THE FAM ILY INDEPENDENCE PROJECT: An Alternative Welfare Reform Approach Lyndon B. Johnson School of Public Affairs The University of Texas at Austin Volume IV LYNDON B. JOHNSON SCHOOL OF PUBLIC AFFAIRS POLICY RESEARCH PROJECT REPORT Number28 THE FAMILY INDEPENDENCE PROJECT: An Alternative Welfare Reform Approach Volume IV ofa Report by The Welfare Refonn Policy Research Project Lyndon B. Johnson School ofPublic Affairs The University of Texas at Austin 1978 LibraJ:y of Congress Card Number: 78-70525 © 1978 The BoaJ:d of Regents The University of Texas FOREWORD The Lyndon B. Johnson School of Public Affairs has established inter­disciplinary research on policy problems as the core of its educational pro­gram. A major part of this program is the nine-month policy research pro­ject, in the course of which two or three faculty members from different disciplines direct the research of ten to twenty graduate students of diverse backgrounds on a policy issue of concern to an agency of government. This "client orientation" brings the students face to face with administrators , legislators, and other officials active in the policy process, and demonstrates that research in a policy environment demands special talents. It also illuminates the occasional difficulties of relating research findings to the world of political realities. Occasionally a project of broad scope will generate enough information for more than one volume. Four volumes on topics related to welfare reform and the income maintenance system have resulted from the research conducted in 1977-78 for the Texas Department of Human Resources. These topics range from an analysis of the impact of the Carter welfare reform proposals on the existing system, to an examination of historical and legislative precedents, to analyses of contemporary relevant issues. In combination, the volumes provide a comprehensive view of a complex and vital policy area. Publication of Volume IV was funded in part by a grant from the Lyndon Baines Johnson Foundation. It is the intention of the LBJ School both to develop men and women with the capacity to perform effectively in public service and to produce research which will enlighten and inform those already engaged in the policy process. The project which resulted in this report has helped to accomplish the former; it is our hope and expectation that the report itself will contribute to the latter. Elspeth Rostow Dean PREFACE The four-volume Welfare Reform Project Report results from policy research conducted by the LBJ School of Public Affairs during the 1977-78 academic year. It was supported in part by the Texas Department of Human Resources (DHR) and had the twin goals of assisting the Department in meeting its future staff needs for policy analysts and providing LBJ School students the opportunity to work hand-in-hand with public and private sector officials in developing, assessing, and implementing policies and programs in the human services area. The specific task was to aid DHR in developing and testing an independence-fostering approach to the delivery of public assistance and employment services. The Family Independence Plan (FIP), as conceived by DHR officials, was the approach developed and refined during the course of the research activities reported on herein. FIP is a comprehen­sive service delivery mechanism for overcoming barriers that reduce services under existing entitlement programs. A key objective of the welfare reform project was to develop a fundable proposal for field testing, administering, and evaluating a demonstration FIP program. The scope of income maintenance policies and programs required project participants to familiarize themselves with a number of topics in order to place "welfare reform" in perspective and to develop alternative approaches such as the FIP. The four-volume report reflects the broad scope of our work. Volumes I and II provide background information and analyses that are essential if one is to offer substantive welfare reform alternatives. Volume III contains analyses of three issues that have particular relevance for Texas. Volume IV describes in detail the FIP concept. It also contains the FIP proposal as well as the evaluation design for the demonstration project. Publication of · this volume was funded by the Lyndon Baines Johnson Foundation. Additionally, a number of support documents and materials were prepared by project members in refining program concepts and guidelines for the FIP, including demographic and labor profiles of the proposed test sites. The four volumes are : I. "Linking the Carter Welfare Reform Package to the Income Main­tenance System" II. "Income Maintenance Policy: An Analysis of Historical and Legislative Precedents" III. "Analyses of Contemporary Welfare Reform Issues: Sexual In­equities; Regionalism and Fiscal Relief; and Undocumented Aliens' Impact on the Welfare System" IV. "The Family Independence Project: An Alternative Welfare Re­form Approach" Many individuals and agencies assisted in this effort. The Research team expresses its appreciation for their time, especially the DHR staff. Lodis Rhodes, Ph.D. Project Director POLICY RESEARCH PROJECT PARTICIPANTS Crawford B. Bunkley, III, B.A. (History), Brown University Henry Burgin, B.A. (Political Science), University ofHouston Brenda Kay Cornish,B.S. (Economics), The University of Texas at Arlington James T. Dimas, B.A. (Political Science), Knox College C. DeAnn Friedholm, B.A. (Government), The University of Texas at Austin Mitchell Goldstein, B.A. (Political Science), Northwestern University Paul E. Hilgers, B.A. (Political Science), Whittier College Patrick Johnson, B.A. (Government), The University of Texas at Austin Oarence Bernard little, B.A. (Political Science), North Texas State University Edward T. Sponberg, B.B.A. (Marketing), The University of Texas at Austin Dr. Lodis Rhodes, Project Director, Assistant Professor of Public Affairs, Lyndon B. Johnson School ofPublic Affairs, The University of Texas at Austin Augusta M. Villanueva, Project Manager, Research Associate, Lyndon B. Johnson School ofPublic Affairs, The University ofTexas at Austin TABLE OF CONTENTS FOREWORD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii PREFACE.................. . ................. .. .... v POLICY RESEARCH PROJECT PARTICIPANTS. . . . . . . . . . . . . . . . vii OVERVIEW......................................... 5 PART ONE. WELFARE REFORM POLICY RESEARCH PROJECT: ACTIVITIES AND CONT ACTS. . . . . . . . . . . . . . . . . . . . . . . . . . 5 Project Activity Calendar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Table 1. Labor and Demographic Profile ofTa"ant County. . . . . . 17 Table 2. Designing an Effective Evaluation System for the Family Independence Project . ............... .. .. . ... 20 Project GANTT Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Resource Persons: Federal, State, and Local Public and Private Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 PART TWO. FUNCTIONAL ANALYSES OF SELECTED STATE ENTITIES ................................... 27 The Comprehensive Employment and Training Act . . . . . . . . . . . . . 27 Texas State Manpower Services Council. . . . . . . . . . . . . . . . . . . . . 36 Texas Education Agency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 Texas Department of Human Resources. . . . . . . . . . . . . . . . . . . . . 39 Texas Department of Community Affairs. . . . . . . . . . . . . . . . . . . . 41 Texas Rehabilitation Commission. . . . . . . . . . . . . . . . . . . . . . . . . 42 PART THREE. DESIGNING AN EFFECTIVE EVALUATION SYSTEM FOR THE FAMILY INDEPENDENCE PROJECT. . . . . . . . . . . . . . 43 Conceptual Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 Evaluating the FIP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57 ix PART FOUR. THE FAMILY INDEPENDENCE PROJECT PROPOSAL . 77 Executive Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Section I. Introduction........ ..............·. . . . . . . . 79 Section II. Goals, Objectives, and Benefits. . . . . . . . . . . . . . . . . . 81 Section III. Plans of Operation. . . . . . . . . . . . . . . . . . . . . . . . . . 83 Section IV. Possible System Designs .............. . ....... 95 Section V. Evaluation ......................... . ..... 108 Section VI. Budget ......... ... ......... . ........... 109 Section VIL Personnel. . . . . . . . . . . . . . . . . . .............. 111 Appendix: Labor and Demographic Profile of Tarrant County . ..... 114 LIST OF TABLES TABLE 1: Labor and Demographic Profile of Tarrant County ..... 17 TABLE 2: Designing an Effective Evaluation System for the Family Independence Project. ........ _. . . . . . . . . . . . . . . . 20 TABLE 3: FY 1976 State Total Funds and Persons Served. . . . . . . . 35 TABLE 4: Family Dependence-Independence Continuum ........ 75 TABLE 5: Comparison ofEligibility for Services by Net Family Income (10-01-77) ........................... 98 TABLE 6: Budget for the Family Independence Project ....... . . 110 TABLE 7; Population Projections: Tarrant County 1970-1990 ..... 115 TABLE 8: Educational Attainment of Population Age 25 and Older: 1970 .. . .. . ......................... 115 TABLE 9: Population, Labor Force, Employment, and Unemployment for Tarrant County in April 1976 ................·. 118 TABLE 10: Government-Funded Educational Assistance-FY 1977 Tarrant County Junior College-All Campuses ......... 120 TABLE 11: Subsidized Day Care: Fort Worth ................. 121 LIST OF FIGURES FIGURE 1: Project GANTT Chart . . . . • . . . . . . . . . . . . . . . . . . . 21 FIGURE 2: CETA Funding Flow and Structure in Texas... . ...... 34 FIGURE 3: Organization of the Family Independence Project ...... 85 FIGURE 4: Project GANTT Chart . . . . . . . . . . . . . . . . . . . . . . . . 90 FIGURE 5: · Integrated Systems Design. . . . . . . . . . . . . . . . . . . . . . 97 FIGURE 6: Clearinghouse Approach to Service Coordination . . ..... 107 OVERVIEW The Policy Research Project on "Policy Research and Training: Implemen­tation of the Family Independence Pl.an" allowed students at the Lyndon B. Johnson School of Public Affairs an opportunity to ~sthe implications of welfare reform at the national, state, and local levels of government. The Pro­ject's objectives were twofold: 1. To assist the Special Projects Division (now known as the Research and Development Branch) of the Texas Department of Hwnan Re­sources (TDHR) in defining and refining the concepts and program components of the Family Independence Project proposal. 2. To provide student member.; of the Project practical experience in working with state officials to develop and implement a comprehen­sive public assistance delivery system. The Family Independence Project (FIP) will test assumptions and hypo­theses of national welfare proposals such as President Carter's Program for Better Jobs and Income (PBil) at the proposed project site of Greater-Fort Worth. The FIP's goal is "to demonstrate that families dependent on public assistance can gain self-sufficiency through an unduplicated yet coordinated approach to the delivery of financial, social, and manpower." The proposal for the Family Independence Project, developed by TDHR in conjunction with the Fort Worth Training and Manpower Consortium, the Texas Employ­ment Commission, and the Texas Rehabilitation Commission, emphasizes increasing long-term private sector employment and achieving a more cost­effective method of delivering welfare services while maintaining and en­couraging family stability. A copy of the FIP proposal is included at the end of this volume. The following assignments comprised the Policy Research Project's assis­tance to TDHR: I. tracing the development of federal programs related to public assist­ance· 2. anal;zing key agencies involved in the delivery of public assistance in the Greater Fort Worth area; 3. critiquing drafts of the FIP proposal; 4. preparing a report on designing an effective evaluation system for the Family Assistance Project; and 5. creating a demographic and labor profile of the proposed project site. In addition, Project members prepared research and position papers for use in developing statements made by Dr. Lodis Rhodes, Project Director, and Mr. Jerome Chapman, Commissioner of the Texas Department of Human Re­ sources, before the United States House of Representatives Subcommittee on Welfare Reform in November 1977. Project members also completed a series of analytic studies on selected topics and issues related to welfare reform. The Project GANTT Chart summarizes the Project's tasks and phases. In the initial months of the Project (September and October), Project task forces identified sources of data on welfare services in Texas and factors likely to affect the FIP's implementation. They also traced the evolution of public assistance in the United States, prepared the synopses included in · Volume I of the Project Report, and investigated the value of research and demonstration projects in designing and implementing a reformed welfare system. Task forces then drafted position papers on: (1) the need and value of pilot projects in testing welfare initiatives; (2) the probable impact of the PBJI in Texas; (3) unanswered questions prompted by that proposal; and (4) current public assistance programs in the Fort Worth area. Project objectives and tasks required frequent interaction between Project members and public officials. Members worked closely with the Special Pro­jects Division in preparing position papers in support of Commissioner Chap­man's testimony. Project members also contacted and interviewed personnel in a number of local, state, and federal agencies. Information obtained from these interviews and discussions was used in drafting the first set of position papers. It also aided in selecting and researching topics for the analytic studies contained in Volumes II and II of the Welfare Reform Policy Research Project Report. In November and December, Project members refined information on socioeconomic indicators for Fort Worth, and analyzed the Humphrey­Hawkins bill. They also analyzed the functions of the important state organi­zations responsible for financial, social, and manpower services; the State Manpower Services Council, the Texas Education Agency , the Texas Depart­ment of Human Resources, the Texas Department of Community Affairs, and the Texas Rehabilitation Commission. The functional analyses contain brief descriptions and explanations of enabling legislation, the official functions of these entities, and their organizational and personnel structures. The analyses, included in this volume, highlight the problems involved in coordinating federal and state welfare-related services. In 1anuary, the Project completed and delivered to TDHR a comprehensive critique of the initial draft of the FIP proposal. Drawing from knowledge and materials obtained in the first months of the Project, student members sug­gested both stylistic and substantive changes. TDHR utilized many of these comments in revising the concepts and format of the proposal. Also in January, a Project task force began refining a labor and demo­graphic profile of the Fort Worth area, the proposed FIP test site. Task force members reorganized previously compiled information and sharpened the profile's objectives. After identifying data gaps, the task force scheduled and conducted interviews with local and state officials in Tarrant County and then revised the profile's content. TDHR incorporated the "Labor and Demo­graphic Profile of Tarrant County" in the FIP proposal which concludes this volume. Another Project task force studied the techniques and questions involved in creating a practical and comprehensive evaluation system for the Family A~stance Project. These task force members first analyzed the key elements of social service program evaluation and later applied findings in the context of the FIP_ Part III of this volume comprises the evaluation task force's report. "Designing an Effective Evaluation System for the Family Assistance Project" contains two sections, one of which outlines conceptual evaluation problems and the other proposes a specific evaluation process and perspective for the FIP. The Appendix material and Part III were both completed in April. Between January and April, Project members prepared analytic studies of issues related to welfare reform. Members selected topics for the studies on the basis of individual interests and the importance and/or timeliness of welfare reform research. Developing the analytic studies also required addi­tional student contact with state and federal public officials. PART I WELFARE REFORM POLICY RESEARCH PROJECT: ACTNITIES AND CONTACTS PROJECT ACTIVITY CALENDAR The Project Activity Calendar highlights major events and activities ofthe Welfare Refonn Policy Research Project from September 1977 to August 1978. It catalogs meetings, interviews, and assignments in chronological order. The Calendar, accompanied by Tables 1 and 2, traces the development of Project tasks and assistance to the Texas Department ofHuman Resources. Also included are lists of Project activity participants and summaries of activity results. s O'-­ DATE OF ACTIVITY PARTICIPANTS TASK RESULTS --i::r ~ 9/77 Lodis Rhodes Lodis Rhodes Charles Tesar C. Bunkley C. Burgin B. Cornish J. Dimas Charles Tesar D. Friedholm M. Goldstein P. Hilgers P. Johnson B. Little T. Sponberg Negotiations with TDHR regarding contract for Policy Research Project: "Policy Study and Training: lmplemen­tation of the Family Independence Plan" First meetings of the PRP Preliminary approval of Policy Research Project by TDHR Discussion of PRP responsibilities to TDHR and assignment of first tasks 'Tl II> 9 ~ ....::s c;l. ~ 'O ~ ::s c;l. ~ ::s (') ~ "'Cl.. .9. ~ (')... (same as above) Meeting with the TDHR Intra-agency Task Force regarding the Family Independence Project Orientation session for PRP members and represen­tatives of state agencies concerned with the FIP (same as above) Synopses of Selected Income Maintenance Programs Initial preparation of synopses on federal income maintenance and welfare programs Burgin Friedholm Johnson Meeting with Malcolm McDonald (TDHR-Financial Services) Discussion of data available at TDHR Financial Services on public assistance programs in Fort Worth, and the problems involved in the collection of data and its discrepancies 10/77 Cornish Goldstein Sponberg Meeting with Barbara Moore and Pat Foy (TDHR-Special Projects) to discuss "laundry list" of questions concerning the Family Independence Pian and anticipated problems with its implementation Moore and Foy suggested contact with: Thomas Cragen (TDHR-Regional Administrator, trator, Fort Worth Office) Mary Barrett (TDHR-Regional Director of Social Services, Fort Worth Office) Richard Sapp (City of Fort Worth-CETA) DATE OF ACTIVITY 10/77 PARTICIPANTS Hilgers Burgin Johnson Friedholrn (same as above) Charles Tesar TASK Interview with Reginald Todd (Administrative Assistant to Rep. J.J. Pickle) Contacted Watson Combs (TDHR-Data Processing) in order to receive a break­down of State welfare services in Fort Worth Phone call to Dave Garner (Tarrant County Junior College Financial Aids Office) Meeting with Rep. James Wright and Hugh Parmer (Mayor of Fort Worth) to discuss FIP proposal RESULTS Vernell Sturns (City of Fort Worth-Assistant City Manager) Moore and Foy also suggested contact with: Helen Kilgo (DOL-Region VI WIN director) Eloy Rodriquez (Kilgo's assistant) Contacted Todd for information on: Contacts in Rep. James Wright's offices in Wash­ ington, D.C. and Fort Worth Information on the House of Representatives' handling of welfare reform legislation Impact of such legislation on low benefit states Combs was temporarily unavailable; however, assis­ tant informed members that such information was available and suggested recontacting Combs Obtained numbers of persons participating in and level of funding for: ~ BEOG 3: SEOG ­ ~· TPEG Work/Study [ ('l Secured interest of Wright in the FIP pilot project = - ~ - "' -...) 00 DATE OF ..i:r ACTIVITY PARTICIPANTS TASK RESULTS "' .., "' = 10/77 Charles Tesar Lodis Rhodes TDHR Intra-agency Task Force meeting Tesar's presentation included the following points: Current objectives in drawing up the FIP proposal Data related to the financial and manpower costs =.: '<... =Q, "' of FIP in comparison with present operations "d "' The need for a comprehensive proposal =Q, The possibility of obtaining development funds from DHEW Regional Title XX "' = (') "' ~.. Bunkley Meeting with Eddie Bernice Johnson (DHEW-Region VII Administrator) J. B. Keith identified as most likely candidate for Carter Welfare program liaison for Texas .g, g... DHEW Regional Office's responsibilities center on family stability problems and work incentives; how­ ever, most of the Office's responsibilities (through proposed legislation) have not yet been identified Charles Tesar Lodis Rhodes TDHR Intra-agency Task Force meeting Update on data concern outlined in the previous meeting and further delineation ofTask Force tasks Little Interview with Malcolm McDonald (TDHR bases its assumptions on participation on (TDHR-Financial Services) the number of persons eligible for Food Stamps in Texas, and uses 1977 as Base Year; a breakdown of types of families was provided. Assumptions used, breakdowns of families, and cost estimates used by DHEW unknown; DHEW Base Year is FY 1974 Burgin Johnson Meeting with Barbara Moore (TDHR- Received breakdowns of welfare services by zip Friedholm Special Projects) codes for Greater Fort Worth Manpower Consor­ tium '° DATE OF ACTIVITY PARTICIPANTS 10/77 Burgin Johnson Friedholm Charles Tesar TASK Meeting with Dennis Zeller (TDHR-Planning Bureau) Site visit and meeting with Jlm Dredge (Minnesota Department of Economic Security-Work Equity Demonstration Project, St. Paul, MN) RESULTS Also received Food Stamp data for Fort Worth Region B. Moore asked for a compilation of types of demographic data (by zip code) felt to be most pertinent, and for submission of this information to her Discussion of potential problems in predicting the effects of the Carter and FIP proposals Through a $6.8 million grant from DOL and WIN, WEP provides WIN services to AFDC, Food Stamp, and general assistance population in St. Paul. WEP is co-housed in CET A centers, and clients are registered, appraised, and given extensive job assistance. When guidelines have been adhered to, training of clients has been eliminated. Persons receiving unemployment insurance have been cate­ gorically removed from the program due to pressure from organized labor. In St. Paul, the only group ~ to be assisted will be new WIN registrants and no 3: overlap with Title XX deliverers will occur. WEP i· is basically an expanded version of WIN, which provides PSE to CET A prime sponsors. Because of l Minnesota governor's support of WEP, reorgani­n 0 zation of state government has occurred in the = delivery of WEP-related services. Arnold Packer ­ ~ (DOL-Assistant Secretary for Policy Evaluation ­ "' and Research) and William Hewitt (DOL-Employ­ 0 DATE OF ACTIVITY 10/77 PARTICIPANTS Burgin Dimas Burgin Hilgers Comish Johnson Dimas Little Friedholm Sponberg Goldstein Dimas Goldstein TASK Meeting with Richard Hargrove (SSA­Austin District Manager) to obtain recent figures for SSI and OASDI for Fort Worth Meeting with Clarence Cossey (TDHR­Employment Services) Completion of PRP task forces' position papers Meeting with William Townsend (TEC-Associate Administrator) -i :I" 111 RESULTS 'Tl "' 8 ment and Training Administration), along with '< t:.: Ron Putz (WIN), were the main facilitators for the [ Work Equity Demonstration Project. Richard Abt 111 of Abt., Inc. secured a $1 million contract to 'ti g evaluate the program. c. 111 ~ Discovered that ABD data supplied by B. Moore 111 more current than SSA data; OASDI data received ~ 2. was incomplete. Hargrove suggested contact with 111 () the national SSA office in Baltimore for demo­... graphic data Discussion of CETA program in Austin and the impact of Carter's welfare proposal on Texas Task Force I : "The Value of Research and Demon­stration Projects" Task Force II: "Impact of President Carter's Welfare Proposal on Texas" Task Force III: "Questions Concerning Welfare Reform" Task Force IV: "Statistical Information for Wel­fare Programs in the Fort Worth Area" Discussion of TEC's viewpoint on Carter's Welfare proposal; identified TEC data sources on Tarrant County DATE OF ACTIVITY 11/77 PARTICIPANTS Burgin Hilgers Cornish Johnson Dimas Little Friedholm Sponberg Goldstein Burgin Johnson Friedholm (same as above) Dimas Hilgers Lodis Rhodes Charles Tesar Charles Tesar TASK Critiques and additions to position papers Secure information B. Moore requested at last meeting Meeting with B. Moore to discuss and draft preliminary testimony for the Subcommittee on Welfare Reform's field hearings Meeting with Howard Richie (Gov­ernor 's Office-Texas Manpower Coordinator) Meeting with Jodie Allen (DOL-Special Assistant to the Secretary) to discuss the FIP Discussion of FIP with Bob McConnon (DOL-Employment and Training Ad­ministration); and William Hewitt and Thomas Bruening (DOL-Employment and Training Administration) RESULTS Submission of written critiques of position papers Information submitted Obtained current cost figures for child care and vo­cational rehabilitation for Region SB Discussion of the roles of state agencies in imple­mentation of CETA in Texas Allen and members of her staff indicated interest > (') in such a project and encouraged Rhodes and Tesar .... to develop and submit a proposal for a demonstra-3: .... tion project to DOL (Arnold Packer and Howard ;· Rosen) I» "' = Q. Discussions concerned the implementation of FIP (')and the submission of a proposal = .... I» (') .... "' ~ DATE OF ACTIVITY 11/77 PARTICIPANTS Lodis Rhodes Lodis Rhodes Lodis Rhodes Burgin Johnson Friedholm Lodis Rhodes Goldstein Burgin Hilgers Comish Johnson Dimas Little Friedholrn Sponberg Lodis Rhodes Charles Tesar TASK Meeting with Gary Reed (DOL­ Assistant Secretary for Policy, Evaluation, and Research) to discuss the FIP Meeting with David Nesenholtz (Texas Office of State-Federal Relations­ Associate Director) Appearance before the U.S; House of Representatives Subcommittee on Welfare Reform Preparation of background research for use in developing testimony for Jerome Chapman (TDHR-Commissioner) Division into task forces to prepare: Analysis of Humphrey-Hawkins Bill; functional analyses of key agencies; demographic and labor profile of Fort Worth Discussion of special issues related to welfare reform with Ann Sobol (DREW-Office of the Secretary) and TDHR personnel ~ ;;­ RESULTS "!'