. If the license s status is active or provisional, the Actions drop down box will contain the values Close, Expire, Place on Hold, Revoke, and Made in Error. Topic Paper Page 36 of 66

5. If the license s status is placed on hold, the Actions drop down box will contain the values Close, Re-activate, Revoke, and Made in Error. 6. If the license s status is Revoked, the License is frozen (as if the License has Closed) and the user must create a new License from Provider Work to create a new License if the applicant is eligible for one. 7. If the Expire value is selected in the Actions drop down box, the user will get a notification message stating Expire option cannot be selected by the user. Intended for batch only. Please change selection. 8. If the value of Made in Error is selected and approved then the date edits regarding overlapping dates will not include those dates associated with licenses that have this status. 1.2.6.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 2. If the license action effective from date is prior to the license Issue Date, on save processing, a message will display, "The license action effective from date cannot precede the license's Issue Date." 3. After final approval on the Additional Licensing Actions page, the existing rows in the Licensing Actions group box are view only. 4. If the Effective Date is greater than the current date, then a message The effective date must be less than or equal to the current date is displayed. 5. On save processing, if the license s status has been changed to placed on hold, closed, or revoked, the active licensed service types statuses are changed from Active to Inactive. 6. If the license s status changes to reactivated, the inactive licensed service types statuses remain at Inactive on save processing. 7. If the license s status changes to closed or revoked, save processing deletes the License About to Expire tickler. 8. Whenever a license status (i.e., LICENSE.cd_stat) changes for a provider where the effective date of the license status change falls in between the placement begin and placement end dates of a child for which there is an ongoing Eligibility determination (i.e., ELIGIBILITY.fl_cmplt or ELIG_REDET.fl_cmplt = N ), insert an Eligibility Change record. Changes to the license status are recorded in the system through on-line processes (e.g., Additional Licensing Actions) or through the batch processes (e.g., PM04a - license expiration). Therefore, the eligibility change record can be inserted by on-line processes Topic Paper Page 37 of 66

where users add licensing actions to an existing license OR by the License Expiration Batch that can also insert eligibility change records upon expiration of a license. Set ELIGIBILITY_CHANGE.cd_chng_field = 2000 and ELIGIBILITY_CHANGE.dt_eff = the effective date of the license status change. 9. Whenever a change occurs that may affect eligibility, the following processes take place: Creation of an Eligibility Change record Eligibility Change Record Processing When information is recorded that can affect eligibility, insert a record in the ELIGIBILITY_CHANGE table and populate the fields as described: Set ELIGIBILITY_CHANGE.id_chng = unique ID Set ELIGIBILITY_CHANGE.id_elig = The Unique eligibility ID of the ongoing eligibility determination. First, check the ELIGIBILITY table for a record WHERE id_case and id_prsn match AND ELIGIBILITY.fl_cmplt = N for the selected record. If there is a record selected, then set o ELIGIBILITY_CHANGE.id_elig = ELIGIBILITY.id_elig. If there is no record in the ELIGIBILITY table, then check the ELIG_REDET table for a record WHERE id_case and id_prsn match AND ELIG_REDET.fl_cmplt = N. If there is a record in the ELIG_REDET child, then set ELIGIBILITY_CHANGE.id_elig = ELIG_REDET.id_elig_redet. Additionally, there could be more than one ELIGIBILITY or ELIG_REDET records with fl_cmplt = N. Therefore, the ELIGIBILITY_CHANGE record needs to be created for all records with fl_cmplt = N provided that o ELIGIBILITY_CHANGE.dt_eff <= ELIGIBILITY.dt_end or ELIG_REDET.dt_end (whichever is applicable). If the effective date of the eligibility change is after the end date of the eligibility determination, then do NOT create the ELIGIBILITY_CHANGE record. If there are no such records, then DO NOT insert the ELIGIBILITY_CHANGE record. ELIGIBILITY_CHANGE.id_cr = the unique person ID of the worker who recorded the change that may affect eligibility. ELIGIBILITY_CHANGE.ts_cr = The current system data at the time when the record is inserted. ELIGIBILITY_CHANGE.dt_eff = the effective date of the change (e.g., date of change in employment). ELIGIBILITY_CHANGE.cd_chng_field = The code value for the type of change that was recorded in FSFN. This value will be different for different types of changes. 1.2.6.5. CRUD Matrix Table Name Create Read Update Delete Topic Paper Page 38 of 66