.I ... Discovered the possibility of competition with '< ~ Rep. Russell Long's district for pilot project [ t Identification of Peggy Boice as future contact in ~ the state-federal office as she would soon take ID charge of Human Resources for this agency ~ ,g, Testimony submitted to the Subcommittee · ~ ... Completion of background information and sub­mission to B. Moore Discussion of task forces' objectives and work schedules Discussion of establishing the basis for cost pro­jections for the Welfare Reform Package DATE OF ACTIVITY PARTICIPANTS TASK RESULTS 12/77 Burgin Analysis of Humphrey-Hawkins Bill Submission of report entitled "The Jobs Com­ponent of the Humphrey-Hawkins Bill and Sub­sequent Modifications" Burgin Hilgers Functional Analyses of Key Agencies Completion and submission of analyses of organi- Dimas Little zations delivering services under the Comprehen- Friedholm sive Employment and Training Act (CETA) Labor and Demographic Profile of Completion and submission of draft Goldstein Sponberg Fort Worth Cornish Johnson 1/78 Bunkley Hilgers Student critiques of January draft Group assignments: Cornish, Burgin, Goldstein-Burgin Johnson of the FIP proposal Introductory chapters, pp. 1-27; Bunkley, Fried-Cornish Little holm, Johnson, Sponberg-Project Approach, pp. Dimas Sponberg 28-73; Dimas, Hilgers, Little-State Agencies, pp. Friedholm 99-117 (same as above) Student critiques of January draft Submission of group critiques of the FIP proposal Lodis Rhodes Charles Tesar PRP critique of the FIP proposal Submission of PRP's critique to TDHR > (') ... Burgin Goldstein Evaluation Design and Labor and Assignment of students to these tasks 3: Comish Johnson and Demographic Profile ;·... Friedholm Sponberg "' ID = Burgin Goldstein Evaluation Design Submission of preliminary outline Q. (") Friedholm = ... ID Comish Sponberg Labor and Demographic Profile Submission of list of objectives for Profile and pre-(') ... w Johnson liminary format "' .j>. DATE OF ACTIVITY PARTICIPANTS 2/78 Lodis Rhodes Burgin Goldstein Friedholm Cornish Sponberg Johnson (same as above) Burgin Goldstein Friedholm PRP members B. Crosby (Welfare Reform PRP Research Associate) PRP members Hilgers TASK Discussion with Gerald Britten (DHEW­Deputy Assistant Secretary for Planning Systems) concerning contacts in DHEW useful to PRP tasks Evaluation Design Labor and Demographic Profile Labor and Demographic Profile Evaluation Design Synopses of Selected Income Main­ tenance Programs Phone call to Barbara Moore (TDHR­Special Projects) regarding status of FIP Analytic studies Analytic study: "Humphrey-Hawkins, CETA, and Urban Policy as They Relate to Welfare Reform" ;1 n RESULTS '!'.I a Established contact with DHEW for future sources '<= of information f n 8. Identification of problems of present welfare sys­ ~ tem and goals of the FIP n a Identification of contacts and preparation of questions for interviews in Fort Worth l­Trip to Fort Worth to gather necessary information Submission of draft report on evaluation design Submission of Synopses to TDHR TDHR Special Projects became Research and Development under Deputy Commissioner Merle Springer to "sign-off" proposal on 2/20/78, followed by official state review Assignment of students to topics Hilgers: class presentation DATE OF ACTIVITY 3/78 4/78 Vl PARTICIPANTS Bunkley Goldstein Lodis Rhodes Little Sponberg Burgin Dimas Cornish Cornish Friedholm Johnson Burgin Goldstein Friedholm Cornish Sponberg Johnson TASK Analytic study: "Regionaliam: Its Impact on the Development of an Equitable Welfare Program" Discussions with Gerald Britten, Michael Barth, and Connie Downing (DHEW-Office of the Secretary) Analytic study: "Undocumented Aliens, Amnesty, and Public Assistance" Analytic study: "The Legislative Process and Welfare Reform" Labor and Demographic Profile Analytic study: "Sexual Inequities: Welfare ~eform as It Affects Women" Analytic study: "Social Policy: Prece­dents and Prognoses" Evaluation Design Labor and Demographic Profile RESULTS Bunkley/Goldstein: class presentation Britten, Barth, and Downing expressed interest in developing some of the topics of the analytic studies for DHEW and requested copies of the studies Little/Sponberg: class presentation Burgin/Dimas: Qass presentation Trip to Fort Worth to obtain information Cornish/Friedholm: class presentation > (') Johnson: class presentation -3: ;· - .."' ::s Submission of additions to report on evaluation c:i. design n ::s Submission of draft profile -.. (') - "' ::r °' DATE OF ~ " .., ACTIVITY PARTICIPANTS TASK RESULTS a 4/78 PRP members Analytic studies Submission of Analytic Studies '<= .. 1:1 PRP members Synopses of Selected Income Completion and publication of Synopses Q. .,, Maintenance Programs " l Cornish Sponberg Labor and Demographic Profile Submission of maps on primary service centers, ~ Johnson housing and neighborhood projects, parks and .,, " public works, and community facilities for Fort .. s. Worth R .... 4/78-5/78 PRP members Analytic studies Revisions of Analytic Studies 5/78-8/78 Augusta Villanueva Analytic studies, Functional Analyses, Final editing and preparation of reports for Nancy Carmichael Evaluation Design, Labor and Demo-publication (Welfare Reform PRP graphic Profile Research Associates) TABLE 1 LABOR AND DEMOGRAPHIC PROFILE OF TARRANT COUNTY DATE OF ACTIVITY PARTICIPANTS TASK RESULTS 12/77 1/78 2/78 ...... -.I Burgin Friedholm Burgin Friedholm Comish Goldstein Comish Johnson (same as above) (same as above) (same as above) Johnson Labor and Demographic Profile Johnson Labor and Demographic Profile Johnson Labor and Demographic Profile Sponberg Sponberg Labor and Demographic Profile (same as above) (same as above) (same as above) Completion of Position Paper: "Statistical Infor­ mation for the Welfare Programs in the Fort Worth Area" Paper included a profile of present and past reci­ pients of Food Stamps, AFDC, Education Pro­ grams, Medicaid, and SSI Obtained current cost figures for child care and vocational rehabilitation for Region SB Completion and submission of draft of Labor and Demographic Profile Submission of a list of objectives for Profile and preliminary format Phone call to John Suggs (TDHR Fort Worth­ Financial Services Phone call to Chris Anderson (TDHR Fort Worth­ Financial Services) Identification ofcontacts and setting up of appoint­ ments for field trip to Fort Worth > I') 3: ... ~­ g_ ("') = ... !!: ... "' DATE OF ACTIVITY PARTICIPANTS 2/78 (same as above) 3/78 Cornish Sponberg Johnson (same as above) TABLE 1 (continued) TASK Trip to Fort Worth; meetings with Ralph Lewis (Tarrant County­Welfare Department), Roger Jones and John Weever (City of Fort Worth-Planning Department), P.D. Creer, Jr. (City of Fort Worth Senior Planner of Economic Development) Richard Sapp and Ed Domaracki (City of Fort Worth-CETA) Roy Lipson and Frank Bemis (Texas Employment Commission) William Thompson (Texas Rehabilitation Commission) Henry Chitsey (Tarrant County Junior College-Director of Vocational Education) Labor and Demographic Profile (same as above) --i =­ ~ "11 RESULTS a i:: '< l ~ Received information on housing from Weever; suggested contact with Ann Petrocelli (United ~ ~ Way of Fort Worth ::p Suggested contact with Fort Worth Chamber .2. of Commerce ~ n ... Reorganized and utilized data from population study of Fort Worth available at the Population Research Center, University of Texas at Austin Phone call to James West (TDHR-Financial Servi­ces) to discuss AFDC, Food Stamp, and Medicaid in Fort Worth area DATE OF ACTIVITY PARTICIPANTS 3/78 Cornish 4/78 Cornish Sponberg Johnson ....... "' TABLE I (continued) TASK Second trip to Fort Worth; meetings with Roger Jones and John Weever (City of Fort Worth Planning Department) Judy Cole (City of Fort Worth­Economic Development) E. Murdock (Fort Wotth Chamber of Commerce) R.M. Hazlewood (FHA-Fort Worth} Tom Holloway (North-Central Texas Council of Governments Ann Petrocelli (United Way of Fort Worth) Also contacted: Joyce Bills and Pat Stutts (TDHR Fort Worth-Purchased Services) Labor and Demographic Profile RESULTS Received information on housing conditions in Fort Worth and socioeconomic indicators Learned that wages in Fort Worth are about 8 percent lower than in Dallas Obtained housing information broken down into counties Obtained housing information by county, city, and metroplex Obtained maps and further information on public assistance in Fort Worth area Bills later mailed information on day care in Fort Worth area >n Submission of "Labor and Demographic Profile 3: of Tarrant County" ­ ~· ~ c. n ::s - !!: i; N ~ 0 ::r t'll TABLE 2 "!1 ... DESIGNING AN EFFECTIVE EVALUATION SYSTEM FOR THE FAMILY INDEPENDENCE PROJECT e DATE OF ACTIVITY 10/77 1/78 2/78 4/78 PARTICIPANTS Lodis Rhodes Charles Tesar Burgin Goldstein Friedholm Burgin Goldstein Friedholm Burgin Goldstein Friedholm Burgin Goldstein Friedholm Burgin Goldstein Friedholm '<= [ .g RESULTS ~ PRP assigned task of completing the evaluation section of the FIP g n Preliminary outline of the report on evaluation design .,,t'll .. l 0 Identification of the problems and conditions of the current welfare system and the goals and .... objectives of the FIP proposal Scenario of the potential actors and events involved in the implementation of the FIP in Fort Worth Completion of the first draft of "The Evaluation Design for the FIP Demonstration Project in Fort Worth, Texas" Submission of additions and further considerations for the evaluation design FIGURE 1 PROJECT GANTT CHART >n - 3: ii" ­[ (") 0 Final Editing and Preparation of Reports for Publication = - • n N I I I I -"' The Family Independence Project RESOURCE PERSONS: FEDERAL, ST ATE, AND LOCAL PUBLIC AND PRIVATE AGENCIES The persons listed in this section aided the research activities of the Welfare Reform Policy Research Project by providing members with valuable information and insight on welfare services and/or reform issues. The decision to include the list in the Project Report was carefully considered. Occupants of institutional positions change over time, and some of the information might be out of date by the time of publication. And with the inclusion of many names, some mistakes are inevitable. ORGANIZATION (federal government) Congress House of Representatives Department ofHealth, Education, and Welfare Office of the Secretary, Office of the Assistant Secretary for Planning and Evaluation NAME James Wright Representative, D.-Tex. Reginald Todd Administrative Assistant to Representative J.J. Pickle, D.·Tex. Gerald Britten Deputy Assistant Secretary for Program Systems Jim Parham Deputy Assistant Secretary for Human Development Services Anne Sobol Welfare Reform Task Force Michael Barth Office of Income Security Connie Downing Phyll~ Belford Ed Yates Office of Special Concerns ORGANIZATION Administration for Public Services Region VI Office Social Security Administration Department ofLabor Office ofthe Secretary Assistant Secretary for Policy, Evaluation, and Research Assistant Secretary for the Employ­ment and Training Administration Activities and Contacts NAME Ernie Osborne Commissioner Miko Suzuki Assistant to the Commissioner Eddie Beinice Johnson Region VI Administrator Richard Hargrove Austin District Manager Charles Knapp Assistant to the Secretary Jodie Allen Special Assistant to the Secretary JoAnne Hunter Assistant to the Special Assistant Alexis Hennan Director, Women's Bureau Arnold Packer Assistant Secretary Gary Reed Acting Director, Office of Income Maintenance Ray Uhalde Ernest Green Assistant Secretary Lucian Gatewood Assistant to the Assistant Secretary Robert J. McConnon Deputy Assistant Secretary The Family Independence Project ORGANIZATION Region VI Office Department ofHousing and Urban Development Federal Home Administration (state government) Minnesota Department ofEconomic Security Governor's Office State of Texas Texas Office ofState-Federal Relations Texas Department ofHuman Resources Financial Services NAME William B. Hewitt Administrator, Office of Policy, Evaluation, and Research Thomas Bruening Division of Experimental Research Bob Jones Office of Community Employment Programs Robert Anderson Office of Comprehensive Employment William Harris Regional Manpower Director Helen Kilgo Regional WIN Director *R.M. Hazelwood ·Jiin Dredge Work Equity Demonstration Project, St. Paul, Minnesota Howard Richie Texas Manpower Coordinator David Nesenholz Associate Director M.J. Raymond Chief *Fort Worth Office ORGANIZATION Special Projects ~I Data Processing Planning Bureau Purchased Services Deputy Commissioner for Financial and Social Programs Employment Services, CET A Liaison Fort Worth Regional Office Texas Employment Commission Activities and Contacts NAME **Diane Barton Malcolm McDonald *John Suggs *Chris Anderson *James West **Barbara Moore Pat Foy Watson Combs Dennis Zeller *Joyce Bills *Pat Stutts **Margaret Gregg Assistant to the Deputy Commissioner **John Lindell Clarence Cossey *Bill Farnsworth *J.B. Keith Administrator William H. Townsend Associate Administrator Wiley McDougold Chief of Special Programs *Frank Bemis *David Laurel *Sandra Smith *Charles Crockett *Roy Lipson *Fort Worth Office **TDHR Welfare Reform Task Force (Charles Tesar, Chairman) The Family Independence Project ORGANIZATION Texas Rehabilitation Commission (local government) City ofFort Worth Office of the Mayor Office of the City Manager Planning Department ·Economic Development CETA Tarrant County Junior College Financial Aids Vocational Education Tarrant County Welfare Department North-Central Texas Council ofGovernments (other local organizations) United Way ofFort Worth Fort Worth Chamber ofCommerce *Fort Worth Office NAME Max Arrell *William Thompson *John Phenaglio Hugh Parmer Mayor Vernell Sturns Assistant City Manager Roger Jones John Weever P.D. Creer, Jr. Senior Planner Judy Cole Richard Sapp Ed Domaracki Dave Garner Henry Chitsey Director Ralph Lewis Tom Holloway Ann Petrocelli E. Murdock PART II FUNCTIONAL ANALYSES OF SELECTED STATE ENTITIES Describes and analyzes the offical functions ofState entities that deliver or coordinate manpower services in Texas: The State Manpower Services Council, the Texas Education Agency, the Texas Department ofHuman Re­sources, the Texas Department ofCommunity Affairs, and the Texas Rehabili­tation Commission. These entities have a pivotal role in implementing the Family Independence Project. The section begins with a summary ofthe Com­prehensive Employment and Training Act. TIIE COMPREHENSIVE EMPWYMENT AND TRAINING ACT L ENABLING LEGISLATION Federal Statute: The Comprehensive Employment and Training Act of 1973 (CETA), P.L. 93-203 . Texas Statute: Executive Order of the Governor, May 1974 A. The purpose of this Act is to provide training, employment, and other services to the unemployed, the underemployed, and the economi­cally disadvantaged. The Act makes specific provisions for a decen­tralized system of administering services designed to develop unsub­sidized employment. Eight titles authorize a variety of activities and functions: Title /-establishes a nationwide program for comprehensive em­ployment and training services administered through units of general local government, termed prime sponsors. Prime sponsors receive direct funding from the Depart­ment of Labor. The area must contain a city or county of 100,000 or more in population. All areas not in a prime sponsorship become part of the Governor's Balance of State prime sponsorship. Another requirement for direct funding is the development and implementation of a plan for use of CET A funds upon entering the prime sponsor· ship. The Family Independence Project Title /I-provides for programs of transitional public service em· · ployment in areas with 6.5 percent unemployment for a period of over three months. Title /II-provides for nationally sponsored and supervised training and job placement progranis for specific target popula· tions, along with the authorization of research, demon· stration, and evaluation programs to be administered by the Secretary of tabor. · Title IV-consolidated within CETA and expanded the Job Corps; Title V-establishes a National Commission for Manpower Policy responsible for examining the manpower needs and mak· ing recommendations to the President, Congress, and all agencies involved in manpower programs. Title VJ-authorizes temporary emergency public service employ· ment to relieve the pressures of high unemployment. Title VII-contains the general provisions applicable to all the titles including definitions, labor standards, legal authority, and standards of conduct. · · Title VIII-authorizes demonstration projects for youth employment programs and establishes the Young Adult Conservation Corps. · B. Federal Responsibilities The Department of Labor (DOL) retains direct responsibility for program administration under Titles III, IV, and V. Under these titles, the Secretary of Labor has special responsibilities for certain popula· tion groups, i.e. American Indians, migrant and seasonal farm workers, youth, criminal offenders, older persons, and persons of limited Eng· lish-speaking ability. In addition, the Secretary is responsible for the Job Corps program, and for research, training, evaluation, and other services which are best carried on at the national level. DOL's role under Title I (comprehensive manpower services), II, and VI (public service employment) is limited to technical assistance, since state and local prime sponsors implement these programs. The Secretary makes funds available to state and local elected officials to provide labor market assistance services to the unemployed, under· employed, and economically disadvantaged people in their area of jurisdiction. In addition to funding these prime sponsor's programs, DOL is required to provide technical assistance and training to help elected officials achieve efficient manpower operations. Functional Analyses of Selected State Entities C. Funding Of the funds made available by DOL under CETA, at least 80 per­cent must be used for Title I programs, the remainder being divided among the other titles. The Title I money is divided into two parts­80 percent must go directly to grants to prime sponsors for compre­hensive manpower service programs, 5 percent for consortium incen­ tives (additional funds made available to units of local government . which join in consortium agreements to form a prime sponsorship), 5 percent for grants to governors for vocational education, another 4 percent to the governors for state program services, and the re­maining 6 percent reserved to the Secretary of Labor for discre­tionary purposes. Eighty percent of Title II funds and 90 percent of Title VI funds go directly to prime sponsors for local decisionmaking and implementation. Prime sponsors have the discretion of shifting funds within limits among title activities to meet their goal of placing persons in permanent, unsubsidized employment. II. SERVICES TO BE PROVIDED BY PROGRAMS Generally speaking, services provided under CET A can be broken into three categories (I) prime-sponsored-administered manpower ser­vices (including the manpower services mandated by Titles I and III, and the public service employment components of Titles II and VI ; (2) state manpower services (Title I, Section 106); and (3) supple­mental vocational education services provided by the state to prime sponsors (Title I, Section 112). A. Prime-Sponsor-Administered Manpower Services Prime sponsors have a great deal of freedom in determining the mix of manpower services offered under Title I, II, and VI programs and in choosing which organizations will conduct them. A prime sponsor is required by CET A regulations to make the placement of individuals in unsubsidized employment a program goal. However, the kinds of man­power programs offered-on-the-job training, classroom training, work experience, public service employment-and the variety of support services provided-outreach, orientation, child care, counseling, place­ment, legal aid, transportation-are selected by the prime sponsor after an analysis of the area's skill shortages, labor force character­istics, and manpower needs. There are no preassumed deliveries of manpower services under CETA. The State Employment Service was responsible under the Man­power Development and Training Act of 1962 for determining train­ The Family lndepeDdence Project ing needs, selecting trainees, paying allowances, and placing program graduates in jobs. Under CETA. it n\nst: oompete with other:igencies for prime sponsor funds to perform hse lelvices. Similarly, voca­tional education agencies are no longer"the · piesumptive training agencies they were under the Manpower Development and Training Act, and community action agencies are not necessarily outgrowths of manpower programs as they were under the Economic Opport\loity Act of 1964. CETA merely admonishes prime sponsors to utilize existing agencies when .. appropriate." Existing programs of demonstrated effectiveness in the community are given some measure of protection. However, CETA requires that each prime sponsor develop and submit to the Aaistant Regional Director for Employment and Training, a comprehensive manpower plan for Title I programs, and similar plans for Title II and VI pro­grams. The prime sponsor must be able to explain, in the submitted plan, the reason for selecting particular service delivery agents, and must justify why any existing facilities have not been used. B. State Manpower Seroices Under Section 106 of Title I, the state's governor is chatged with the responsibility of providing manpower programs which impact on all areas of the state. The governor typically uses the 4 percent of Title I funds earmarked for this purpose to fund a variety of state­wide manpower services provided by the state agencies. The state manpower services funded by the governor's grant include a number of coordinating functions. For example, the governor is required by Section 106 to see that state agencies' manpower programs are in tune with those of local prime sponsors and that the facilities and re­sources are shared where possible to prevent duplication. State man­power services money is also used to enforce the requirement that all CET A contractors and subcontractors list suitable employment open­ings with local offices of the public employment service. C. Supplemental Vocational Education Seroices Under Section 112 of Title I, the Governor is required to provide, through the State Board for Vocational Education, additional voca­tional educational services in areas served by prime sponsors. The governor decides how much of CETA vocational education funds (5 percent of Title I funds) to spend in each prime sponsor's area throughout the state. Training and services are then provided in each area by the Vocational Education Board under a nonfinancial agree­ment between the Board and the local prime sponsors. Functional Analyses of Selected State Entities III. ELIGIBILITY REQUIREMENTS CET A prime sponsors retain a great deal of freedom not only in determining what services to provide and who will provide them, but in deciding who will receive the services as well. The prime sponsors, with the advice of the manpower planning council (a body, required by CETA, whose members are appointed by the prime sponsor and should represent business, labor, the client community and other com­munity-based organizations, and the agencies responsible for man­power services), set the local eligibility requirements in a comprehen­sive manpower plan. CETA regulations stipulate that participants in Title I programs must be economically disadvantaged, unemployed, or underemployed, and they must reside in the area covered by the manpower plan. They need not be U.S. citizens. According to CETA regulations persons most in need of manpower services have priority. However, the prime sponsor has discretion to set priorities as to need, after analyzing local needs. CETA regulations encourage special attention to eligible Vietnam veterans or disabled veterans and persons with limited English-speak­ing ability. After cognizance of these special cases is taken, the prime sponsor is free to set relative priorities among the various racial, ethnic, or age groups in the community, and to decide whether first priority will go to the disadvantaged, the unemployed, or the under­employed_ If, however, regional CETA officials determine that the prime sponsor has maintained a pattern of discrimination or other­wise fails to serve equitably the disadvantaged, unemployed, or under­employed, DOL (after hearings and review) may withhold part or all of the prime sponsor's funds. IV. CURRENT SERVICES PROVIDED IN TEXAS CET A and related programs provide a wide range of services in . Texas, the vast majority of these services being provided by twenty­one local prime sponsors, and the Balance of State prime sponsor. Since the prime sponsor has nearly unlimited discretion in deciding what services to provide, who the service delivery agent will be, and client eligibility criteria, the actual services provided in Texas vary greatly from prime sponsor to prime sponsor. As these services do not lend themselves readily to a simple cataloging, no attempt has been made to list them here. Rather, a list of state agencies' roles and responsibilities under CET A is provided. The Family lndepeilden~e Prtiieet A. Texas Education Agency Under Section 112 of Title I,,the govenior is given a grant to pro. vide financial assistanee through the S~te·J~oard for Vocational Edu~ cation and needed voeational -ed'licitti.00.';iieriices· in areas -served by prime sponsors. The Te-xas Edueation Agency' sinves aS 'the :state Board for Vocational Education. The prime sponsors and the Texas Education Agency enter into nonfuiilncial agreements which 'detail vocational education services to be provided by· TEA in each prime sponsor's area. AsSistance is given to piirne sponsors in selecting and setting up nonfinancial agreements with public• or private training institutions. TEA is responsible for the approval and licensing of pri· vate schools; curriculum approval and teacher certification; program/ project approval; teacher trainin~and staff development; contracting, monitoring, and evaluation; reporting; and providing teclmical assis· tance through Section 112 funds. B. Texas Department ofCommunity Affairs The governor delegated the implementation ofCETA Section 106, (state services) to the Texas Department of Community Affairs (TOCA). Section 106 establishes a State Manpower Services program to .assist prime sponsors In implementing CETA, and to operate state programs to meet special statewide needs. Under Section 106. TOCA's role is to ensure the participation and cooperation of other state agencies in the implementation oflocal and state manpower plans. Section 103(e) funds are used by TOCA to: provide state agency services throughout the state, (2) promote special rural area programs, (3) develop information systems, (4) pro­vide technical assistance to prime sponsors, and (5) fund special model training and employment programs. TOCA was also designated by the governor to bear responsibility for the Balance of State prime sponsorship under CETA. For Texas, Balance of State consists of 161 counties not included in areas served by local prime sponsors. As prime sponsor for the Balance of State, TOCA prepares a com· prehensive plan for the entire area based on a composite of all regional plans developed by local planning authorities within areas of the Balance of State. TOCA reviews plans oflocal authority to ensure that regional plans meet local needs. TOCA contracts with region councils of government, community-based organizations, independent school districts, state agencies, and commissioners' courts for program delivery. Functional Analyses of Selected State Entities C. Texas Department ofHuman Resources The Texas Department of Human Resources (TDHR) serves all CETA areas. Its responsibilities include: (1) determining welfare status of CETA clients, (2) cross-referral of clients with CETA, and (3) facilitating CETA linkage with clients of WIN (Work Incentive) and AFDC (Aid to Families with Dependent Children) programs. Joint CET A/TDHR service to clients is common. TDHR provides the sup­portive services to CETA clients receiving training and placement. I D. Texas Rehabilitation Commission The Texas Rehabilitation Commission contracts with local prime sponsors to provide statewide training, vocational counseling, and placement services for the mentally retarded and physically disabled. ..., TITLE I ($94.2 M) To provide a comprehensive array of services to the disadvantaged, unem­ployed, and underemployed. Governor's Funds Prime Sponsor Funds $9.7 M $84.5 M 1% 5% 4% State Manpower Services Council To advise, coordinate, study, monitor & evalu­ate programs. Governor's Budget A Planning Office (GBPO)(Sec. 107) $788,218 Supplemental Voca­tional Education To provide prime spon­sor areas with voe. ed. services to supplement their Title I program. GBPO/Texas Education A1ency (Sec. 112) $4,926,360 State Services To coordinate and link state-provided services with those provided locally. Texas Department of Community Affairs (TDCA) (Sec. 106) $3,941,088 TITLE II ($I0.3 M) To provide public ser­vice employment to the unemployed in areas ex­periencing 6.5% or more unemployment rates. Prime Sponsor Funds only $10.3 M :::!11 21 local pr!'