LICENSE_ACTION X X LICENSE X X PROVIDER_SERVICE X X SERVICE_TYPE X APPROVAL X X WORKER X Topic Paper Page 39 of 66

1.2.7. Pop-Up Page-License Notifications 1.2.7.1. Page Overview Access the License Notifications page through the Options drop down box on the Basic tab of the License page. If the worker selects License Letter CPA or License Letter CCA listed under the Letters heading in the Options drop down box, the License Notification page opens. The Document Type value will fill in with the letter name selected in the Options drop down box. During the documentation of the license, the worker has the ability to generate forms or notices sent to the provider. An example would be a License Letter CPA or License Letter CCA sent to the provider. Generating a hard copy of the specified template creates a provider Topic Paper Page 40 of 66

note stating that the letter was sent. The License Notification page opens in view mode for non-assigned users. The page may not open if the License has already been approved. 1.2.7.2. Page Information Group Box: License Notification Fields: Provider: The name of the provider for which the notification is to be generated; System derived; Not user editable. Group Box: License Type: Document Type: Provider Participants: The type of license for which the notification is to be generated; System derived; Not user editable The type of document to be generated; System derived based on the value selected in the Options drop down box on the Basic tab; Not user editable The names of the Caregiver 1 and Caregiver 2 provider participants in the home; Caregiver 2 will only be visible if there is a provider participant with the role of Caregiver 2 ; System derived; Not user editable. History Fields: Date Created: Sent: The date when the notification record is added to the History group box via the Insert button; System derived from current system date; Not user editable. Designates whether or not the notification has been sent to the provider; Checkbox; Not required; Defaults to unchecked. Links: Edit/View: Navigates the worker to the letter template instance. When Edit hyperlink is visible, the template opens as editable. When the View hyperlink is visible, the template opens in view only mode. Buttons: Insert: Adds a new notification instance to the History group box, indicating that a new letter will be created. Save: Standard Save Processing. Close: Standard Close Processing. 1.2.7.3. Background Processing Note: non- assigned users have view only access to the License Notifications page, and are unable to complete any work within it. Topic Paper Page 41 of 66

1. The Document Type value fills with the value selected in the Options drop down box on the License Basic tab. 2. Selecting the Insert button in the History group box adds a new license notification instance. The Date Created value completes with current system date. 3. When the worker selects the Edit hyperlink to the right of a record in the History group box, the template instance launches in edit mode. The template type will be determined based on the Document Type value in the header of the License Notifications page. 4. A View hyperlink replaces the Edit hyperlink with selecting the Sent checkbox for a license notification instance. When the worker selects the View hyperlink to the right of a record in the History group box, the template instance launches in view mode. The template type will be determined based on the Document Type value in the header of the License Notifications page. 5. When a license has a status of active or placed on hold, the License Notification page opens in edit mode. 6. When a license has a status of closed, the License Notification page opens in view only mode. When a license is expired, the License Notification page opens in edit mode for only the Renewal Letter.. 7. When a license is renewed, the License Notification page opens in edit mode. 1.2.7.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 2. Selecting the Sent checkbox for a license notification instance creates a provider note with Category: Correspondence, Type: Renewal Letter on save processing. The body of the note will read Letter was sent. The Provider Note displays in the worker s Providers expando for the given provider. 1.2.7.5. CRUD Matrix Table Name Create Read Update Delete PROVIDER_ORG LICENSE X X DOCUMENT_MGMT X X PROVIDER_PART X Topic Paper Page 42 of 66

PERSON X PAN_TEXT_EVENT X WORKER X Topic Paper Page 43 of 66

1.2.8. Pop-Up Page Edit Licensed Services 1.2.8.1. Page Overview The Edit Licensed Services page records licensed service types for a Provider license. A Fiscal Agency user, with the appropriate security to edit licensed services, accesses the Edit License Services page from the License page, Services tab. A user selects the appropriate agency from the Fiscal Agency specific drop down box in the Licensed Services group box on the Services tab then presses the Edit Licensed Services hyperlink. The Edit Licensed Services page opens for the selected Fiscal Agency and the Fiscal Agency s name displays in the header information on this page. Licensed service types for the selected Fiscal Agency will appear as records in the Licensed Services group box on the Edit Licensed Services page prior to final license approval. Topic Paper Page 44 of 66

The user updates service capacities and statuses on Edit Licensed Services page. These properties cannot be updated on the Services tab. Provider service rates can be created and updated on the Edit Licensed Services page by a Fiscal Agency user with the appropriate security to edit licensed services. Additionally, service rates can be accessed and viewed from this page. The user accesses these pages via the Options drop down box for a specific service. Either the Provider Rate or Service Rate value will be available for a given service based on the service type definition in the SERVICE_TYPE table. In some cases, neither option will be available for a service type that is not paid. As mentioned above, licensed service types for a given Fiscal Agency will be available for selection on the Edit Licensed Services page. Once a license has been set to Active, all licensed service types do not appear on the Edit Licensed Services page for the Fiscal Agency. The only licensed services that appear on this page for the Fiscal Agency are services that had a capacity of greater than 0 at time of license approval. For other Fiscal Agencies associated with the provider, all licensed service types will still be available after final license approval. Licensed services that can be accessed post-approval have the ability to be updated by a Fiscal Agency user with the appropriate security to edit licensed services and is associated to the provider. This worker can continue to modify the capacity and status as needed. When a home provider is re-licensed, only the current service capacity from the Fiscal Agency will carry over to the pending license pages. If no change to service capacity is needed, services for the Fiscal Agency will automatically become active when the license is approved. Section 1.2.4 provides detailed information regarding the Services tab for reference. 1.2.8.2. Page Information Group Box: Header information Fields: Provider ID: The unique ID number assigned to the specific Provider; System derived from the License page; Not user editable. Provider Name: The name of the Provider; System derived from the License page; Not user editable. Fiscal Agency: The Fiscal Agency name for which the licensed services will be updated; System derived from the License page, Services tab; Not user editable. Total License Bed Capacity: The total license bed capacity of the provider expressed in numerical terms; System derived from the Person Provider page; Not user editable License Type: The type of license record; System derived from the License page; Not user editable Group Box: Licensed Services Topic Paper Page 45 of 66

Fields: Category: The category for a given licensed service record; System derived from SERVICE_TYPE table. Not user editable. Options: Type: Lic Capacity: Contract ID: Status: Provider Service Rate: The type for a given licensed service record; System derived from SERVICE_TYPE table. Not user editable. Stores the number of units that a provider can render for a given service type; User entered numeric field; User editable if SERVICE_TYPE.fl_in_home = N ; Required; Defaults to 0. Unique identifier to associate Service Category and Service Type to Provider; user entered; alphanumeric; 10 characters; not required Designates the status of the licensed service type associated with the provider for a given Fiscal Agency; User selected drop down box; User editable; Required; Defaults to Inactive. Launches the Provider Service Rate page. Only available when the radio button located to the left of the service type records is selected for a paid service type that requires a provider specific rate. Service Rate: (SERVICE_TYPE.fl_prvd_rate = Y and SERVICE_TYPE.fl_pmnt_allwd = Y ). Launches the Service Rate page. Only available when the radio button located to the left of the service type records is selected for a paid service type that requires a service rate (SERVICE_TYPE.fl_prvd_rate = Y and SERVICE_TYPE.fl_pmnt_allwd = Y ). The Service Rate page opens in view only mode. Buttons: Save: Standard Save Processing Close: Standard Close Processing 1.2.8.3. Background Processing (NOTE: Unless otherwise stated, the work described in this section can only be completed by a Fiscal Agency user with the appropriate security to edit licensed services.) 1. When accessing this page from the Services tab, the header information on the Edit Licensed Services page fills with the values from the License page. Topic Paper Page 46 of 66