?e _ sponsors: cities, ~ counties & con­ \0 sortia. "" (Sec. 105) :::!!~alance of State .,.. (Governor/ ~ DCA) (Sec. .., 105) $8 .9 Local Primes Local Primes M $33.9 M $19.0 M $1.4 M Balance of State $9.l M-.-­Balance of State TITLE VI ($43.0 M) To provide emergency for public service employ­ment to all areas. Prime Sponsor Funds only $43.0 M Dl TITLE IV ($18.7 M) = '< ... To provide job = corps centers !;' with continued 'C n funding. = Q. ;n National Program n Account .. "ti n n ... ..r a. 3 Job Corps Centers for the Functional Analyses of Selected State Entities TABLE3 FY 1976 STATE TOTAL FUNDS-AND PERSONS SERVED Title I Prime Sponsors' Total !State Manpower Services Council State Services (Section 106) Supplemental Vocational Education (Section 112) Total, Tide I Comprehensive Manpower Services Title JI Total, Public Service Employment Programs Title ID Toc.J, Tide m Special Manpower Programs Title JV Toc.J, Job Corps Title VI Toc.J, Emeqency Public Employment Programs STATE TOTALS, ALL TITLES *Figure includes FY 1975 cany-<>ver funds. tAmount includes 5th quarter funding level Total Allocation $ 84,540,568t 788,218t 3,941,088t 4,926,36ot $ 942196,234 $ 10,343,686 $ 35,132,628 $ 1827002700 $42,991.915 $201,365,163 tJ'he 100 served are included in Prime Sponsors' Total §The 12,863 served are included in Prime Sponsors' Total. Sources: Department of Labor, Prime Sponsor reports. Total Accrued Persons Expenditures* Served $ 95,751,000 116,630 491,237 :j: 4,149,572 22 ,205 4,074,314 _§____ $104,466,123 138,835 $ 18,006,391 11,899 $ 48,375,902 80,013 $ 24,253,060 4,476 $54,193,144 20,275 $249,294,620 255 ,498 The Family Independence Project TEXAS STATE MANPOWER SERVIC~ <;OUNqL I. ENABLING LEGISLATION Texas Statute: Executive Order of the Governor May 1974 Federal Statute: Comprehensive Employment and Training Act of 1973, P.L. 93-203, Title I II. FUNCTIONS The State Manpower Services Council has three major functions. One is to review the plans of prime sponsors and state .agen£ies for the provi-· sion of manpower services. Another function is to monitor manpower operations in Texas. The third function is to conduct studies and issue reports and documents on the findings of those studies. The.Council recommends to the governor, state agencies, prime sponsors, and tile general public, ways of improving the overall manpower program. In addition, it is charged by the governor to be the primary mechanism for coordination and sup~ of manpower activities for the state. The Council provides a forum for exchanging information, for developing new methods and linkages for service delivery, and for expressing a common position on pr~and legislation. .,., , ID. ORGANIZATIONAL S11UJC'IURE A. Governing Board-:the State Manpower Services Council is self­govenied, and its stIUcture is mandated by CETA. I. Composition: a) representatives of the twenty-two prime sponsors in Texas b) two representatives of the general public c) one representative of business and industry d) . representatives of six Texas State Agencies: Commissioner of the Texas Education Agency Commissioner of the Texas Industrial Commission Commissioner of the Texas Employment Commission Executive Director of the Texas Department of Com­ munity Affairs Commissioner of the Texas Department of Human Resources Member of the Texas Advisory Council on Technical­ V ocational Education e) one representative of organized labor t) six representatives of the Community Based Organizations and Clients Functional Analyses of Selected State Entities 2. Method of Selection: Members are appointed by the governor according to the di­rectives of the federal legislation. 3. Term of Office: Members serve at the pleasure of the Council. 4. Chief Administrator: Chairman of the Council. B_ Divisions l. Plans and Coordination Committee 2. Review Committee 3. Special Projects Committee C. -Divisions Responsible for Delivery of Welfare Services: 1. Plans and Coordination Committee-focuses on state level planning activities. It reviews the State Services plan and other state agency plans. It also directs the Supplemental Vocational Education Plan, the SMSC work plan, and the Annual Manpower Report to the Governor. It assists the Coun­cil in its efforts to coordinate state programs and to impact federal manpower-related legislation. 2. Review Committee-analyzes manpower service delivery throughout Texas. The committee examines state delivery linkages among state funded and locally funded manpower programs funded by contiguous areas. The Council staff per­forms fact-finding monitoring on programs funded through local prime sponsors, State Services, Supplemental Vocational Education, and state agencies. This committee recommends action for improving service delivery based upon its monitor­ing activities. 3. Special Projects Committee-implements its charge of effec­tively utilizing the special projects funds of the Council, and of increasing the coordination between CET A Title III Special Target Group nationally funded programs, and Title I prime sponsor programs. The Committee selects and administers studies and projects that are directed toward CET A purposes and that benefit the state as a whole. V- MANPOWER AND BUDGET The State Manpower Services Council is staffed by the Governor's Bud­get and Planning Office, Manpower Division. The Family Independence Project TEXAS EDUCATION AGENCY I. ENABLING LEGISLATION Texas Statute: 11.01 of the Texas Education Code, 1969 (Originally Article 2654-1, 1949) Federal Statute: N/ A II. FUNCTIONS The agency administers state education policy and is responsible for public school education (kindergarten through the twelfth grade), occu­pational training (post-secondary institutions), and certain programs for out-of-school youths and adults. Part of TEA's responsibility is financ­ing public education with state funds allocated to local school districts in the form of: (1) per capita aid, and (2) payments from the Minimum Foundation School Program. TEA is also charged with the handling and disbursement of federal education funds. In addition, the Age!1CY adapts standards for accreditation of elementary and secondary schools. Lastly, TEA advises and counsels school officers of counties, cities, towns, and school districts concerning the administration of pub­lic schools and improvement of educational (instructional) methods. III. ORGANIZATIONAL STRUC1URE A. Governing Board-State Board of Education I. Composition: Twenty-six board members 2. Method of Selection: Board members are elected from each congressional district, with no more than one board member per district. 3. Term of Office: Members serve six-year, overlapping terms. 4. Chief Administrator: Commissioner of Education B. Divisions I. State Board of Education 2. Commissioner of Education 3. State Department of Education C. Division Responsible for Delivery of Welfare Services The State Board of Education administers adult education, CETA, supplemental vocational education, and some veterans education programs. IV. MANPOWER AND BUDGET The Texas Education Agency has a staff of over 1300 persons in thirty­two offices, with an estimated budget of over $2 million in 1977-78. Functional Analyses of Selected State Entities TEXAS DEPARTMENT OF HUMAN RESOURCES I. ENABLING LEGISLATION Texas Statute: Article 695c, Section 2, 1939 Federal Statute: N/A II. FUNCTIONS The Texlls Department of Human Resources administers financial and medical assistance programs, social service support programs, state level distribution of Food Stamps and commodities, and social security coverage of state and local government employees. The categories of financial assistance programs provided by TDHR consist of: (I) Aid to Families with Dependent Children, (2) Old Age Assistance, (3) Aid to the Permanently and Totally Disabled, and (4) Aid to the Blind. TDHR sets eligibility standards and criteria within the limitations of constitutional and statutory guidelines. Funding for these programs is derived from state and federal sources, with approximately 75 percent of the total categorical assistance funds supplied from fed­eral matching fund formulas. The Department is responsible for administering the Medical Assis­tance program (Medicaid). This program primarily serv.es persons eligible for the four categories of financial assistance. The state determines eligibility, services to be provided, and the manner in which the pro­gram will operate. Medicaid is largely financed with matching federal funds on a schedule which provides for decreasing the federal matching ratio. Social services provided through TDHR include programs for child protection, foster and day care, adoption, licensing day care facilities, family planning, and counseling, and a wide range of assistance services for the disabled and aged. In addition, the Department works with the Texas Employment Commission in aiding AFDC recipients in training and job search, and employment through the Work Incentive Program (WIN). Food assistance for low-income families under TDHR include the U.S. Department of Agriculture Commodity Distribution program and the Food Stamp program. The administration of the Food Stamp pro­gram is financed with county and federal matching funds. TDHR also administers the Federal Old Age and Survivors Insurance program for social security coverage for public employees. Depart­mental responsibilities include the collection and transmittal of volun­tary employee and employer contributions. Administrative costs are covered by collected fees and small state appropriations. The Family Independence Project III. ORGANIZATIONAL STRUCTURE A. Governing Board-Board of Human Resources 1. Composition: Three Board members who have demonstrated an interest in and knowledge of public welfare and who have executive or administrative experience. 2. Method of Selection: Board . members are appointed by the governor with consent by the Texas Senate. 3. Term of Office: Members serve six-year, overlapping terms. 4. Chief Administrator: The Commissioner of Human Resources is appointed by the Board with the consent of the Texas Senate. B. Divisions 1. Board of Human Resources 2. Commissioner of Human Resources 3. Deputy Commissioner for Information Systems 4. Deputy Commissioner for Management Services 5. Deputy Commissioner for Operations 6. Deputy CommisSioner for Financial and Social Programs 7. Deputy Commissioner for Medical Programs 8. Regional Offices The Commissioner is responsible for direction, coordination, and control of departmental programs and operations. General admin­istration and management functions {including planning, research, personnel management, and statistical control) are handled in the centralized state office. TDHR has 488 branch offices in 375 cities and towns. C. Divisions Responsible for Delivery of Welfare Services 1. Financial Services Branch: administers and distributes cash payments for ARDC, WIN, and Food Stamp programs. 2. Social Services Branch: contracts with public and private organizations for day care services for AFDC recipients. IV. MANPOWER AND BUDGET The Texas Department of Human Resources has over 14,000 employees, and an estimated budget of $1.6 billion in 1977-78. Functional Analyses of Selected State Entities TEXAS DEPARTMENT OF COMMUNITY AFFAIRS I. ENABLING LEGISLATION Texas Statute: Article 4413, 1971 Federal Statute: N/A II. FUNCTIONS The Department assists the governor and the legislature in coordinating federal and state programs affecting local governments and in inform­ing state officials and the public about the needs oflocal governments. Specifically, TOCA assists local governments by alleviating their fman­Cial; social, and environmental burdens through budgetary planning, grant procurement, and other technical assistance. III. ORGANIZATIONAL STRUCTURE A. Governing Board-TOCA Advisory Council 1. Composition: Twelve advisers 2. Method of Selection: Advisers are appointed by the governor with the advice and consent of the Texas Senate. 3. Term of Office: Advisory Council members serve two-year terms. 4. Chief Administrator: Executive Director appointed by the governor, to serve at his pleasure. B. Divisions 1. Human Resources Branch 2. C_ommunity Development Branch C. Divisions Responsible for Delivery of Welfare Services The Human Resource Branch assists local governments in the han­dling ofearly childhood development, manpower, poverty {through TOEO), youth training, education, and job placement programs. IV. MANPOWER AND BUDGET The Texas Department of Community Affairs has a staff of 255 per­sons, with an estimated budget of over $60 million in 1977-78. The Family Independence Project TEXAS REHABILITATION COMMISSION I. ENABLING LEGISLATION Texas Statute: Article 2675L, 1 %9 Federal Statute: N/A II. FUNCTIONS The Commission's objective is to rehabilitate handicapped and disabled individuals so they may engage in meaningful occupations and develop a maximum of personal independence. It assists in the construction of rehabilitation facilities and workshops, and the establishment of small businesses operated by severely handicapped individuals. It also deter­mines the eligibility of physically and mentally handicapped persons for training programs, and provides support services before and after rehabilitation programs. The Commission provides counseling and guid­ance to the handicapped involved in training programs or hospitalized. III. ORGANIZATIONAL STRUCTIJRE A. Governing Board-Board of Commissioners 1. Composition: Six commissione.rs 2. Method of Selection: Commissioners are appointed by the governor and must be citizens of Texas. 3. Term of Office: Commissioners serve six-year, overlapping terms. 4. Chief Administrator: A commissioner appointed by Board members to serve at their pleasure. B. Divisions 1. Severely Disabled 2. Disability Determination 3. Employment Resources C. Divisions Responsible for Delivery ofWelfare Services 1. Severely Disabled: handles rehabilitation programs 2. Disability Determination: processes applications and pays Social Security Disability Insurance and Supplemental Secur­ity Income payments 3. Employment Resources: assists fieid personnel in finding em­ployment for clients N. MANPOWER AND BUDGET The Texas Rehabilitation Commission has over 1800 employees, and has an estimated budget of over $73 million in 1977-78. PART III DESIGNING AN EFFECTIVE EVALUATION SYSTEM FOR THE FAMILY INDEPENDENCE PROJECT The following report outlines issues which are critical in developing a com­prehensive arid practical evaluation design for testing the Family Indepen­dence Project in the Greater Fort Worth area. The section on "Conceptual considerations" discusses the broader research and policy decisions affecting the implementation and actual evaluation of the proposed project. The other section, "Evaluating the FIP, "describes in detail an evaluation system for the Family Independence Project that includes specific project goal and objective statements and a prefe"ed evaluation design with alternative approaches. CONCEPTUAL CONSIDERATIONS The-purpose of evaluating the Family Independence Project is to deter­mine the success of a coordinated service delivery system in fostering "family •independence." In general, an evaluation should measure the effects of the program in three ways: (1) compare the effectiveness of the coordinated sys­tem to that of the present system; (2) assess the extent of the new system in achieving specific objectives (i.e., improved skills) with specific groups of clients; and (3) identify the most successful components of the program (i.e., intake and diagnosis, private sector employment). Ideally, the evaluation de­sign for the FIP should determine not only if clients are better served, but also how and why they are or are not. Goals and Objectives Sound program evaluation rests on carefully formulated goals and objec­tives which then serve as the foundation for all subsequent evaluation design decisions. The goals of the FIP are both service, measured by impact on clientele, and operational or service delivery, as measured by organizational and administrative efficiency. Service and operational goals should state the ideal outcomes and accomplishments rather than proposed activities. In addi~ tion, considering the possible consequences of the program requires stating goals so that the subsequent program objectives can be causally related to specific program activities and-expected outcomes. The FIP's goals should be formulated to include performance of the system, its effect on clients, and behavioral and attitudinal outcomes. They should be practical and useable in light of constraints on the project, ranked by their relative importance, analyzed for possible incompatibilities, and include both short-and long­term ' desired outcomes. Furthermore, establishing goals and objectives must The Family Independence Project allow for unanticipated or "sleeper" effects. Examples of unanticipated effects include increased unrest or disillusionment due to the creation of un­realistically high expectations; and possible job displacement of poorly trained nonclients by the newly trained clients. Establishing program goals and objectives should be performed jointly by agency officials responsible for the project and those responsible for evaluat­ing the program. This procedure limits potential disagreement between spon­soring agencies as to the true intent of the program and guarantees that the goals of the FIP meet evaluation requirements. Also, early formulation of goals and objectives aids project planning by serving as a framework for deci­sionmaking and establishing the relative importance of program activities. The process should result in a set of working goals and objectives that are the basis for program implementation and evaluation. Once goals are selected, a set of measurable objectives relating to each goal should be specified. The objectives must state a specific target for achieve­ment within a specified time span, representing an interim step towards the goal. There should be at least one objective for each program component. The objectives should measure quantitative or "soft" consequences (i.e., self-esteem) and behavioral consequences. Unless the objectives are stated in measurable terms they will be useless to evaluators. Each objective should include the specific variables the program is designed to effect. Thus, program variables should measure the actual services delivered and their effect on clients as defined by data inputs such as staffmg, size, administrative meth­ods, and management, and by client characteristics such as age, race, sex, and socioeconomic status. Establishing program variables is essential in assessing possible relationships between objectives and outcomes. Besides program vari­ables, intervening variables (based on assumptions of causality) should be in­cluded. One type of intervening variable is program operation, which measures the extent of coordination, costs, frequency of client exposure to personnel, and other factors. Another might be the length of time between skill attainment and obtaining a job, reflecting an assumed relationship be­tween skill level and job placement. The usual problems involved in selecting objectives are that they are too vague, unmeasurable, and ignore the impor­tant variables affecting program outcomes. Early attention to the preceding factors can lessen some of these problems. Measures, Variables, and Standards Defining and measuring whether social action programs like the FIP achieve their goals is easier said than done, and requires overcoming some significant problems. Commission of the "ecological fallacy," i.e., the making of assertions about one program component based upon the evaluation of another (or independent variable), can lead to invalid conclusions. This can be Designing an Effective Evaluation System for the FIP avoided by accounting for all possible variables which could affect the specific objective and matching the measures to these variables in the objec­tive. Ambiguous objectives, such as improved "self-esteem" or "quality of life," must be assessed by using devices such as social indicators and other data obtained from personal interviews or questionnaires. Using multiple measures also increases the reliability and validity of evaluation results. These measures must be determined in the planning stages and built into the system design in order to assure that necessary information will be generated throughout the project. The goals and objectives of the Family Independence Project should: (1) measure programmatic (administrative) aspects of the project, and (2) fully detail objectives in order to measure components of the program as well as their effects. Objectives should address such factors as intake and diag­nosis, cash assistance, caseworker/client relationships, training and education, job placement, recidivism, and availability of social services (e.g., day care and transportation), in addition to objectives concerning clients' incomes, atti­tudes, and self-sufficiency. The following illustrates an ideal set of goals and objectives: Assistance to Families in Obtaining Employment or Job Training Problem Description: Lack of training or employment opportunities, or personal and family problems preventing family members from taking advantage of available training, or employment impedes the family's economic self-sufficiency. Goal Statement: Elimination of barriers that impede family's attempts to provide for material needs through employment. Objective Statements: • To reduce the rate of clients who fail to complete a job training pro­gram. • To increase the rate of client family members who gain income through employment. • To reduce the rate of days of training or employment lost due to family problems. The Family Independence Project • To increase the rate of employable clients who enroll in a job training program.* Goals and objectives such as these must be developed for the three main goals of the FIP: (1) family independence, (2) coordinated service delivery, and (3) cost containment. A special point in considering cost evaluations is that such data must be discounted over the span of the project. Furthermore, accountants for the project must be aware of potential biases stemming from decisions relating to fixed and variable costs, inclusion or exclusion of ex­ penditures, transfer payments, and start-up versus implementation costs. Consultations with evaluators would help avoid intrusion of potential biases in results due to these factors. Finally, in establishing goals and objectives and developing measures dur­ ing the project's planning stages, agency officials and evaluators should agree on the effecti\eness/efficiency standards against which the measures will be evaluated. Realistic ratios, percentages, and social indicators would serve as a set of initial minimal standards for achievement and would clarify what ad­ ministrators will use to determine "success" versus no change or failure. If careful attention is given to these factors in the planning stages by a coordinated administrative and evaluative team, the reliability of evaluation results can be assured. Eligibility Requirements -Waivers Another area of concern relating to evaluation and project implementation is securing the necessary waivers of agency jurisdiction and eligibility require­ ments. The waiver is an essential factor if the goal of coordinated, compre­ hensive services for the needy is to be fulfilled. Therefore, the specific pro­ cedures for securing proper waivers must be developed at the earliest possible point in the preplanning phase of the project. Several questions and potential problems are anticipated. First, determina­ tion must be made as to the specific waivers which will be necessary. Second, 'what are the precedents, both in state and federal bureaucracies, for waivers of program eligibility requirements and jurisdictional changes between agen­cies? Also, what are the legal constraints to securing such waivers? The latter question includes legislative specifications and federal and state agency regu­lations. Third, the waiver procedure could be quite complex because of various funding sources and eligibility requirements (per program) used by agencies involved in the project. Fourth, what levels of agencies (federal, state, or local) are needed for clearance? What person(s) and/or departments *Peat, Marwick, Mitchell & Co. (1971) Evaluating Social Services (Austin, Texas: Texas Department of Public Welfare), pp. iv-27. Designing an Effective Evaluation System for the FIP within agencies will be responsible for waiver approvals? Fifth, what par­ticipating agency will be responsible for this aspect of the project? Pre­sumably; TDHR or the "managing" unit will have this responsibility. Finally, are participating agencies aware of this component of the project and the pomble implications for tJieir individual "turfs"? Potential Programmatic Changes After Implementation The potential formative changes in the project or the project environment pose significant difficulties for meaningful and rigorous evaluation. A well­known example of this problem is the New Jersey Negative Income Tax Ex­periment in which programmatic and environmental changes occurred during the project which necessitated adaptation of the evaluation results. The ob­vious problem resulting from changes in the program and/or environment is that the data and subsequent conclusions may be invalid or misrepresenta­tional. Therefore, the project designers and evaluators should anticipate and be prepared to deal with evaluation problems stemming from changes in the clientele, community conditions (economic and social), authorization or appropriations, top project management personnel, and generally, the "political winds." This is especially important for the Family Independence Project due to the numerous agencies, private businesses, and key persons involved. There are several alternative approaches to this problem. One is to have the evaluators control all aspects of the project. However, this solution ignores environmental changes and political feasibility. Nonetheless, the evaluators should participate in the project from the beginning, initially assisting in the definition of concepts, goals, and objectives, and continuously monitoring the program so that the evaluation allows for any changes which might occur. A second alternative is to change from a goal-oriented evaluation to an analysis of the implementation process. Should drastic changes occur, this approach would be useful for analyzing exactly what changes took place and why these changes occurred. However, this alternative ignores impact on the clientele evaluation. Maintaining a dynamic evaluation procedure which reflects changes by continuous measurement and adjustment would be the best alternative for optimal adaptation of the evaluation to unanticipated changes. This would in­clude frequent periodic measures (approximately every three or four months) of the program. The program administrators should, whenever possible, make any programmatic changes on specific start-up and ending dates. This would allow evaluators to analyze the effects on clients by their participation in each stage and provide more concise record keeping of each phase. In addi­tion, special evaluations of one or more of these phases could be used for The Family Independence Project comparison with the final project results. Finally, a regular chronology of the environmental· and/or external events which could affect the project results should be maintained. This chronology could then be used for comparison of the periodic results, especially if the evaluation design is non-or quasi-experi­mental, since neither of these designs controls for external events. The ENluation Design Of considerable importance to any evaluation is the selection of the evaluation design. The basic differences in evaluation designs revolve around how and to what extent they allow reliable and valid comparisons demon­strating the effects of a program or project. The design should allow the evaluator to attribute effects of a project to the project itself, rather than to other factors. Designs typically vary considerably in the ability to isolate the effects of a project. In general, there is an inverse relationship between the rigor of a design and the feasibility of using it, especially in the evaluation of social action programs, such as the Family Independence Project. The follow­ing are four types of designs, listing the advantages and disadvantages of each as well as their relative feasibility. Descriptive evaluation design: Evaluations falling into this class are gen­erally "soft," in that they lack scientific rigor. They typically involve descrip­tions and accounts of the operation of a project and often serve as a basis for modifications of its conduct. To that extent, they are of some value to those persons administering the project. Additionally, the costs of such evaluations are minimal. The descriptive evaluation design does not, however, assess the impact or effectiveness of a project on persons served, and thus is the least preferred design type. Non-experimental design: This type of design is perhaps the dominant type used in social program and project evaluation. Usually, the nonexperi­mental design employs a longitudinal or before-after comparison of one group only, the group to which the project is administered. Testing is undertaken prior to the initiation of the project and then again at some point or points after the project is underway. Comparisons are then made, and changes found are considered to be attributable to the project. The advantages of this design are its relative ease in administering and the fact that it allows the pro­ject to be administered to all eligible participants. In this type of design, the project is not withheld from any eligible persons as it might be under either an experimental or quasi-experimental design. Because social action projects such as the FIP are difficult to withhold from any eligible for both ethical and political reasons, this type of design is frequently employed in these types of projects. However, nonexperimental evaluations lack any type of control, and thus, there is no assurance that the observed effects found after the administration of the project are in fact results of the project. The most Desilning an Effective Evaluation System for the FIP conunon and plausible explanation of any observed changes is that of history or events external to the project over whi~h $e evaluator has no control. Re­sulting changes in employability, income, or attitudes, which might possibly be observed after the implementation of the FIP, could be attnlmted not only to the project, but ~o external sources or events as well. For these rea­sons, the use of this type of evaluation design is not advocated for the FIP. Quasi-experimental degjgn: The essential difference between this type of design and "true" experimental designs is the manner in which participants are assigned to control and treatment groups. Quasi-experimental designs do not assign project participants to control and treatment groups in a random fashion. The most common reason for not randomly assigning participants is ethical: can the delivery of services be withheld from certain individuals while administered _to others? To alleviate randomization and control gro_ups prob­lems, most quasi-experimental evaluation designs employ a nonequivalent · comparison group design, in which a group as similar to those to whom the project is administered is used as a control group. Individuals within similar groups are matched on the basis of predetermined characteristics. This type of design entails locating a comparison group and matching it as closely as possible with a FIP-participant group. A sample of each group would be tested before the FIP is implemented, and then at some point or points later after project implementation. Differences between the groups, as mea­sured by tests conducted after FIP implementation, could the presumably be attributed to the project . . The · basic advantage of this design is that it allows the use of a control group while not denying the treatment or project to any eligible participants. H, however, the comparison group is not entirely like the program group, problems may arise as to the proper interpretation of evaluation results. A requirement for this type of evaluation design is that the utmost care be taken in the selection of a comparison group. While the use of the quasi­experimental design may be appropriate when an experimental design is not possible, it should be regarded only an an alternative evaluation system for the FIP. Another type of quasi-experimeqtal design which could be useful in evaluating the FIP is the separate sample pre-test/post-test design. This design is most appropriate when groups cannot be randomized for the purpose of differential treatment. It randomly assigns participants into two subgroups, one of which is tested prior to project implementation and the other after it has been implemented. In the case of the Family Independence Project, participants would be randomly assigned to two subgroups. A sample of the first subgroups would be tested before the project began, and a sample of the second subgroup would be subject to testing after project implementation. The first group would still participate in the project; it would not, however, The Family Independence Project be tested after participation in the project, as it would in an ordinary before­after design. A comparison of results is then made between the first and second groups' tests. The main advantage of this design is that it allows the researcher some measure of control over comparison groups while permitting maximum participation in the project. Its main weakness is its failure to control for his­tory, or events, or conditions external to the project occurring between the pre-test and the post-test. It may, nonetheless, prove to be an acceptable de­sign, but should be used only if control group comparisons cannot be made or the use of an experimental design is precluded. Experimental design: Because this is the most rigorous type of design, it generally is the least widely applied, especially in evaluating broad-aimed social programs such as the FIP. Experimental designs measure the effects of a project by comparing control and treatment groups. ''True" experiments require that the participants be assigned in a strictly random fashion to con" trol (non-project) and treatment (project) groups. Common variations of the experimental design are the pre-test-post-test control group design and the post-test only control group design. The first of these is the classic laboratory experiment in which participants are ran­domly assigned into two groups and given a pre-test; the treatment group is then subjected to the project while the control group is not. Both groups (or samples thereof) are then given a post-test at a point, or points sometime after the project is implemented. The observed effects of the project should be the differences in the control and treatment groups as measured by the post-tests. The most common weakness of other designs, that of history, is removed. Randomization into subgroups controls for history insofar as gen­eral events that might have produced changes in the treatment group would also produce changes in the control group. Another type of experimental design is the post-test only control group design. like the classic laboratory experiment discussed above, the partici­pants are randomly assigned to project and nonproject groups. The only difference between these two types of experimental designs is that the post­test only design involves no pre-test. Samples of randomly assigned persons are taken and tested after the implementation of the project. Differences found between the control and treatment groups can then be attributed to the project. The pre-test is not essential in achieving control in the experi­mental design; the randomization process is the best assurance that the con­trol and treatment groups are as "equal" as possible. The problems of using an experimental design in the evaluation of a broad social program such as the Family Independence Project are substantial. They center around the randomization of participants and the use ofa control group · and involve questions of ethics, politics, and administration. The use of the so Designing an Effective EvaluatiQn System for the FIP true experimental design involves important ethical considerations. The most basic issue is whether or not the project can be administered to some eligible participants and not to others. Even if the control group has no prior knowl­edge of the "experiment," they might find out about it later and wish to participate. An additional. consideration that can have practical ramifications in the operation of the design is the use of the family as the program's focal point. Randomization would have to be by family unit in order to adhere to the concepts of the project; the existence of extended families in the poverty sector increases the possibility of interaction between control and treatment groups, which might taint evaluation findings. Similarly, another important factor is the reaction of public officials and the media to an experiment of this nature. For example, what happens if a constituent feels that he/she is not being treated fairly because he/she is a member of the control group and complains to a legislator? The official's likely response would be to try to rectify the perceived mistreatment, not taking into consideration the fact that the project has implications beyond those of the individual in question. Also, the media may seize upon the idea of a social experiment; ifnot fully understanding the project, it might damage the results. Beyond these political and ethical considerations, there would be practical, day-to-day problems in the administration of what amounts to two separate programs. The FIP's administrative approach dictates coordination and co­operation among the various agencies involved; the current system, which the control group would presumably remain under, is fragmented and dispersed. Can the two systems be administered simultaneously, and what will be the costs in terms of time, money, and personnel? Even the use of sampling techniques in the process of randomization, which would alleviate control/experimental-group conflict, is no panacea. Randomization still requires that some eligible participants be treated dif­ferently. The problem would not disappear; sampling only reduces and de­intensifies differential treatment issues. Despite the problems and ramifications involved in using an experimental design in the Family Independence Project's evaluation process, the post-test only control group design is the best design choice. The following reasons justify this recommendation: l. Because most social program/project evaluations in the past have not shown many highly valued benefits resulting from the programs/pro­jects, the value of the information gained from using a control group approach would be higher than the potential loss of benefits. 2. If the value of the project is found to be high, it would be more readily acceptable to decisionmakers and policy-shapers ifevidence used as the basis of claim of value is objective in nature. The Family Independence Project 3. The long-term benefits of similar and effective treatments and projects would outweigh potential losses inherent in withholding treatment to a few people in the short-run. 4. True experiments would require policymakers to approach a design of this nature in a more rational and comprehensive manner, pennitting thorough testing before major decisions are made. 5. The post-test only design would not require extensive pre-testing and thus allow the evaluation team moi:e time and resources to develop a solid and rigorous post-test. Additio7111l Concerns Additional considerations in formulating an evaluation process deal with timing, funding, users of the evaluation results, selection of evaluators, and data-gathering techniques to be used. The following sections address each of these considerations. Timing . Ideally, evaluation should be undertaken at a time far enough removed from project implementation to allow the treatment to take effect, yet close enough to the implementation period to mitigate any disturbance external to the proje<;t. fu a project as comprehensive as the FIP, the question of timing is most important. Because the project's impact will tend to be cumulative, great care should be taken in order to ensure that changes can be observed at appropriate times. An evaluation process of three to five years in length, con­ducted at regular three to four month intervals, and that begins three months after the project is implemented, is therefore recommended. Funding The question of funding is problematic. Funding can restrict the scope of the evaluation; without an ample budget, a comprehensive evaluation would be impossible. The level of funding determines, to a great extent, the type of design that can be used, what information can be obtained, and who performs the evaluation. Ideally, in a pilot project, financing should be sufficient to permit a rigorous if not comprehensive evaluation. fusufficient funding for project evaluation may hamper the large-scale application of new efforts, and defeat the purposes of the pilot program. The source of funds used in the evaluation effort is also important. Funds obtained from various sources may have different stipulations as to their use, and funding from other sources (e.g. state-level) may be difficult to obtain. Users Identifying the potential users of evaluation information is difficult. It is necessary to take into account the fact that the project is a pilot program, Designing an Effective Evaluation System for the FIP and the findings which emerge from the evaluation process will have value, both in real and theoretical terms, to many groups. These include participat­ing state agencies, project administrators, legislative entities, local public offi­cials, clients, businesses, and the Departments of Labor and Health, Educa­tion and Welfare. Ideally, the evaluation should serve all its potential users, but the realities of conflicting values and views indicate that it cannot serve all its various audiences in the same manner. Responsibility for evaluation comprises another issue. It is important that the evaluation team not be re­quired to produce findings which coincide with those advocated by the man­aging unit. The evaluation should be as objective as possible, and findings should be disseminated to all interested parties for their particular interpreta­tions and uses. Evaluators Decisions on the question of who should perform the evaluation basically revolve around whether or not the evaluation should be in-house or independ­ent. The advantages of an in-house evaluation are: (I) problems stemming from the need to learn about the project and acceptance by project staff are reduced; (2) the evaluation can be carried out without upsetting project operations; and (3) the goals and objectives of the project and the evaluation would be presumably the same. The disadvantages of using an in-house evaluation team include: (1) an in-house evaluation might bias findings; and (2) other organizational roles of the evaluator might inhibit the evaluation and/or prevent or delay its completion. The advantages of usirig an outside evaluator include: (I) he/she is more likely to be objective during the process due to lack of involvement in the project's organization; (2) he/she is more likely to be viewed as an evaluation expert by both the audience and project staff; and (3) findings and recom­mendations might be viewed as more useful than those from an in-house evaluation. The disadvantages of using an outside evaluator are: (I) the evaluator is less likely to be familiar with the project and thus would have to familiarize himself with the project, using up v3.luable time and other re­sources; and (2) project staff might feel threatened and not fully cooperate with the evaluator. Despite drawbacks involved, the FIP should employ an outside evaluation team and allow it access to the planning stages of the project. Full coopera­tion of the project's personnel is a necessity, and the project's administrator should stress cooperation. An in-house evaluation should be used only to monitor the project's daily operations, and any changes noted by in-house evaluators should be passed on to the outside evaluator. The Family Independence. Project Tools Evaluation tools should reflect evaluation, design. A rigorous design re­quires the use of multiple techitiques. These include: (1) sophisticated and properly designed questionnaires; (2) extensive interviews to supplement in­formation provided by questionnaires; and (3) statistical analytic tools such as cost-benefit analysis, cost~ffectiveness, regression, factor analysis, and time-series analysis. Data for the Evaluation Regardless of methodology ultimately used, it is essential that it generate and collect all the data needed for the program evaluation during the course of the project. This perspective keeps the overall goals and objectives of the project in focus during all stages of planning and implementation. The great­est advantage of advance consideration of information needs is its ability to hold down the financial, manpower, and time costs of the evaluation. It avoids potentially futile attempts to transform disparate or nonexistent infor-­mation into useful data for evaluation. The entire evaluation process is easier if data needs are incorporated in the project's management information sys­tem from the very beginning. In making arrangements for developing the evaluation data base, it is de­sirable that information coordination be achieved. This is in accordance with . the project goal of administrative coordination. Under the current system of uncoordinated service delivery, each agency maintains its own data on clients. Even within a single agency, separate sets of financial and social records are maintained for each client. Since each agency has different functions, some information is currently regarded as relevant for only one purpose. However, each agency needs the same set of basic background material on clients. Where agency functions and information needs overlap, it is a wasetful dupli­cation for every agency. In addition, while distinct agency functions exist, it is the intent of the Family Independence Project to coordinate the entire range of client needs at all stages of service delivery. A shared, comprehensive client information system will serve all these. program needs. A possible method of achieving information coordination is through the use of a single master set of forms by each participating agency, the centrali­zation of records, perhaps through use of computers. The compilation of comprehensive data in the master set of forms would begin at the intake pro­cess stage, and as the client passed through each stage of need determination and service delivery, new information would be added to the master file. Rec­ords could then be stored in a centralized computer data bank. Access to a client's file would be available, but would be limited to agency personnel who have programmatic relationships with the client and with the project evalua­tors. Designing an Effective Evaluation System for the FIP The coordination of cJent information will also greatly benefit the project evaluation procedures. The evaluators, as well as service deliverers, need to start with the same set of background information on the clients. Much addi­ tional data, such as the results of interviews and survey questionnaires con­ ducted by the evaluators., will not be directly. relevant or useful to specific program functioning. This additional information could easily be combined with program client profiles where necessary or desired, and access to this evaluation data could be controlled separately. The design of the actual master document should be developed in a cooperative effort between project planners, evaluators, and service deliverers. With this multiple input, there is a much greater chance that wasteful dupli­ cation of information and the costly process of transforming different sets of data into a useful format can be avoided. Project administrators can also be more assured that all necessary program and evaluation information will be collected at some point in the program, if thought is given to these needs be­ fore the program is implemented. . Centralizing all records will greatly facilitate the handling and retrieval of program data for both service delivery and evaluation. It will also permit a much easier tracking of the client through the course of the project to mea­ sure for possible program impact. However, it does raise some problems that would need to be res<>lved. The first is the ubiquitous one of cost: if the hard­ ware and software for central computer data storage, processing, and retrieval at multiple terminals are not currently in place or are not adaptable to the needs of the project, then they would have to be purchased. · Second, the concept of further centralization of personal data in computer banks is viewed by some as a threat to individual privacy. Safeguards of con­ trolled a~,protection against fraud and altering of records, and assurances of confidentiality would have to be built into the system, in compliance with state and federal regulations. If the evaluation is contracted out to an external, independent firm, then it is important that the contract place the evaluation data under the same protection as the program agency data. Jurisdiction over collecting, processing, maintaining, and assuming safety of the central file records would have to be assigned. It would be logical to give this responsihility to the "lead" agency ifone is designated, or to the project 'manager, and to draw lines of delegated responsibility for the data from each participating agency and evaluation units to the program management. How­ ever, cost constraints may require assigning record maintenance to the agency with the best existing computer capacity, after delegating proper authority to the program management. If a master information record system is not feasible, then it is important that complete background information about each client participating in any · area of the project be collected at one point or place in the process. For prop­ The Family Independence Project er client tracking without centralized records, each participant agency mus~ give its "sign-off' to permit access to its individual set of records by those persons charged with the evaluation. The lines of delegated authority to grant , this access should be clarified at the outset of the project. Also, for the bene­fit of the project, any existing system of client information sharing and refer­rals between agencies could be expanded and exploited to its fullest potential, with proper safeguards for its use. Ifcentralization is not feasible, it would be helpful for the evaluation team to tell each participating agency, prior to the start of the project, the particular types of information needed for evaluation. Each agency could then make its own arrangements to generate this data in its individual files. The costs associated with establishing centralized records must be weighed against the benefits of avoiding data duplication and special arrangements ensuring the separate generation and collection of information relevant to the evaluation. Unless the financial costs are absolutely prohibi­tive, a system of record centralization with the use of a master set of forms is recommended to facilitate the process of project evaluation. Assurances oflnfonnation Confidentiality In order to protect the rights of the clients in the project, assurances of confidentiality of all personal information given to evaluators must be offered to the clients. Without such as8urances, a client is likely to be unwilling to participate in the project. Also, a pilot project in welfare reform will probably draw the attention of the media; it is essential that this external attention not be allowed to infringe on the rights of the project participants. To guarantee confidentiality, all agencies and personnel involved in evalua­tion must be made aware of the importance of the client's right to privacy. Formal regulations of procedures for safeguarding the access and use of the collected data must be established prior to the project's implementation and later enforced. However, internal protection is often not enough. For example, the di­rector of the New Jersey Work Incentive Program had to contend with sub­poenas for records, civil suits, grand jury hearings, Congressional investiga­tions, potential contempt of court orders, explicit news documentaries, and other problems, all of which threatened to destroy the validity of the pro­gram's results. Therefore, detailed arrangements should be made in advance with all other local, state, and federal agencies not directly involved in the project, on the procedures to follow if requests for project information are made for purposes other than those of the project, for investigations, and even for legal matters. Special preparations and agreements might also be made with the news media to allow adequate coverage of the project without involving the release of names or the interviewing of clients. Also, "under­standings" should be worked out with local, state, and national political Designing an Effective Evaluation System for the FIP figures on the necessity of client privacy and on the limitations of the useful­ness of preliminai:y results, should they be requested for publication. Millimismg Data Excesses and Misinterpretations Other matters relating to data collection and processing also must be con­sidered during project and evaluation planning stages. First, there is often a tendency in