2. After selecting a radio button to the left of a service record, if the service type is a paid service that requires a provider service rate (SERVICE_TYPE.fl_prvd_rate = Y and SERVICE_TYPE.fl_pmnt_allwd = Y ), the Options drop down box will appear in the lower left of the Edit Licensed Services page for a Fiscal Agency user with the appropriate security. The Provider Service Rate value will be available for selection in the Options drop down box. Whenever a service type record is selected that has these properties (by selecting the radio button to the left of the service record), the Provider Service Rate value is visible in the Options drop down box. 3. After selecting a radio button to the left of a service record, if the service type is a paid service that requires a service rate (SERVICE_TYPE.fl_prvd_rate = N and SERVICE_TYPE.fl_pmnt_allwd = Y ), the Options drop down box will appear in the lower left of the Edit Licensed Services page for a Fiscal Agency user with the appropriate security. The Service Rate value will be available for selection in the Options drop down box. Selecting a service type record that has these properties (by selecting the radio button to the left of the service record) makes the Service Rate value visible in the Options drop down box. 1.2.8.4. Save Processing 1. Save Processing is initiated by clicking on the Save command button. Save processing is also initiated when selecting the Close button, and then answering Yes when the system asks the user if they would like to Save changes before closing the page. 2. Upon save processing, if a service record that requires a provider service rate (SERVICE_TYPE.fl_prvd_rate = Y ) is assigned a capacity greater than 0, and a provider service rate has not been entered; the worker will receive a notification message stating A Provider Service Rate is needed before setting some service types to Active. These services will remain Inactive until a rate is added on the Provider Service Rate page. 3. If a value entered into the Lic Capacity field for a service type is greater than the Total Bed Capacity for the Provider, on save processing, the user will receive an error message stating, Total Service Capacity of both Active and Inactive services must be less than or equal to Total Bed Capacity. 4. If the status for a service type is set to Active while the license status is still Pending, on save processing, the service type status is set back to Inactive. 5. If a value entered into the Lic Capacity field for a service type is greater than the Total Bed Capacity for the Provider, on save processing, the user will receive an error message stating Total Service Capacity of both Active and Inactive services must be less than or equal to Total Bed Capacity. Topic Paper Page 47 of 66

1.2.8.5. CRUD Matrix Table Name Create Read Update Delete PROVIDER_ORG LICENSE SERVICE_TYPE X X X PRVD_SRVC_RATE X X SERVICE_RATE X PROVIDER_SERVICE X X PRVD_SRVC_LCNS X X Topic Paper Page 48 of 66

1.2.9. Pop-Up Page Service Rate 1.2.9.1. Page Overview Navigation Selecting Service Rate from the Options dropdown of the Services Tab of the License page, or from the Options dropdown of the Edit License Services page, and pressing the Go button, accesses the Service Rate page. Page Summary The Service Rate Pop-up page displays the rate information associated with a specific service type. Topic Paper Page 49 of 66

1.2.9.2. Page Information Group Box: Service Fields: Type: Displays the selected service type; system derived from the Service Type page Service Type Long Desc: field; view only. Group Box: Code: Displays the service code associated with the selected service type; system derived from the Service Type page; view only. Service Rate Fields: Effective Date: Last Updated Date: Displays the effective date of the rate for the selected service type; mm/yyyy; system derived from the Service Rate table for already existing service rate information; user entered if creating new rate information; Required. Displays the last date the service rate was updated for the selected service type; mm/dd/yyyy; system derived from the Service Rate table. For newly entered Service Rates this will be entered when the Service Type page is saved; View only. Rate Period: Displays the rate period for the selected service type (Daily, or Monthly); system derived from the Service Rate table for existing service types; user entered if inserting new rate information; Defaults to Daily ; required. Rate: Displays the rate amount for the selected service type; system derived from the Service Rate table; user entered if creating new rate information; Required. Buttons: Continue Returns the user back to the License page. Close Standard Close processing. 1.2.9.3. Background Processing None 1.2.9.4. Save Processing None Topic Paper Page 50 of 66

1.2.9.5. Pop-Up Page CRUD Matrix Table Name Create Read Update Delete SERVICE TYPE SERVICE RATE 1.2.10. Pop-Up Page Provider Service Rate X X Topic Paper Page 51 of 66