social experiments to collect more information than is necessai:y to measure program effectiveness and impact. Excess data can overwhelm and distract the evaluator. However, time and cost constraints should necessitate the collection of data relevant to project implementation and evaluation. Decisions relating to the handling of missing data and program drop-outs need to be resolved prior to project implementation. If sampling is used in the evaluation, perhaps sample groups should be somewhat larger than abso­lutely necessai:y in order to check project attrition. Also, in order to account for inflation and to allow for better longitudinal comparisons of results, data on incomes and costs should be discounted to a constant base year. Problems concerning the possible inaccuracies of client self-reported data should be minimized, especially regarding the reporting of income by control groups who have less contact with the project. Findings of periodic program "quality control" audits can be compared with information obtained from interviews in order to determine possible under-reporting of incomes and its effect on overall project impact. For example, checks should be made for errors in the reporting of wage rates to see if rates changed during the evaluation process. Also, participants' knowledge of the project's temporary status might influ­ence project results and therefore should be considered in project evaluation. Set procedures for handling these problems should be established in the plan­ning phase of the project. EVALUATING THE FIP Introduction The issues discussed in the section on "Conceptual Considerations" demonstrated the need for further clarification and definition of several aspects of the Family Independence Project prior to the adoption of a project evaluation system. If evaluators are to assess the FIP's impact on reducing welfare dependence while maintaining family stability, the project's goals and objectives, the choice of evaluation techniques, and the definition of family dependence and independence must be carefully considered. As seen in earlier sections of this report, an effective evaluation process measures ideological perspectives as well as the programmatic phases of a social service demonstra­tion project, and should be comprehensive as well as practical. The Family Independence Project The following sections describe and analy7.C ways in which several possible Family Independence Project evaluation problems can be avoided. They re­fine statements of the FIP's goals and objectives, and advocate the use of the experimental design and a detailed dependence-independence continuum in assessing the results and impact of the FIP. Further development of issues discussed in "Conceptual Considerations" is included in this half of the evaluation design report, along with recommendations for FIP evaluation de­signers. Specific Goals and Objectioes A critical factor in developing an evaluation design for the Family Inde­ pendence Project is specifying goals and objectives. These should be used to set standards for development, implementation, and assemnent of the pro­ ject. Specifically, the evaluation should measure the FIP's impact on partici­ pants and on administrative efficiency. Impact on participants or "service" goals should reflect individual and family progress in comparison with that of nonparticipants and in terms of certain demographic characteristics such as age, race, and family size, and previous enrollment in AFDC, WIN, and Food Stamp programs. Administrative efficiency or "operational" goals must assess FIP costs and effectiveness in comparison to the present welfare system and the cost-effectiveness of particular program components such as outreach, training, and placement. Finally, "service" and "operational" goals must be combined for both the FIP and the present welfare system in order to judge which plan is more successful in realistically achieving all goals of a welfare system. The following are some suggested goals and objectives for the Family Independence Project. The goals of family independence and cost contain­ ment are recognized to be attainable only in the long run, while the coordi­ nated delivery of services is a short-tenn goal. However, all goals and objec­ tives should be considered in periodic evaluations during the project and after its completion. The following are based on an evaluation design which com­ pares an FIP (experiment) group to a current system (control) group in each programmatic phase. GOAL: FAMILY INDEPENDENCE Objective: Reduction of the family's total reliance on cash assistance and supportive social services (food, medical, child care, transporta­tion). Measure: Position change on continuum as designated by percentage of total income from earned wages and welfare services, by category. Designing an Effective Evaluation System for the FIP Total earnings of each participant and each family by subperiod while in the FIP to total earnings during the prior twelve months. Objective: Assurance of the family's access to all necessary support services. Measure: Comparison of the number of families in need of supportive ser­vices to the number of families receiving services, by category of service. Objective: Attainment of marketable skills for increased employability through improved access and participation in training and educa­tion programs. Measure: Number of training/education slots to the number of participants requiring positions. Participation rate in training/education programs in the FIP. Family's position on continuum as designated by participants' level of skill attainment and employment status. Objective: Expanded opportunities for individuals in the family unit through training, education, and job placement. Measure: Number of family members receiving training and/or education and/or job placement. Number of multi-wage earner families. Objective: Increased family stability. Measure: Changes in family composition. Changes in marital status. Participants' attitudes towards ideal family size, family planning, fertility. Frequency ofleisure activities as a family unit. Division of family responsibilities (financial and household chores) among family members. Attitudes of participants towards themselves and in relation to the family. Objective: Adequate access to career information and counseling, job refer­rals, arid job search training. The Family Independence Project Measure: Participation of family members in Intake and Diagnosis stages. Participation in career counseling sessions, job referrals and job search training sessions per individual and per family. Objective: Improved attitudes and behavior of participants. Measure: Subjective social status and pei:ceived social mobility. Self-esteem scale. Worry and happiness indicator scales. Attitudes towards training and jobs as improving the participants' lives. Job satisfaction scales, including job security, wage level, interest in work. Objective: Attainment of the family's goals as set during the Diagnostic stage. Measure: Number of participants and families reaching goal. Distance from goal of participants and families not successfully reaching goal. Objective: Elimination of recidivism in the welfare system. Measure: Number of families achieving total independence from welfare for twelve consecutive months. Total family income after job placement of participant(s) to the control group and to the median income in Fort Worth. GOAL: COORDINATED DELIVERY OF SERVICES Objective: Reduction of service duplication between agencies. Measure: Number of agencies providing duplicative training, child care, transportation, diagnosis, and job placement (TEC, TDHR, CETA, TRC). Coordination of information referrals between agencies (number of referrals). Total number of personnel by service delivered per participant. Objective: Administration of service to the family as a unit. Designing an Effective Evaluation System for the FIP Measure: Ratio of participating family members to the total number of family members. Diagnosis and goal setting for family as a unit. Objective: Increase of cost-effectiveness per participant in the delivery of services. Measure: Ratio of total cost of service administration and delivery per participant to the length of time to move a certain number of stages on the continuum per participant. Objective: Reduction of "administrative hassle" for participants. Measure: Number of trips by participant to receive same amount of services as in the current system. Number of different delivery personnel in contact with each par­ticipant. Attitudes of satisfaction with the system of service delivery for participants. Objective: Increased participation of the private sector in training, educa­tion, and job availability and placement. · Measure: Number of private sector organizations providing services by type of service. Number of participants in private sector training, education, and jobs. Objective: Expansion of population served through reallocation of deployed resources to the welfare system. Measure: Amount of money available for reallocation as a result of FIP. Total number of participants served with the reallocated money. GOAL: LONG-RUN COST CONTAINMENT Objective: Maximization of total cost-effectiveness of the FIP. Measure: Economies of scale of the FIP to current system. Total cost of the FIP (actual services, personnel, administration, operating expenses, minus start-up costs) to current system. The Family Independence Project Percentage of total money allocated by function (services, per­sonnel, administration, etc.) to same functions percentages in cur­rent system. Number of participants achieving each stage of the continuum to total cost of the FIP (ratio). Cost of each program (AFDC, Food Stamps, Child Care, CETA) to the total cost of the FIP (ratio). Objective: Minimization oflong-run total cost per client. Measure: Ratio of the total number of participants to the total costs of the FIP. In summary, the preceding goals and objectives should be a starting point in the formulation of a thorough and rigorous evaluation plant. The partici· pant impact objectives under Goal I, and to some extent, Goal II, will indi­cate the quality ofthe FIP approach to welfare services. Without at least equal or higher quality impact on participants' abilities to achieve adequate employ­ment and greater independence from from government support, the FIP is not justifiable regardless of comparative administrative costs. Findings from the objectives under Goals II and III should quantify the FIP's cost in com­parison to the current system. However, it is important that these measures not be utilized in a "numbers gaine" which results in evaluation of costs at the expense of service quality. Final assessment of the true value of the FIP approach can be made by comparing the results of findings under all three goals in a cost-benefit analysis. With complete data for both the Family Independence Project and the current system, a rigorous and extremely significant evaluation of the two approaches can be made. The Experimental Design Because the Family Independence Project is essentially a demonstration of a "new" concept in welfare and has presumed value beyond the project site of Fort Worth, any evaluation undertaken should be as rigorous and explana­tory as possible when findings are imparted to all interested parties. For the type of information and data needed in evaluation, the experimental design, outlined in "Conceptual Considerations," is the best available method of en­suring a rigorous evaluation. This section, which reiterates and expands on the information contained in the last section, deals with evaluating the specific impact and effects of the FIP on participants in Fort Worth. It also discusses how an experimental design might be implemented; some problems the evaluators and administrators might encounter; and some solutions or alter­ natives to those possible problem areas. Designing an Effective Evaluation System for the FIP Using the experimental approach, the presumed effects of the project would be determined by comparing control (non-FIP) and treatment (FIP) samples which have been randomly selected from the project-eligible popula­tion in Fort Worth. The most common variant of the experimental design is the classic laboratory type where participants are assigned in a strictly ran­dom manner to control and treatment groups, and samples of each are ad­ministered a pre-test or a similar measurement device. The treatment group would then participate in the FIP while the control group sample would con­tinue to participate in the current system in Fort Worth. As envisioned, mea­surement/testing of both samples would take place at periodic, predesignated times during and after the project. Differences found between the two samples (and thus presumably between the two groups) would then be attri­butable to the project and its effects. The experimental design removes the most common and detrimental weakness of other types of evaluation designs: effects of history. Randomization controls for history insofar as general events which might have produced changes in the treatment group would be expected to produce similar changes in the control group and vice versa. A second type of experimental design that might be appropriate in the evaluation of FIP is identical to that discussed immediately above except that the pre-test phase is omitted. This second experimental design, the post­test only control group design, does not utilize the pre-test because it is assumed that the best assurance of control and treatment sub-group similarity at the start of the project is randomization of assignments. The pre-test's value is that it allows the evaluators to compare groups on their initial similar­ity and provide the necessary data base to make statistical adjustments. A pre-test phase should be included in the experimental design on the condition that it can be administered without interfering in the implementation of the project itself. The experimental design poses certain problems to evaluators as well as project administrators. The most commonly cited problem is one of ethics. Essentially, social experiments and designs are questioned (and normally re­jected) because they seemingly discriminate against those in the control group in a detrimental manner. Researchers and decisionmakers do not usually accept randomization as a means for determining program/project participation. But, this ethical problem is not as serious an obstacle as most would think. The experimental approach is valid and appropriate in this in­stance as well as in many, if not most, others, for the following reasons: 1. The benefit loss suffered by those in the control group that many would point to as a result of the experiment, is at best a doubtful obstacle. Those in the control group sample would remain at the cur­rent benefit levels, and the treatment group would receive, in essence, only the coordinated approach on the part of the project administra­ tors. The Family Independence Project 2. Social program/project evaluations in past have typically yielded little in the way of highly-valued benefits as a result of the program/project and the value of the information received by using the experimental design would be greater, especially in view of the reason above. 3. If the treatment or project is found to be effective by this evaluation, it would undoubtedly be applicable to far more people in the long­run, in exchange for only foregoing the project to the control group sample in the short run. Ethical questions concerning social policy sooner or later enter the deci­ sionmaking area and thus become political questions. The response at any level of government upon learning of a social experiment must be anticipated and dealt with in a forthright manner by the project administrators before the FIP becomes fully operational. They must show the value of the experimental approach in evaluating reform welfare and assure office-holders that no "harm" will come to any constituent. While the political considerations are not unimportant, an unelightened decisionmaker can readily discern the full importance of the project and its ramifications for both Texas and the nation. What seem to be the most fundamental and pervasive problems posed by an experimental evaluation design are surprisingly not ethical and political in nature. Rather, there are a multitude of considerations which pertain to ser­ vice administration when an experimental design is used. The most basic problem facing evaluators and project administrators dedicated to rigor is how to run two essentially different "systems" so as to prevent taint of re­ sults through administrative and/or participant contact with the other "sys­ tem." Can the two approaches be administered simultaneously, and, if so, what costs will be entailed? Additionally, what happens to new entrants to the project? Ideally, some should be assigned to the samples of each group to maintain rigor and purity of the experimental design, but that may not be possible. Implicit in the concept of administering the FIP is facility integra­ tion, and multiple-function centers located in different place throughout Fort Worth may be unable to coordinate random assignments once the project becomes operational. In that case, the evaluators will be forced to deal with the preoperational samples, especially if the pre-test is used. Finally, unless there is some assurance that those eligible participants in the treatment group will choose the FIP over present welfare services, massive attrition problems may develop. If voluntary participations remains a concept in the FIP, then administrators and evaluators may have to rely on a given participation rate that ensures a sufficient sample size. Other problems which remain are those design and research questions usually encountered in an evaluation effort: sampling techniques, sufficient sample size, attrition rates, and testing/measurement instruments. While these considerations are not inconsequential, they basically involve rather Designing an Effective Evaluation System for the FIP mechanical issues that any competent evaluator can resolve. Research and evaluation practices and concepts exist that allow these types of questions to be dealt with in a relatively easy manner. The crucial questions are ad­ministrative in nature and require not only a great deal of thought and plan­ning, but an enonnous amount of cooperation between project administra­tors and evaluators at aO stages of the project. The experimental design, ifit is to work properly and realize its fullest potential value, requires a commit­ment from all concerned project personnel from the pre-planning stages of the project to its final evaluation. If that commitment is absent or conditions of the project make the experi­mental design for evaluation impossible, alternative evaluation designs can be used. These range from the very soft, descriptive evaluation designs to quasi­experimental approaches. In moving from the experimental design to a less comprehensive and empirically oriented design, rigor decreases and the results of the evaluation become increasingly questionable. With the loss of rigor, there is an increase in the ease with which the evaluation can be conducted. The trade-off between rigor and ease usually results in emphasis on the latter. However, the following design, although lacking the validity and credibility of the experimental approach, mightbe suitable for the FIP. The essential difference between this design and the experimental approach is that it uses control groups which have not been randomly selected. Operationally, FIP evaluators would use a nonequivalent compari­son group design in which a sample, similar to one of FIP participants, is. used as the control group. This might be done through the matching ofindividuals and/or families by predesignated characteristics. In the case of the FIP, this approach would entail finding a non-FIP but current welfare participant group in a similar locale and matching a sample of these individuals and/or families with a sample of FIP participants in Fort Worth. The advantages of this approach are that it removes the perceived problems associated with randomization and the administrative considerations discussed earlier. After the comparison group has been established, the design becomes like the experimental approach where testing/measurement serve to find observable differences between the samples that are then presumably the effects of the project. Because this design does not use randomization, the effects of his­tory cannot be wholly removed, and there is thus a smaller (much smaller, actually) degree of certainty about the results than there is with the experi­mental approach. However, making the samples similar is difficult. If this approach is selected, the evaluators must take great care to ensure and achieve maximum similarity between the control and treatment group samples. As an evaluation design, the quasi-experimental approach is often used where randomization is impossible or highly problemmatic. However, the evaluation of the Family Independence Project is important enough to The Family Independence Project warrant a rigorous design and the experimental approach best serves that purpose. Additional Considerations In addition to the consideration of the type of design to be employed, evaluation also entails questions of timing, funding, users, evaluators, and tools. Recommendations on each of these considerations are presented below. Timing One of the most common criticisms of the evaluations of social programs/ projects is that they are begun too soon in the history of the program/project and the findings are thus inconclusive. The first formal measurement/testing should take place at a point far enough removed from the project's imple­mentation to allow the project to have an effect. On the other hand, it should not begin at a point too far removed from FIP's implementation; this would increase the possibilities that the findings could be attributed to something besides or in addition to the project. Testing/measurement should being for­mally three to four months after the FIP becomes operational and then be continued at regular three to four month intervals for a period of not less than three years and preferably five years in duration. This longitudinal analysis would allow the evaluating team as well as decisionmakers to fully · assess the impact of the FIP, especially in view of its comprehensive and pre­sumably cumulative nature. . Funding In the evaluation effort recommended in this paper, the question of fund­ing, as indicated earlier, is crucial. The level of funding affects decisions on the type of design to be employed, the evaluation's duration, who performs the evaluation, and the types of tools and techniques that can be used. Be­cause the need for rigor has been stressed in evaluating the FIP, the level of funding will have to be fairly substantial. Because evaluation decisions are typically made after a project's inception and therefore render any proper evaluation virtually impossible, the level of funding should be decided upon as soon as possible. Insufficient funding, if known about at an early enough point in time, may enable the evaluators to revise their scheme and format so as to preserve rigor as much as possible. Users As mentioned earlier, the FIP and its evaluation have implications and value to persons and institutions beyond the agencies participating in the pro­ject. For that reason, not only should the evaluation be rigorous and objective in nature, but its results and findings should be disseminated in a timely Designing an Effective· Evaluation System for the FIP fashion to a fairly wide audience. Timeliness is an important consideration in that an evaluation in which the results are not made known until two to five years after the project has run its course is not as useful to decisionmakers as one in which the results are known in six months to a year. The envisioned audience for which the evaluation of the FIP will have varying amounts of relevance includes: participating agencies and the Texas legislature; relevent federal departments and agencies; social welfare agencies in other states; offi­cials not only in Fort Worth but in other urban areas, both in Texas and else­where; and, social policy planners in government and in other research circles. The Evaluators The Texas Department of Human Resources or other managing body should employ an outside, independent evaluation team that has access to the project in its earliest planning stages. It is important that this decision be made as soon as possible. An outside evaluation team is preferred to an in­house evaluation because possible evaluation bias is minimized and the find­ings are more likely to be accepted. · Nonetheless, a certain amount of "evaluation" will be done by the project administrators. This "quick analysis" is necessary to keep most projects/pro­grams operational on a daily basis. Decisions concerning the proper function­ing of the project will have to be made periodically and will no doubt reflect some sort of "evaluation" on the administrators' part. Changes of this nature should be brought to the attention of the evaluation team to enable them to accurately assess the project. Finally, any "tinkering with the project" should be minimal and undertaken only if the operation of the project is somehow endangered and with the knowledge that the change may indeed affect any evaluation. Tools Because the recommended evaluation design is complex, the evaluation team should take advantage of all available measurement, testing, computa­tional, and statistical techniques that are applicable. Briefly, these might in­clude: (1) properly designed surveys and extensive interviews of the client samples; (2) the application of analytical and statistical techniques such as regression, cost-benefit, cost-effectiveness, factor analysis; and (3) time-series analysis. FAMILY DEPENDENCE-INDEPENDENCE CONTINUUM The criteria used for measuring the effectiveness of the Family Indepen­dence Project is important. Project results must be measured in terms mean· ingful and relevant to policymakers. The final results of the demonstration project will be looked at first, and first impressions are often critical decision points, despite other qualifications or shortcomings. The Family Independence Project The ultimate purpose of the FIP is the achievement of family indepeti~ dence from the welfare system. The major assumption behind the FIP's coor-· dinated administrative arrangement , is that this particular approach, , along with an emphasis on the quality of delivered services, is the means to ending · long-term dependence on public resources. It is important to measure the efficiency and effectiveness of the adminis­trative arrangements themselves. However, it is probably even more important to orient the evaluation process to the impact of FIP treatments on client families. Specifically, the evaluation should focus on determining family dependency at the beginning of the project until its termination. A continuum of family dependency, ranging from total dependence «>n the welfare system on one end to total family independence on the other, describes and represents the various degrees of dependence and independence. One hypothesis of the FIP is that any movement of FIP participants along the continuum toward independence would be the result of the experimental