1.2.10.1. Page Overview Navigation Selecting Provider Service Rate from the Options dropdown of the Services Tab of the License Page, or from the Options dropdown of the Edit License Services page, and pressing the Go button, accesses the Provider Service Rate page. Page Summary The Provider Service Rate page is used to enter Provider Specific Rates for Service Types that allow provider specific rates as defined by PM01: Maintain Service Types. When setting these rates the Fiscal Agency worker will record the effective date, the rate period and the rate. Provider service rates can be effective in the past or in the future. The worker will document the Contract ID and the Units Authorized Pop-Up Page Information. The Provider Service Rate pop-up page can only be accessed by a user from a specific Fiscal Agency associated with the provider. 1.2.10.2. Page Information Group Box: Fields: Group Box: Fields: Provider Information Provider The name of the provider for which the rate applies; system Name: derived from the Provider Organization table; view only Provider ID: The unique identifier of the provider for which the rate applies; system derived from the Provider Organization table; view only Service Type: The service type for which the rate applies; system derived from the Provider Service table; view only Service Code: The numerical code corresponding to the selected service; system derived if maintaining or viewing an existing service; user entered if creating a new service; required field Select Effective Date: Last Updated Date: Contract ID: Provider Service Rate The date that the rate becomes effective; if contract applies, system derived from the Provider Service Rate table; if adding rate, worker entered; future date accepted; Required. The last date that the rate was updated; system derived fro m the Provider Service Rate table; view only. Worker entered text field for Contract ID number; editable only if Service Category is contracted; otherwise view only. Topic Paper Page 52 of 66

Contract Capacity: Rate Period: Rate: Over Capacity Rate: Multiple Action Specifies the capacity of beds for a fixed priced contract. User entered numeric field; no default value; required when Fixed Price is checked on Service Types page. Disabled if Fixed Price is not selected The period for which the rate applies (i.e. Daily/Monthly); system derived from the Provider Service R ate table; if adding rate, worker entered and required The rate that applies to the provider; system derived from the Provider Service Rate table; if adding rate, worker entered and required Specifies the rate amount to be used for each participant, when the contract capacity has been exceeded. User entered amount field; no default value; required when Fixed Price is checked on Services Type page. Links: Delete: Removes row. Only enabled when item has not been saved to the database. Buttons: Insert Inserts a new row. Group Box: Multiple Rate Categories Fields: Reporting Category Rate Delete Buttons: Insert Inserts a new row. Buttons: Continue Returns to License Page. Close Standard Close Processing. 1.2.10.3. Background Processing: 1. When view only, Insert is disabled. 2. Contract Capacity and Over-Capacity Rate fields on the Provider Service Rate page are enabled and required if selected service type is specified as being Fixed Price on the Service Type page. Topic Paper Page 53 of 66

1.2.10.4. Save Processing 1. Rate data will be saved to the Provider Service Rate table. 2. An online Trigger with Txn Code: 6100 is Created if the Effective Start Date (on the Service Rate page) < the Date Last Paid on the Service Type table for that particular CD_SRVC. This Trigger is processed by FM03: Collect /Determine Eligibility. It is written to the ONLINE_TRIGGER table when the conditions are met. 3. Effective Date field is required. 4. Rate Period field is required. 5. Rate field is required. 6. If Fixed Priced checkbox is marked on the Service Type page and no value is input into the Contract Capacity or Over-Capacity Rate textboxes on the Provider Service Rate page the user will receive an error message You must input a value for Contract Capacity and Over Capacity Service Rate page for Fixed Priced service types. 7. The Financial batches will use the rates that are effective at the time a service is being administered. 1.2.10.5. Pop-Up Page CRUD Matrix Table Name Create Read Update Delete PRVD_SRVC_RATE X X ONLINE_TRIGGER X Topic Paper Page 54 of 66

1.2.11 Pop-Up Page License Select 1.2.11.1. Page Overview When it is time to re-license or modify the name of the provider, the assigned worker will select the Create Provider Work menu item. From the Create Provider Work page, the worker will select the Re-License or the Name Amendment value from the License drop down box, as well as the name of the provider. After pressing the Create button, the worker is navigated to the License Select pop-up page, which lists the current license for the selected provider. Topic Paper Page 55 of 66