pro-· ject. The evaluation of the project should then determine first, if any move­ment actually does occur and in what direction, and second, what was re­quired in terms of time, money, manpower and effort tc move 2. family from point X to point Y along the continuum toward increasing indepen­dence from the welfare system. Ideally, this information Will then be com­pared with client progress and administrative effort of the existing (con­trol) system of service delivery ·to facilitate proving the worthiness or un­worthiness of the FIP approach. To be of any real value to policymakers for decisions regarding possible replication of efforts, the FIP project must show that for the same amount of resources, its approach yields "better" long­term results of movement toward increasing family independence than the current system produces. Structure ofthe Continuum Admittedly, the placement and ranking of points along the continuum in­volves personal value judgments and biases. Also, there may be variations that do not fit nearly into a hierarchical ranking and are not discussed here. Yet, this model can be a starting point for further discussion and refinement. The structure of the continuum is based primarily on a working definition of dependence and independence being a function of: (a) the proportion of family maintenance costs capable of being borne by the family's own income instead of by the welfare system, and (b) the type and to some extent the quantity of services delivered to the client family as a means to removing bar­riers to achieving independence. These services include such elements of the welfare system as cash assistance, Food Stamps, medical, child day care, transportation, and job placement services; education and training for employment; and government subsidized jobs. Designing an Effectivt Evaluation System for the FIP ··Major categories determining a family's placement along the continuum are the percentage of total family income dependent on welfare sources, the degree of need for social and/or financial services, the type of job held­either private or public, and the level of marketable skills held by family members determined to be desirable wage earners. Total independence is generally viewed as an absence of any need for support from the welfare system's services. At the other end of the spectrum. total dependence is gen· erally a deep reliance on continual welfare services for minimum survival needs. The method used to determine the ranking of the intermediate points is basically one ofsubtracting service elements ofindependence from (or add· ing elements of dependence to) the status of total family independence. · The model follows the ranked approach of the FIP proposal oflong-term assistance, occupational training to achieve employment, subsidized employ­ment, social services support, unsubsidized employment with continued social services support. and unsubsized employment. Having a job, especially in the private sector, is assumed to give a family a greater potential for placement further along the continuum toward independence. Such movement implies a greater ability of the family to absorb larger proportions of its own mainte­nance costs. The concept of continued assistance even with unsubsidized em­ployment is vigorously accepted as nece!mJY for some families in order realistically to achieve any long-term decrease in dependence from the welfare system. Independence is assumed to be the desirable eventual goal of most families. but it is recognized that this long-term effect cannot occur ·over­night. Each stage along the continuum can be subsequently separated into four substages depending on family attitudes toward independence and the family's stability. A. Long-term Assistance "Total Dependence .. exists when the family members have no skills and no jobs. and are unlikely to be or are not expected to be able to obtain either in the future. The family is totally dependent on the welfare system for com­plete maintenance needs of cash support, food, and medical services. The likely candidates for Stage A are the aged, blind, and disabled (ABD) and possibly others who have little hope of freeing themselves of total depend­ ency. 8. Occupational Training Those families whose potential wage earners have no marketable skills and thus. no private jobs, will begin the FIP program at Stage 8. It is believed that this stage will contain the largest portion of FIP participants at program The Family Independence Project initiation. The major new service to be provided is vocational training and/or education, whichever component or combination is determined during the diagnosis and independence planning phases of the program to be the most applicable to the individual family's goals. Occupational skills may be ac­quired through on-the-job training or institutional education. Such training may even occur during a period when a client has a full or part-time PSE job. Within Stage B, there can be niany different points along the continuum ranked according to an individual's level of skill achievement as a result of training and/or education. During this learning period, the family will require almost the entire range of financial and social services, such as cash assistance, food stamps, medical services and probably even child day care and transpor­tation services. Once marketable skills are acquired, job placement services will also be needed. C. Subsidized Employment Stage C involves the use of government subsidized jobs, or Public Service Employment (PSE). This stage is appropriate for a family wage earner who has the educational and/or the training skills to be marketable for a priva}e sector job, yet is unable to find one. The jobs commensurate with his/her level of skill ability may not exist at a particular point in time due to the state of the local economy, or· he/she may just require an. improved intllr­mediate job placement service to match him/her with availal>le jobs. Except for the marginally productive clients, PSE jobs are viewed as a temporary, transitional placement for families possessing the skills to move potentially toward greater independence. PSE jobs can provide interim employment until the market forces create demands for these more skilled workers. They can also allow a person a chance to gain "job experience" or a job history to develop, or culturally socialize, attitudes conducive to the work experience and responsible independence. The major welfare service, other than the sub­sidized job, to be delivered at Stage C is job placement. Depending on the wage level that is offered PSE job holders, there may also be a need for some food stamps and perhaps even additional cash assistance. Without the higher­paying private jobs, families will most likely still require child-care, medical, and transportation services. The conditions of Stage C appear at this ranking on the continuum pri· matily becuase of the higher level of skill attainment of its families. Educa­tion and training are not required here as they are in Stage B. Ifa family wage earner has the educational skills, then formal training may not even be neces­sary at all if it is true that education levels are good indicators of future in­dependence. The possession of marketable skills is probably the best assur­ance of a potential for a private job that can lead to decreased dependence on the welfare system. Yet, because a PSE job cannot guarantee a future private Designing an Effectiv~ Evaluation System for the FIP job or possibly even an adequate wage on its own, a family at Stage C is more dependent on the system than one at Stage D who has a private job. However, this stage's ranking assumes that the holding of a job, even if it is a govern­ ment subsidized one, makes a family less dependent on the total realm of wel­ fare service, and thus, less costly to that system than a family that does not have any type of job. There is also probably less "welfare" stigma associated with those who are paid something for work done in PSE jobs than with those who are more dependent on the services of the welfare system for all Ifinancial support. D. Unsubsidized Employment with Continued Support At the next stage down on the continuum, a family possesses marketable skills in a private sector job, but the wage received is too low to allow for the family's essential food needs. At this point, food stamps may need to be pro­vided to the family in addition to child-care, medical, and transportation ser­vices. E. Stage E is sort of a "limbo" state, especially for the control group of families.. A family wage earner ·may possess marketable skills and a private sector job, yet his/her income may begin to become inadequate. Depending on the degree of "inadequacy" of the wage, a family still may not be deemed eligible for other programs of food and cash support on an income test under the current system. Because of their cost and importance, child-care, medical, and transportation services are probably still necessary at this stage. , The FIP's treatment of a family at this stage needs to be clarified further. It is yet unclear whether a person in the FIP project who has acquired skills, either through education or training, will be forced to take a job that pays a wage that is inadequate in terms of both the level of skill attainment and the needs of the person's family just because that "inadequate" job becomes available. Will the desire for quality of delivered services realistically be able to be extended so that available jobs can be passed over by welfare recipients in the hope that higher-paying jobs will open soon that will better match their higher levels of skills and potentially lead to longer-term independence? F. The need for transportation services in addition to child-care and medi­cal services places a family at Stage Fon the continuum. Regardless of educa­tional and training skills, the wage earner must be able to get to the job every day if he/she expects to preserve this vital link to further family independ­ence. The need for transportation services is ranked lower than child-care and health services because they are less difficult to obtain on one's own and may be less expensive on a day-to-day basis, yet may still be more costly than pro­viding for food, clothing and shelter. Alternative means do often exist, such The Family Independence Project as using buses or riding with coworkers or friends. When alternatives are either too expensive or unavailable, government support may be needed to provide the families in Stage F with transportation. G. The next stage along the continuum towards total independence occurs when all of the conditions of Stage H plus the need for medical services apply to a family's situation. Under the current system, a family wage earner may possess marketable skills, yet the family may decide that because of large medical expenses, it is to the benefit of the family's total well-being to remain on the financial welfare rolls. Even though greater independence is desired and capable of being attained, the decision is made to remain at much lower points on the continuum, with its inherent status of greater dependency, just to retain eligibility for medical services. The FIP intends to avoid this prob­lem by allowing for continued medical and social services even with unsub­sidized employment until the family has amassed enough resources to take · further steps toward total independence on its own. A family at Stage G needs to depend only on child-care and medical services. Both services will probably need to be provided here because it is assumed that if the family cannot afford the cost of medical services, · then it almost definitely will be unable to afford the cost of the more expensive child day care. However, if the individual family circumstances are such that medical costs are con­tinually greater than day-care costs, or if only day-care services are unneces­sary, then the conditions of Stages H and G will be reversed for that family. H. At Stage H, the wage eamer(s) possesses a skilled private sector job that is adequate for the family 's essential needs, yet the presence of children in the family creates the need for child day care services. The rationale for placing this point closest to total independence and less dependent than other points on the continuum is that child day care is, on the average, the most expensive component of social services to support independently, and it inay be one of the most necessary services the welfare system offers. A wage earner may be unable to maintain attendance at a job unless provisions are made for the care of the children during the day while he/she is working. Overcoming this barrier may require the establishment of child day care insti­tutions. The need for this service will be most pressing for one-parent families. Within Stage H, there can be a range of independence/dependence based on the proportion of child care costs that can be absorbed by the family itself. I. Unsubsidized Employment "Total Independence" exists when the family does not require any cash assistance, food stamps, child day care, transportation, medical, or other wel­ Designing an Effective 1".valuation System for the FIP fare services. Most importantly, the wage earner(s) of the family possesses a job in the private sector that pays an adequate income for his/her family size. An "adequate" income is here defined as one which allows a family to pro­vide for its food, clothing, shelter, health, and child-Care needs on its own. It is assumed that if the wage earner has a private sector job, then he/she has a marketable skill which led to that employment. The larger the income, the greater the degree of total independence in Stage I since one is then able to create a larger "buffer-zone" between independence and dependence. I Family Attitudes and Stability Stages A through I; and especially B through H, can be divided into sub­ stages and ranked further depending on family attitudes toward independence and the stability of the family unit. Attitudes toward independence may in­ clude aspects of self-esteem, social desirability, attitudes toward work and/or school, feelings of accepted responsibilities, and satisfaction with life's condi­ tions. These attitudes will be measured in both the adults and tl)e children of the . family. Family stability implies the likelihood of continued stable rela­ tionships among farnily members, especially between spouses, and also be­ tween parents and their children. Attitudes measured to be conducive to future or continued independence are considered to be positive attitudes. Family relationships that are felt to be stable are also considered positive. Both attitudes and relationships are positive in Substage 1. In Substage 2, a family has positive attitudes but negative family relations. Substage 3 has negative attitudes, but positive family stability. Finally, both attitudes and relationships are rated as negative in Substage 4. A family with characteristics of Substage 2 is ranked as more independent than a family in Substage 3 be­ cause proper attitudes toward independence can normally adapt and over­ come an unstable family situation, but not vice-versa. Attitudes are viewed as more important than relationships in the long run to a family's ability to be­ come less dependent on the welfare system. A family in State I with both positive attitudes and family stability is the most independent family type on the continuum. However, a family in Stage G with negative attitudes and an unstable family relationship is still con­ sidered to be less dependent than a family in Stage F with positive attitudes and family relations. It may be possible, but it is unlikely that either attitudes or family stability can overcome the need for the delivery of a welfare service vital to the family's capacity to reach its goal of eventual long-term family independence. Skipping Stages It is possible to skip stages on the continuum. For example, it is not neces­sary for a family to pass through the subsidized employment Stage C if the The Family Independence Project training and education that is gained in Stage B allows the family Wage eamer(s) to obtain a private sector job right away. In some cases, a family may be able to jump from Stage B directly to Stage I of total independence if the private job pays a substantially more than adequate income. However, this may not happen very often; the development of attitudes and adjust­ments to nondepcndent lifestyles may be a slow process ifgenuine long-term independence from the welfare system is to be the ultimate goal of the participating families. Also, a family can return to a lower stage on the conti­nuum. A change in family status of independence, such as ifthe wage earner is laid-off from his/her job, many require the redelivery ofwelfare services. Conclusions The following are specific recommendations for <:onsideration in designing the Family Independence Project evaluation: -The project designers should work with the evaluators from the earliest planning stages of the project through the tennination of the evalua­tion. -Both service and administrative operational effects should be evaluated. -Specific goals, objectives, measures, and standards should be deter­mined in the early planning state. -Standards for determining the success of the program should be estab­lished and agreed upon in the planning stage. -Waivers for eligibility requirements and agency jurisdictions should be secured at the earliest possible point in planning. -The evaluator should work closely with administrators during the pre>­ject to decrease the chance of invalid conclusions resulting from a static evaluation ofa dynamic social program. -An experimental design, such as the post-test only control group method, should be used to evaluate the FIP. Evaluation should be undertaken for a period of time lasting three to five years and conducted at regular three to four month intervals, be­ginning three months after the project's implementation. TABLE4 PAMIL Y DEPENDENCE-INDEPENDENCE CONTINUUM Stage Long·Tenn Assistance Occupational Triinina . Subsidized Employment Unaublidized Employment with Continued Support Unaubllldlzed Employment A B c D E F G H I Characteristics "Total Dependence" No skills No skills No job No job No income No income Welfare Services Needed Medical Child day-care Food Stamps Medical Cash Assistance Transportation Vocational training/education Job placement Food Stamps Cash Assistance Substage 1 2 -..J 3 Ul 4 Marketable skills Gov't·sub· sidized job Inadequateincome Child day-care Medical TransportationJob placement Food Stamps Cash Assistance Marketable skills Private sector job Inadequate Near Almost Almost income adequate adequate adequate income income income Child day-care Medical Medical Transportation Transportation Food Stamps Substages Within Each Stage Attitude toward Family Independence Stability + + + + Almost adequate income "Total Independence" Marketable skills Private sector job Adequate in· come None l ; ti! = a =i· It I g' l {I.I O' .. ;. It "!! ~ The Family Independence Project Evaluation should be performed by an outside evaluation team, inde­pendent of the project staff. -To make the evaluation useful to multiple audiences, the results should be presented in an objective manner. Sufficient funding should be allocated to adequately enable a rigorous evaluation of the project. -Multiple tools, such as interviews, surveys, and time-series analysis, should be utilized in the evaluation effort. -Procedures to satisfy informational needs of the evaluation should be incorporated into the project design, such as the use of single, com­prehensive master sets of forms and centralized recordkeeping. Safe guards to protect confidentiality of client records both internally and externally, should be formalized in advance. Procedures to ensure against excessive data generation and misinterpre­tations resulting from the nature of the data collected should be estab­lished prior to project implementation. -A Family Dependence-Independence continuum should be utilized in describing client's needs and defining the project's programmatic treat­ments. The Family Independence Project is a program based on the belief that a governmental welfare program administered in a "better" way (i.e. one that is coordinated and emphasizes quality) will enable more families to decrease dependency on the welfare system. If the evaluation of the project demon­strates no significant differences as a result of experimental treatment, then at least two different alternative actions are available if the original problem still exists: ( 1) retention of the belief in the essence of the administered pro­gram, and other variations in the administrative structure can be tested; or (2) relaxation of the commitment to traditional beliefs, values, and proce­dures for experimental purposes, so that policymakers can test new and radi­cally innovative programs. PART IV TIIE FAMILY INDEPENDENCE PROJECT PROPOSAL PROPOSAL FAMILY INDEPENDENCE PROJECT June 23, 1978 Submitted to Department of Labor Department of Health, Education and Welfare by Fort Worth Training and Employment Consortium Texas Employment Commismon Texas Rehabilitation Commismon Texas Department of Human Resources The Family Independence Project Family Independence Project EXECUTIVE SUMMARY Inconsistencies and inadequacies abound in our current system of delivering human ser­vices. Characterized by a mosaic of programs that are too limited on the one hand and too costly on the other, welfare policy has come under widespread criticism. President Carter in an address on May 2, 1977, asserted that "the most important unanimous con­clusion is that the present welfare program should be scnpped and a totally new system implemented." That new federat welfare legislation is needed is apparent, but recent legislation has pro­vided ample statutory basis for piloting new directions in welfare service$. The pilot effort proposed, the Family Indei}endence Projeet, can be conducted Within the para­meters of existing legislation, while pretesting various components of welfare reform initiatives. The Family Independence Project (FIP) seeks to test the notion that families dependent on public assistance can gain self-sufficiency through an unduplicated, yet coordinated, approach to the delivery of financial, social, and employment-related services. It focuses on development of a service-Oelivery model, which sets it apart from the current system. FIP has four major goals: • to increase the long-term employability, occupational mobility, and income of disabled and/or disadvantaged persons; • to enhance the stability of the family unit; • to achieve a more cost-effective method of delivering welfare and employment­related services; and • to maximize the effective contribution of each currently available public or pri­vate resource to free clients from falling back into the welfare cycle. If fully developed and tested, the design could serve as a model for accelerated imple­mentation of national welfare reform. The Texas Department of Human Resources (DHR), the Fort Worth Consortium for Employment and Training Programs, the Texas Employment Commission (fEC), and the Texas Rehabilitation Commission (fRC) will collaborate on the project. Joint assistance for the one-year planning and development phases of the effort is solicited from the U.S. Department of Labor (DOL) under provisions of Title III of the Com­prehensive Employment Training Act (CETA) and from the U.S. Department of Health, Education and Welfare (HEW) under provisions of the 1977 amendments to the Social Security Act. During the year of planning and development, project activities will be directed toward designing a system to be tested in the second year. Project staff members from each participating agency will be involved in the planning and testing process. Major activities of the planning phase would be to analyze the current range of services, determine shortcomings, and explore alternative delivery systems. These are three model systems that will be studied in the planning process: The Family Independence Project Proposal 1. an Ui~ted system of service delivery in which outreach, intake, and diagnostic ~ctions_would be c:entralized ~deligJ.l>ility determinations, employment, train­mg, phyacal restoration, work adjustment, cash assistance and other support ser-Yices could be decentralized but closely coordinated; ' 2. a dearinghouse system to inform and refer disabled and/or disadvantaged persons to appropriate agencies for services; and 3. the cunent Texas system of cooperation and coordination among DHR, TRC, CETA, Work IncentiYe Program (WIN), TEC, and private industry. IIbe impetus for modification of specific aspects of the cunent system would be pro­ricled by data concerning needs and existing problems obtained during the planning period. This proposal suggests unraveling and reweaving a rational and improved pattern of ser­rice delhery. 1Products and demerables ofthe project's first year include: • a thorough analysis of the human services needs and resources in the pilot area; • altematiYe system designs for delivery ofcoordinated multiagency services to dis­abled and/or disadvantaged persons; • interagency agreements and regulatory waivers needed to initiate a system in the second year; and • a complete evaluation report on the planning phase of the project. If successfully developed, the project will demonstrate in the second year that services provided through CETA, the Social Security Act, Vocational Rehabilitation (VR) Act, 111d the Food Stamp Act can be integrated effectively. By reducing the duplication of serrices, assistance can be delivered to an even broader segment of the population with little, if any, cost increase. Above all, the project will demonstrate that an innovative, positive approach to delivering assistance will result in less dependence on public ser­vices. The gmater Fort Worth area is proposed as the project site. Approximately $298,902 is being requested from the U.S. Department of Labor for the first twelve months, the planning phase of the effort. L INTRODUCflON Efforts to bring rationality to the structure of the welfare system have resulted in many proposed reforms and much legislation. Beacuse legislative action usually has been in response to a particular need for a specified population, the result has been a series of separate programs scattered among such diversified agencies as the U.S. Department of Agriculture; the U.S. Department of Health, Education and Welfare {HEW); and the U.S. Department of Labor (DOL). These departments, in tum, fund a variety of state and local agencies to deliver specific services. In many instances, the actual service is delivered through yet another subcontracting agency. From this perspective, it is easy to understand how public assistance has become a conglomerate of programs with masses of conflicting eligll>ility criteria and procedures. The end results are costly duplication of service and an inability to deliver services to those who need them. The Family Independence Project Although services offered under the principal federal/state/local manpower and training programs-the Comprehensive Employment Training Act (CETA) and the Work Incen­tive Program (WIN)-focus on attacking poverty through training and employment, the fact remains that many people cannot qualify for the programs because of the restrictive eligibility requirements. Even those who do qualify for services and participate in these programs often return to the welfare rolls when they ·are confronted with low-paying jobs that offer fewer benefits than remaining on welfare. Others remain dependent on public assistance because underlying problems, which at times result in the lack of a marketable skill, are not addressed. Our present approach to public assistance has sustained intensive criticism. President Carter has described it as a "hopeless mess."* In a recent issue of Daedalus,t welfare programs especially Aid to Families with Depen­dent Children (AFDC), are conjectured to be, in many respects, deleterious to recipient.S as well as phenomenally wasteful. Federal and state lawmakers have reacted to this situation in diverse ways. The Carter administration has proposed a Better Jobs and Income Program that would cut through many constricting regulations resulting from present laws. H.B. 10950 would eliminate AFDC, WIN, and the Food Stamp Program and provide more equitable services to the needy. The recently amended Social Security Act also cites a need to redesign our present sys­tem of service delivery. State authority to conduct experimental projects has been ex­panded. Under provisions of the act, states have substantial discretion in conducting demonstration projects. Concerns over the state of human services are embodied in H.B. 7200, the Humphrey­Hawkins Bill, and the proposed version of the Comprehensive Employment Training Act, which contains substantial revisions. In Texas, the 6Sth Legislature passed the AFDC Education and Employment Act. This act mandates the Texas Department of Human Resources (DHR) to develop a more ef­fective model for assisting AFDC caretakers to gain self~ufficiency. The rationale be­hind this legislation is the same as for this proposed Family Independence Project (FIP). There is a need to develop a more coherent approach to delivering services that ulti­mately will assist persons to become independent of public assistance. Moreover, re­sources and assistance should be deployed to persons who may, for one reason or an­other, be ineligible but need services. The Family Independence Project seeks to go beyond the symptoms of poverty and pub­lic dependence. During the planning phase, a major emphasis will be the assessment of underlying causes of public dependence. Services then will be developed and coordinated to address identified problems. HYPOTHESES TO BE EXAMINED IN THE PLANNING PHASE The following is a description of the hypothetical problems and limitations of the pre­sent system. Sin<:: the!~st pri:ority in any problem solution is to identify its~u_se, these *Press Release from White House, August 6, 1977. tBiaydon Colin and Carol Stack, "Income Support Policies and the Family" DAEDA­LUS (Spring 1977): 147-169. ' The Family Independence Project Proposal probk:ms would serve as operational hypotheses for the project. Each would be sub­jected to scrutiny and accepted or rejected as a result of objective findings. In this &sbion, any proposed redesign of the existing system would be based on a valid and reli­able analysis ofneed. 1. As a result of separate fun~and regulatory agencies, services are fragmented. 2. Senices from any agencies are poorly coordinated. 3. 1bere is a duplication of services. 4. Categorical eligll>ility criteria causes gaps in services. 5. Many current employment-preparation programs have had limited success because of inadequate emphasis on underlying causes ofpublic dependence (e.g., self-con­cept problems and insufficient work-related interpersonal skills). 6. Individuals dependent on public assistance do not have equal accessibility to train­ing and placement in higher paying jobs through public service agencies and/or priYate industry or organizations. 7. Many manpower agencies are reluctant or unable to address the training and placement needs of the disabled or severely disadvantaged. If the hypotheses are confirmed, public assistance in the State of Texas, as in much of the nation, is a conglomerate of fragmented and duplicative programs resulting from multiple federal agency funding and regulations. With varying categorically restrictive eligibility criteria and lack of coordinated resources, often the programs are unable to meet the needs of the disabled and/or disadvantaged in Texas. If any of the hypotheses above are found to be valid, a range of alternatives will be examined to correct the situation. A principal feature of any new system would be that it provide services in an integrated, coordinated fashion. ll. GOAIS, OBJECTIVES AND BENEFITS GOALS 1be Family Independence Project (FIP) would seek to develop a coordinated system for the delivery of social, financial, medical, and manpower services to free individuals and families from dependence on public assistance. The goal of this project the first year is to assess present services, needs, and resources. By testing the operational hypotheses, a number of coordinated independence-fostering approaches will be explored. An opti­mal system will be selected and pretested during the second year of the project to demonstrate its effectiveness. 1be service-delivery system model, which will result from this intensive planning and development project, should have five major goals: (1) t~ ~crease the em_ploya?ility and income of the poor in Texas; (2) to enhance the stability of the family urut; (3) to expand the opportunities of individual members of the_ ~am~y for positive, ?roduc~ive life-styles; (4) to provide a coordinated system of r~habilitation and rede~ptive semces to the disabled and/or disadvantaged; and (5) to achieve a more cost effectJVe method of delivering services. In order to accomplish these goals, a substantial planning and development effort must be undertaken. During the first year of the project, it will be necessary to analyze fully The Family Independence Project the hypotheses outlined in the introduction, Study the needs of the disabled and/or dis­advantaged in the project area, scrutinize system designs, obtain legal clearances, and establish administrative procedures. · OBJECTIVES The following five objectives for the planning phase have been developed to encompass the planning and development criteria. 1. Establish the administrative structUre necessary to carry out the planning phase. 2. Collect and anlyze data on the existing human services and potential client popu­lation in the project area to test the hypotheses of the project and to identify client needs. 3. Develop alternate system designs for the delivery of services to the disabled and/ or disadvantaged. 4. Examine the legal, organizational, and financial characteristics of each alternative system design. 5. Outline procedures to test and implement the selected system design. DELIVERABLES The planning phase of the Family Independence Project will deliver the following pro­ducts by the end of the funding periqd: 1. An analysis and evaluation of current service programs for the disabled and/or disadvantaged in the Fort Worth area; 2. A description of alternative designs that would reduce duplications or meet short­comings of the present system; 3. lnteragency agreements and regulatory waivers needed to facilitate the system; 4. Identification of regional personnel needs; and 5. A plan for test and implementation of a Family Independence delivery system. BENEFITS Working in close cooperation with the Fort Worth Consortium for Employment and . Training Programs, the Texas Employment Commission (TEC), the Texas Rehabilitation Commission (TRC), and the Texas Department of Human Resources (which will be the administering agency) proposes to establish the Family Independence Project in the greater Fort Worth, Texas area. Support and involvement are solicited from the U.S. De­partment of Labor (DOL) under Title III of the Comprehensive Employment Training Act (CETA) and the U.S. Department of Health, Education and Welfare under provisions of the 1977 Social Security Act. Successful implementation of the selected service-delivery model would yield the follow­ ing benefits. l. A comprehensive, integrated system of service delivery would reduce the duplica­tion of services and, therefore, result in more cost~ffective delivery. The Family Independence Project Proposal 2. Family members would achieve long-term independence through the approaches developed by the project. 3. More persons, including the poor, the disabled and/or disadvantaged, the un­employed, and the underemployed, will be served. 4. Services will be available for all members of the family, not just the head of the household. S. The private sector will play a much larger role through assistance, subsidies, and nonfinancial agreements. 6. By paralleling proposed legislation, the project will serve as a model for acceler­ated implementation of new legislation. m. PLAN OF OPERATION The first year of the Family Independence Project (FIP) is a planning effort. At the end of the fust year, the project will have selected a complete mechanism to carry out the Family Independence Project. During the second year, the designed system will be tested, and services will begin. The following narrative describes the work flow for the first year's planning activities. A time/task analysis indicating time relationships among the various objectives appears at the end of this section. OBJECTIVE ONE The fust obejctive calls for the establishment of the administrative structure necessary to carry out the project. Because the Family Independence Project is a complex interagency undertaking, the establishment of the necessary administrative structures will be. more cumbersome than usual. However, the project has already taken major steps toward cooperation during the proposal development phase. Letters of support appear in Appendix B. Steering Committee To assure that each participating group has adequate input into the project, a steering committee will be established to observe the project's activities. The committee will include the Mayor of Fort Worth (or an alternate elected official); the regional di­rectors of the Texas Department of Human Resources (DHR), Texas Rehabilitation Commission (TRC), and Texas Employment Commission (TEC); a Texas legislator, a public assistance recipient; a Federal Region 6 representative of the U.S. Department of Labor (DOL) and the U.S. Department of Health, Education and Welfare (HEW); and the USDA Regional representatives. The Mayor of the City of Fort Worth will chair the group, which will meet quarterly. The steering committee will monitor pro­ject activities, advise the project on its progress, and recommend changes. Staff Since each agency has already committed itself to cooperate in the project, it is essential that each be represented on the staff. Staff members will continue to remain employees of their respective agencies; however, they will report to the project director. DHR, as the administrative agency, will designate the project director. The staff assigned from each agency will represent the project's administrative structure. The Texas Department of Human Resources, the Texas Rehabilitation Commission, and The Family Independence Project the Texas Employment Commission are state agencies whose services are delivered by regional administrators. Policy is developed at the state level, while regional subunits conduct agency operation. The Greater Fort Worth Training and Employment Con­sortium, as a CETA prime sponsor, is a direct contractor with the U.S. Department of Labor. (The agency has no state-level administration.) Therefore, administrators from both state and regional offices of DHR, TRC, TEC, and the City of Fort Worth will be assigned to the effort. The project will receive two additional forms of nonfunded assistance. Consultation is being requested from the Texas Industrial Commission (TIC), which is responsible for fostering the state's economic development, and the Texas Education Agency (TEA). Their representation of the staff will not be financially sponsored. Dotted lines indicate these agencies' relittionship to the project in Figure 3. In addition, the project will receive continued assistance from the Lyndon B. Johnson School of Public Affairs of the Uni­versity of Texas at Austin. This institution has lent much assistance to the development of the Family Independence Project. Students and faculty in the policy research project for welfare reform will continue to gather and analyze data that will facilitate planiling of the Family Independence Project. Regional and Fort Worth staff will be housed together in Fort Worth. State office staff will be housed together in Austin. Systematic communications will be established and maintained between the two groups. Since project staff will be drawn from participating agencies, their knowledge of pro­grams, regulations, and services will be substantial. State-level personnel will be familiar with policies and regulations. Regional staff will have knowledge concerning the opera­tions of subcontractors and service d~liverers. The composite knowledge held by the staff will assure a comprehensive and realistic pic­ture of the service situation in the Fort Worth area and of state administration. The staff also will possess individual skills in data and anlysis, policy planning, community affairs, program development, and project administration. Schedule When the staff has been assembled, a detailed Program Evaluation and Review Technique (PERT) chart will be developed. PERT charts, which are useful in outlining relationships between tasks and events, will reveal the impact of delays on the total project schedule. These charts will be used to establish priorities and identify critical tasks. The PERT management strategy will be applied throughout the project. Administration In order to permit many agencies to participate in the project, a series of interagency contracts will be necessary. Contractual arrangements will be determined after the exact nature of the funding received for the planning phase of the project is known. During the first month of the project, office space in Austin and Fort Worth and supplies and equipment needed for the new staff will be obtained. OBJECTIVE TWO Objective t~o c'.111s for the ~eve!opment o~ baseline data on the existing human services and potential client population m the project area. Some work on this objective has al­ready begun. Analysis of the demographic data h~s been completed partially for a social area study conducted for DHR under contract with the Population Research Center at STEERING COMMITTEE t I PROJECT DIRECTOR DHR TRC TEC DHR 1 State 1 State 2 State 1 Regional I II 1 Regional 1 Regional I I I I I I I I I i e "" c:.; ~ 1 Fort Worth Consortium for Employment/Training Programs J r-------L-------, :p I I s. 1 I a r------...l------..., r--------.L-------. I I I I Support I TEA I I TIC 1 Personnel : : I I Vl t ~-----------~ L-------------J The Family Independence Project the University of Texas. Also, an inventory of services in the Fort Worth area hu been started. This objective will be expanded and oompleted early in the plaDning phase. Service Inventory Although cursory listings of services for the Fort Worth area are available, no compre­hensive study of the human services in the Fort Worth area, which are specifically related to the needs of the disabled and/or disadvantaged trying to attain financial independ­ence, has been made. Therefore, the project will inventory the nature, scope, and finances of human, employment, and training services available in the project aiea. The project also will inventory services provided by the four participating agencies, in­cluding the employment services offered by TEC; financial, social, and medical support granted through the CETA prime sponsor; and vocational rehabilitation setvices to the dis3bled provided by the TRC. In addition, the staff will analyze the range of semces, including nonprofit services, offered by the private sector. Services provided by shel~ workshops, commercial employment agencies, privately sponsored social servica, and others will be studied. The project staff will analyze the availability of education and training services in the Fort Worth area. Secondary schools, community colleges, and proprietary trade schools will be studied to determine the extent of their training ser­vices. Corporations, public agencies, and labor unions will be canvassed to determine the amount of entry-level education and vocational training they provide. · · These inventories will include an assessment of the number of persons served, money allocated to each program, services rendered, and the total manpower engaged in the delivery of each category of service. An effort will be made to calculate the total cost of manpower, training, and social and financial services that are currentfy being deliv­ered in the Fort Worth area. The inventory will identify the legal mandate and program limitations placed on each service, too. The project will assess the quality of services provided by each program and clescrihe i:he interrelationships among those programs, including both administrative and client rela­tions. Examination of service quality will include a review of the operational expertise and relative success of each program. Such an evaluation will help identify duplication of services, unnecessary administrative overlap, and service gaps. For instance, WIN, TRC, and the Fort Worth CETA Consortium all offer on-the-job training. Given the availability of clients, this may appear on the surface to be nonduplicative. However, this can be gauged only by a thorough, objective evaluation of services. Flexibility ofServices Once the services are inventoried and the potential client group identified, it will be necessary to determine what kinds of changes can be made in the service pattern in the Fort Worth area. The legal status of each category of service will be reviewed to determine limitation on the changing of agency roles in the delivery of those services. This review will include the mechanisms that can be used to obtain permission to change those roles. For example, it probably will be necessary to use waivers under Section 1115 of the Social Security Act to effect changes in DHR programs and grants. It also may be necessary to use the as yet undefined waiver mechanism in the current Food Stamp program and CETA. Where agency restrictions and narrow mandates do not permit the expenditure of routine agency funds for the new type of services to a broader clientele, it may be necessary to examine the feasi"bility of using one or more inter­agency contracts so that funds can be channeled to agencies designated to serve a specific function for all participants even though they may not meet eligibility criteria for service and eligibility. The Family Independence Project Proposal Examination of flexibility will result in a description of the overlaps and gaps in the currently available service patterns and will identify the services that can be expanded and under what circumstances that expansion can take place. Some services may be operating at their full capacity; others will be able to handle additional services with no increase in staff. Experience ofOther Projects Several projects have been established in the past to develop and implement coordinated services to the disabled and/or disadvantaged. These projects will be studied to determine the factors that contributed to their success or failure. The Child Development Center in Fort Worth and the Dallas Crossroads Center will be among those studied, as well as the recent Minnesota effort to amalgamate services. Needs ofPotential Clients The existing Aid to Families with Dependent Children (AFDC) and Supplemental Security Income (SSI) recipients in the Fort Worth area will be studied for the purpose of testing the hypotheses, with particular emphasis on providing training and personal growth (hypothesis five) and on providing training and placement in higher paying jobs (hypothesis six). The recipients will be surveyed to determine their prior participation in training and work incentive programs, their social history , their families' social his­tory, their work history and reasons for leaving employment, etc. A select population will be tested using personality tests and other measures to determine their attitudes toward work, training, and themselves. Participation in this testing will be voluntary. Survey for Potential Qients The project will develop an aggregate, detailed statistical profile on the population to be served. The principal source of data must be the 1970 densus, even though it is out of date, and updates. The U.S. Bureau of Census Cu"ent Population Survey will provide more current information. Additional data may be obtained from the City of Fort Worth Planning Division, North Texas Council of Governments, projections of popula­tion made by various agencies, school district data, and other sources. The resulting demographic profile will identify potential client groups and their distribution in the city by economic and ethnic groups. Based on the demographic profile, an estimate of the number of persons in the Fort Worth area who are currently eligible for CET A services will be prepared. This figure will be compared to the number of persons participating in the CET A program and will indicate the proportion of eligibles who choose not to participate. This will provide a basis for estimates of participation and nonparticipation in the Family Independence Project services. A somewhat lower level of nonparticipation is expected in the Family Independence Project since the range of services offered is more comprehensive and may meet the needs of a larger portion of the eligible population. The project will examine the potential client population that cen be expected to partici­pate, given various eligibility criteria. Estimated participation in the project at any given level of income eligibility will be derived from the estimated percentage of nonparticipa­tion and the demographic profile. This data will be subjected to multivariate analysis to project the nature and expense of services to be delivered through the Family Independ­ence Project for various eligibility criteria. The exact income guidelines to be selected for use in the project will be determined in part by the results of this analysis. In other words, if the service capacity in the Fort Worth area does not permit the delivery of ser­vicess to the anticipated number of persons at a high eligibility criteria, a more rigorous criterion may be used. The Family Independence Project OBJECTIVE THREE The third objective of the project calls for the examination of alternative system designs. Conceptually, these designs will form a continuum ranging from maintaining the present·. system to a complete overhaul of human services delivery. In section 4, three alternative system designs are described as well as the options representing the range of posSll>le ap­proaches that will be considered. When the project staff has articulated the·.system options, along with the benefits and disadvantages of each, they will be presented to the steering committee and each participating agency for review and comment. Any needed revisions will be made, and the options will be presented formally to the steering com­mittee, which will select the system to be initiated and tested during the second year of the project. The selected strategy will be presented to the boards of each participating agency for final approval. The following criteria will be used to select the appropriate system design. • The design must conform to legal and regulatory parameters; that is, it must be implementable under current legislation. • The design must be implemented and pretested with a marginal increment of funds, relying principally on conventional funding. • The design must have the approval of the boards of the participating agencies. • The design must not impact deleteriously on current clients or semces. The proposed designs will describe. the scope of clients and services and identify_costs and requirements needed for implementation. The selected general system design will detail the services to be offered and a detailed description of the client flow process for participants in the project. It will define the criteria and procedures to be used in case · coordination, in developing each family's independence plan, and in carrying out that plan. The selected design will clearly state the eligibility criteria to be used in the project, ui­ cluding income and other categorical guidelines. If unforeseen developments impede the selected system design, alternative contingency systems will be selected. For each service, a specific lead agency will be identified. If service duplication is found to exist, responsibility will be shifted to a single agency for each category of service. In addition, resource agencies that are not major participants in the project or are second· ary contractors will be identified, and their potential roles in the project will be clearly delineated. Finally, the selected system design will describe the organizational, administrative, legal, and financial requirements for the project's implementation. It will describe the waivers, special clearances, or other legal mechanisms that must be completed, types of contracts to be executed, the organizational changes that will be needed, and the costs both fox the administration and for services. · Once approved by all the participating and funding agencies, the selected system design will serve as a basis for the remainder of the planning phase. Formal signed approval will be obtained from each participating agency, but no financial agreements will be executed until all legal funding mechanisms are arranged. The Family Independence Project Proposal OBJECTIVE FOUR Because the Family Independence Project is designed to operate within the parameters of existing programs, it will be necessary to devote considerable effort to redefining the pennissl'ble role and scope of programs to obtain maximum flexibility. Three legislative developments greatly affect the outcome of the Family Independence Project. These developments have given or will give expanded demonstration authority and flexibility to human«rvices programs. The project will make the fullest possible use of this authority. It will be necessary for the project to monitor closely legislative and regula­tory developments in order to identify changes and ensure that the project is aware of the flext'bility provisions and limitations the changes entail. Provisions of the recently passed 1977 amendments to the Social Security Act provide for the initiation of up to three demonstration projects in each state. These projects would be operated under waivers made possible through an expansion of the provisions of Section 1115. Two topics, the earned-income disregard and possible changes in the Work Incentive Program (WIN), will be explored. Although regulations pertaining to the demonstration projects have not been established yet, the Family Independence Project is being submitted to the U.S. Department of Health, Education and Welfare as a demon­stration project pursuantto Section 1115. After consultation with HEW officials and the development of the full system design, the project will identify the exact waivers that will be required to carry out the project. A second legislative development that merits consideration is the Food and Agriculture Act of 1977. This new authori7.ation of the Food Stamp Program provides for research and demonstration authOrity that previously had not been available to the program. Under the provisions of Section 17, the Secretary of Agriculture is authorized to con­duct pilot or experimental projects. These efforts are designed to improve the delivery of Food Stanip benefits. Efforts will be initiated to qualify the Family Independence Pro­ject for eligJ.l>ility as a Food Stamp Demonstration Project. Finally, welfare reform initiatives are expected to include some type of demonstration projects. It is anticipated that efforts at securing agency cooperation and interaction in 1he Fort Worth area will go far toward making that area eligible as a project participating in the pretesting of the administration's welfare reform jobs component. Since the Fort Worth CETA prime sponsor is a major participant in the project, the U.S. Department of Labor will be asked to include Fort Worth as a pilot site. Continuation of the Family Independence Project depends on federal financial involve­ment. Planning for continued financial needs will begin early in the project. A continua­tion proposal will be prepared in cooperation with the Department of Labor; Health, Education and Welfare; and Agriculture so that project cost would be shared by more than one agency. Ideally, the project will receive initial support from all. Project staff will be responsible for development of all proposals, other documentation, and legal clearance. Also, they will develop any contracts that are necessary to facilitate coopera­tion among the agencies. OBJECTIVE FIVE Objective five calls for the outlining of steps and procedures necessary to test the select­. ed services system. A detailed task and implementation plan will be developed. The number and kind of staff necessary to carry out general syste~ de~will ~e.ide~ti­fied. The staff requirements will be compared to the staff available m p~t1cipating agencies. Job descriptions will be prepared for each task and necessary realignment of staff among the agencies descn'bed. "' FIGURE4 PROJECT GANTI CHART OBJECTIVES AND TASKS I 1 2 Objective I Establish the administrative structure necessary to carry out the planning phase. Tasks 1.1 Establish the steering committee 1.2 Develop interagency contracts. 1.3 Obtain office space, facilities, and equipment. 1.4 Assign project staff. 1.5 Arrange for TIC, LBJ School, and Texas Commission for the Blind consultants. 1.6 Develop project PERT chart. PROJECT MONTHS 3 4 7 I I s I 6 I I I 8 9 I 10 I I 11 12 :;;i It "1'J a c:: '< [ .g It g, !! f) It .. "Cl £. g ~ FIGURE 4 (continued) '° t;i ~ '!'.! a '<= Ei Q. .g i ~ ~ ~ .g_ g ....,,, a "O ~ N '° FIGURE 4 (continued) OBJECTNES AND TASKS Objective 3 Explore alternative system designs for the delivery of human services. Tasks 3.1 Describe range of services to be offered for each alternative. 3.2 Identify lead agencies for each service and component. 3.3 Describe diagtiostic services and participation criteria to be used. 3.4 Establish eligibility criteria for each alternative. 3.5 Identify secondary agencies and their roles. 3.6 Calculate costs for each option. 3.7 Identify legal, organizational, and financial requirements. PROJECT MONTHS 9 10 11 12 3 4 6 7 5 8 1 2 -! =­ i. "lj a =: '< [ ~ [ .. i. ~ .,, a. !l FIGURE 4 (continued) j ~ f, .9. g ... l ~ \0 w --! ;f FIGURE 4 (continued) er It,., a '< i .... =: It ::p s. !i OBJECTIVES AND TASKS Objective 5 Outline procedures to test and implement the selected system design. Tasks 5.1 Identify staff requirements. 5.2 Develop a plan to realign staff to meet these requirements. 5.3 Analyze staff training and development needs. 5.4 Determine staff location arrangements, space, equipment, and supplies. 5.5 Prepare a time/task analysis for the pretest and implementation phase of the project. 5.6 Prepare objectives for second-year activities. 1 2 PROJECT MONTHS 3 I 4 I s I 6 I 7 I 8 I 9 I 10 I 11 112 The Family Independence Project Proposal The project staff will need considerable tiaining to carry out their new responsibilities to their own 11BCncies. DRH's Continuing Education Bureau will identify training needs of all participating staffand will develop and carry out training programs as necessary. Outreach materials and plans will be prepared and put into operation. The use of medical and direct outreach staff will be explored, and a full outreach-strategy design will be developed. Space, equipment,· supplies, and other operating essentials will be identified and ·made available for the project's use. Each of these activities are essential to facilitate the testing of the system that would provide optimum services. Summary During the first year planning phase of the Family Independence Project, the staff would be selected from participating agencies and a project administration system established. A thorough analysis of human-services needs, programs, and clients would be conducted. Based on these 1mdings a number of alternative systems for delivering services would be postulated, reviewed, and scrutinized. From these strategies, an option would be selected for demonstration during the second year of the effort. The legal, administrative, and funding changes necessary to implement the chosen program option will be developed. The design selected would conform closely to federal welfare reform initiatives currently underway. Finally, steps would be clearly outlined for the demonstration stage of the effort IV. POSSIBLE SYSTEM DESIGNS During the planning phase of the Family Independence Project (FIP), a number of service-delivery strategies will be considered. It is not the intent of the effort to discard service strategies simply for the sake of installing a new one. Even as a pilot project, many clients and participants will be affected by any change. Extreme caution will be taken to assure that any action taken is appropriate and an improvement. This can only be accomplished through careful analysis of the present system and identification of the causes of any shortcomings that might exist. Once the problems are exposed and isolated, then more rational approaches can be considered. By retaining an objective posture, the project can yield the most desirable results. Upon completing the analysis of service needs, a range of alternative strategies will be develoJied. Strategies would be distn'buted along a wide continuum, ranging from a pro­posal to retain the present system intact to a plan to completely revamp the method of delivering services. Each strategy will be described in detail. Benefits and disadvantages will be weighed thoroughly. Positive and negative factors associated with installing alter­native strategies will be assessed. Model systems to be closely examined are as follows: 1. An integrated system of service delivery in which outreach, intake, and diagnostic functions would be centralized and eligibility determinations, employment, train­ing, physical restoration, work adjustment, cash assistance, and other support services could be decentralized, but closely coordinated; 2. A clearinghouse system to inform and refer disabled and/or disadvantaged persons to appropriate agencies for services; and 3. The current Texas system of cooperation and coordination among Texas Depart­ment of Human Resources (DHR), Texas Rehabilitation Commission (TRC), Comprehensive Employment Training Act (CETA), Work Incentive Program (WIN), Texas Employment Commission (TEC), and private industry. The Family Independence Project The impetus for modification of specific aspects of the current system would be pro­vided by data ooncerning needs and existing problems obtained during the planning period. As need dictates, other options and models will also be expl<>red. INTEGRATED SYSTEMS DESIGN If the preliminary hypotheses about the state of human service is coniumed, a system would be considered having six major functional elements. The system would include (1) outreach, (2) intake, (3) diagnostic process, (4) vocational counseling, (5) indepen­dence-fostering activities, and (6) employment. The relationships of these elements, as well as their individual components, are shown in Figilre 5. A discussion of each of the major functional elements follows. Outreach A multifaceted outreach effort will be designed and implemented by a lead agency. A public information campaign will be launched to reach the target population in the Fort Worth area, which includes the cities of Fort Worth, Arlington, Hearst, Euless, Bedford, Haltom City, and White Settlement. Community resources (such as the local housing authority, church and civic groups, and existing agency intake offices) already in con­tact with possible eligible clients will be utilized. Mailers, press releases, posters, and other public information methods will be utilized to inform the appropriate populations. Outreach information will contain a brief de­scription of the eligibility criteria, the location of the project intake centers, phone numbers for additional information, and a synopsis of the purpose and services of the project. Iffeasible, outreach personnel will be deployed in high-poverty areas. Intake Assuring maximum access to services by the target population is a major responsibility of the agency providing centralized intake. The intake process begins with an intake eligibility worker. This worker determines project eligibility, initiates the client infor­mation system, and makes referrals to community resources for persons not eligible for project services. When it is determined that a client or family is eligible for the Family Independence Project, a case coordinator will immediately be assigned. The coordinator will retain responsibility for counseling and monitoring cases throughout the client's participation in the project. Continuous monitoring of cases reduces time and costs and prevents the shortcomings of referral and "suspension" to other programs. During the intake process, the eligibility worker will determine preliminary eligibility for the multiple services available through the project. If the client appears to qualify under project guidelines, his/her special needs will be noted; and he/she will be re­ferred to the appropriate agency or service. Through a coordinated intake approach, a disabled/disadvantaged person will not be turned away at the intake facility without a referral to an appropriate agency and a clear understanding of where to go for help. Project Eligibility Determination. Participation in the Family Independence Project is voluntary. Eligibility will be based largely on income and employment status. Since the target population for the project is the same that qualifies for Comprehensive Em­ployment Training Act (CETA) Titles I through VIII programs, Food Stamps, and Social Security Administration (SSA) Title XX (see Table 5), a substantial case load is anticipated. At intake, preliminary screening will determine other programs for which a client may qualify. The Family Independence Project Proposal FIGURES INTEGRATED SYSTEMS DESIGN I OUTREACH I ..L INTAKE Project Eligtlrility Determination Case Coordination Client Information System DIAGNOSTIC PROCESS Initial Diagnostic Inteniew Testing and As9essment . General Medical Examination s . -· .Examinations l. VOCATIONAL COUNSELING FODDlltion ofCase Committee ~ofDiagnostic Findings Goal Setting . ­ Plan-t INDEPENDENCE-FOSTERING ACI1VITIES EMPLOYMENT APPROACH Umuhsidmd Employment Employment with·AmsWlce Subsidizccl Employment Coumeling TRAINING APPROACH Prevocational Training On-the-job-Training Formal Training Counseling RESTORATION APPROACH Surgery Prosthetics Physical Therapy Short-term Psychotherapy Counseling SUPPORTIVE SERVICES APPROACH Coameling Food Stamps Housing Transportation ChildCare Medications Referral to Other Agencies Medicaid CASH ASSISTANCE APPROACH Temporary Assistance Long-tenn Assistance Counseling '° 00 TABLES COMPARISON OF ELIGIBILITY FOR SERVICES BY NET FAMILY INCOME (1().01-77) ...i ::i" t't.., Ill Household Size DHR Title XX Social Se:rvices Monthly AFDC Monthly Grant SSI Monthly Grant Food Stamp Monthly TRCMonthly Economic Need Criteria CETA Title I Annual Monthly CETA Title I Annual Monthly ~ --=.. Cl Q. t't "' 1 2 3 4 $ 410.35 537 .26 663.68 790.10 $ -86.25 116.25 140.25 $177.80 --- $ 245 322 447 567 $ 400 600 700 800 $ 2,970 3,930 4,890 5,850 $ 247 .50 327.50 407.50 487.50 $ 2,970 3,930 5,370 6,630 $ 247.50 327.50 447.50 552.50 t't !. t't ii! t't "Cl.. .2. 5 916.51 163.50 - 673 850 6,810 557.50 7,820 651.66 g... 6 1,042.93 184.50 - 807 900 7,770 647.50 9,150 762.SO 7 1,066.63 204.75 - 893 950 8,730 727.50 10,420 868.88 8 1,090.33 225 .00 - 1,020 1,000 . 9,690 807.50 11,690 974.16 9 1,114.04 244.50 - 1,147 1,050 10,650 887.50 12,960 1,080.00 10 1,137 .74 264.75 - 1,274 1,100 11,610 9(i7.SO 14,230 1,185.83 11 1,161.44 285.00 - 1,401 1,150 12,570 1,047.50 15,500 1,291.66 12 1,185.15 309.00 - 1,528 1,200 13,530 1,127.50 16,770 1,397.50 NOTE: (1) Title XX Services are based on 60 percent of the State median income adjusted by number in family. The State median income for family of 4 is $15,802. (2) Monthly income rechecked periodically by DHR. (3) Larger household income computed propor· tionately. (4) CETA uses lower annual rate for rural and farm families. (5) CETA training allowance and work experience wage is $2.65 an hour. The Family Independence Project Proposal Since the intake function will be a centralized one, eligibility workers would be knowl­edgeable of all f"mancial, social, and medical programs. They would help clients make application and carry out preliminary eligi"bility determination. Since eligibility deter­mination for different programs varies significantly and is rather complicated, final deter­mination will rest with the agency sponsoring the programs. Thus, the Texas Depart­ment of Human Resources (DHR) would certify eligibility for Aid to Families with Dependent Children (AFDC), just as the Texas Rehabilitation Commission (TRC) would determine eligi"bility for vocational rehabilitation services. If a client fails to qualify for programs such as AFDC, Unemployment Insurance (Ul), or Vocational Rehabilitation (VR), then the broader criteria of CETA Title XX and Food Stamp eligibility may be applied. For those disqualified by virtue of income, special needs will be noted. In addi­tion, an appeals mechanism will be installed. Ineligi"ble applicants will be referred to agencies with services appropriate to their needs. Ca81! Coordination. To insure coordination among programs and services available and appropriate to a client in the Family Independence Project, a case coordinator will be assigned to the client after the project eligi"bility has been verified at the intake facility. The case coordinator must be competent in case management-by-0bjectives, generic family counseling, vocational counseling, case documentation, occupational information, and the Family Independence Project operations; he/she must also be familiar with com­munity resources. The case coordinator will assist the client in applying for the multiple programs and 9eIYices for which the family members are eligi"ble, provide vocational counseling, main­tain case data files, provide orientation to the Family Independence Project, and direct the client to the appropriate diagnostic program. After completing the diagnostic process, the case coordinator will review the results with the program specialists and, then, explore the program options with the client. This very critical function requires maximum participation by the client and skillful guidance by the case coordinator. Most clients will be unfamiliar with employment and will depend on the coordinator for guidance. Vocational counseling skills, then, are the primary qualities expected of the case coordinator. After the client's program options are selected by a client-coordinator agreement, a case committee composed of specialists from each program will be formed with the case co­ordinator as monitor. The number of committee members will depend on how many options the client and family members selected or the program for which they are eligi"ble. Although the composition of the committee may change according to changes in the program options, the coordinator will remain with the case. During the course of participation in the program, the coordinator will work with appropriate program specialists to assure that cases are monitored and progress reports noted and documented. Finally, when the client and family have completed their pro­gram options and have become free from public dependence, the case coordinator periodically will follow up on family progress. Qient Information System. In addition to determining pr~liminary ~ligibility, ~s~g a case coordinator and referring the client to the appropnate agencies not participating in the demonstrati~n project, the intake agency also will initiate and maintain an infor­mation system to monitor clients. Data banks will be maintained by the intake agency throughout the entire period the client is participating in the Family Independence Project. Consolidated, multipurpose forms will be devel?ped to meet the r~port?tg ne~ds of the various agencies involved. In this manner, se1V1ces from the agencies will be mtegrated The Family Independence Project without the completion of multiple forms. The progress of the client through the independence-fostering process will be tracked by all agencies through data gathered by these forms. Each person entering the intake facility will complete a basic application form that will provide the central information for the client information system, an application number (such as the applicant's Social Security number) will be assigned. If the intake worker determines that the applicant is not eligible for the Family Independence Project, the worker will note to whom the client was referred and why. A copy of the application form will be sent to the referral agency with ·a request for follow-up data, such as: Did the applicant request services? Was the applicant determined eligible? and What services were provided? The referral agency will return the application form to the pro­ject center for data collection. Application numbers will be filed so that multiple appli­cations can be noted. Once an applicant is verified as being eligible for the project, it is the responsibility of the case coordinator to maintain case documentation on the client by providing the following information: programs for which the client is eligible (AFDC, CETA Titles, Food Stamps, Vocational Rehabilitation, etc.), testing and diagnostic measures used, selection of program options (training, physical restoration, supportive services, and/or cash assistance), and services delivered. The Family Independence Project will follow the standard confidentiality procedures used by the cooperating agencies for both computer and manual records. Program specialists will maintain records of client progress in their specialized areas. These records will be in a format consistent with the intake data records. The program specialists will be employees of the agencies deemed most competent in the various program options and will bring to FIP the expertise in these areas. Where there is more than one agency selected for an option, the roles of these specialists will be subdivided where possible. Diagnostic Process The diagnostic process for the Family Independence Project would be unique in that it would include involvement of the total family and not just heads of households or in­dividual clients. The process emphasizes the gathering and use of diagnostic information leading to program options that are appropriate to the needs of each family member. Diagnostic results serve as a basis for the development of goals and objectives that will lead to long-term financial and social independence. The diagnostic process consists of three components-social needs assessment, medical assessment, and vocational assessment (including work history, educational assessment, and skills assessment). Initial Diagnostic Interview. At the time of intake interview, the case coordinator will set up an appointment for the initial diagnostic interview between the total family and a trained diagnostician. The case coordinator will explain that multiple members of the family may participate in the diagnostic process and will discuss the importance of setting family and individual goals. The diagnostic service will be centralized and under the purview of one agency. During the diagnostic interview, the social-needs assessment will be initiated, a medical history will be recorded, and a work and educational history will be taken. Extra­ordinary environmental and social needs will be noted. Program options of physical restoration, supportive services, cash assistance, and training will be explained to the family. After considering this information, a preliminary discussion of the appropriate types of additional assessment of individuals can be held. The diagnostician will ad­minister or arrange for the assessments indicated. The Family Independence Project Proposal Information derived from the diagnostic process will be available only to the case com­mittee of which the diagnostician is a member. Confidentiality of client records and information will be assured. Testing and Aaeument. Appropriate family members will undergo a thorough assess­ment to determine their vocational potential and their needs relative to pursuit of a suitable vocational objective. Psychological testing, including tests of intellectual func­tioning and achievements, and an assessment of interests will be administered. Tests will be selected on the basis of observations and the initial interview. Mediall Examina~ Clients possessing physical and/or mental disabilities, or who are suspected to be disabled, may consent to undergo medical exminations. Records of past diagnostic workups and treatment will be secured. General medical examinations will. be purchased. If necessazy and appropriate, examinations by specialists will be arranged. The intent of such examinations is to determine the functional limitations imposed by disabilities, whether remediation of ·the impairments is possible and . feasible, and the types ofjob duties to be avoided. Vocational Counseling Vocational counseling services will be provided upon completion of the diagnostic processing. Several elements are included in this function-the establishment of a case committee, composed of the case coordinator and the program specialists; the review of the diagnostic findings; the goal setting; and the plan development. Formation of Case Committee. The case coordinator will convene and chair the case committee composed of program specialists representing the various program options md the diagnostician(s) who performed the diagnostic process. This committee will act u a consultant throughout the program and will be consulted regularly by the case coordinator. Initially, the case coordinator will explore with the committee the results of the diagnostic process and secure the committee's recommendations of appropriate vocational objectives, support services, physical restoration, training, and/or cash assis­tance. Subsequently, the case coordinator periodically will review with the committee the client's progress and seek committee recomendations for further action. Rl!lliew ofDiagnostic Findings. The case coordinator will meet with the client and family to review the diagnostic findings and explore the recommendations of the case commit­tee. Both the vocational strengths and weaknesses of the client will be reviewed for the purpose of helping the client understand his/her problems and potentials. This process is to assist the client to proceed through programs of adjustment and self-improvement. Although the case coordinator frequently will have to address personal and emotional iJsues as part of vocational counseling, he/she must not view his/her role as that of a psychotherapist. If therapy is appropriate, this will be performed by a psychotherapist as part of the physical restoration program. Goal Setting. The diagnostic process will lead to the development of personal goals for the client and planned program to achieve those goals. The goal setting will be a joint effort by the client and the case coordinator, will result in goals mutually agreeable to the two and will be consistent with the recommendations by the case committee. If agreeme~t cannot be reached, the case coordinator will reconvene the case committee to discuss other program options and goals. Plan Development. The plan for services will include the goal~ to be achieved, the_ ser­vices needed, the time required, and the estimated cost. What IS expected of the client, his/her family, and the participating agencies will be specified. The Family Independence Project More than one program option may be required simultaneously and/or sequentially. For example, a client may need supportive services throughout the process, or he/she may need a sequence of physical restoration and/or training simultaneously. Even those who need only cash assistance will be reevaluated periodically to determine feasibility for other program options. Independence-Fostering Activities Recognizing that developing independence from public assistance is a long-term rather than a short-term process, the project's goal will be long-term, effective independence from all forms of public assistance for the client instead of immediate placement and quick turnover. There is little value in moving persons from one service category to another in order to call them successful cases. The integrated systems design has identi­fied five approaches, or program options, for the client during the independence-foster­ing phase of his program. Employment Approach. Productive, long-term employment is the desired outcome for the employment approach to self-sufficiency. The agency(s) providing employment ser­vices will work actively to ensure that the private sector plays a major role in the forma­tion and delivery of services. The overall emphasis will be qualitatively and quantitatively to improve placement efforts. This will include more intensive counseling in job search­ing, interview and job maintenance skills, more fruitful relations with area employers, and more strenuous efforts at job development and follow-up. The employment approach has three programs alternatives-(!) placement in unsub­sidized employment (2) placement in unsubsidized employment with continued as­sistance to offset the cost of work and mediCal expenses, and (3) placement in govern­ment-subsidized employment. On.going vocational counseling will assist the client in adjusting to the job setting and help him/her maintain employment. Placement in Unsubsidized Employment. With emphasis on job searching and occupa­tional availability, the alternative of placing family members in unsubsidized employ­ment is directed toward placing those individuals who have viable, marketable skills. The agency charged with carrying out this alternative will provide a comprehensive placement service and a continuous analysis of the area job market, which will reflect qualitative as well as quantitative trends in occupational patterns. After determining that placement in unsubsidized employment is the most desirable alternative, the program specialist representing this approach (who would also be a member of the client's case committee) would offer substantive guidance to the client. His/her closely monitored assistance might include helping the client prepare resumes, simulating interview situations, or providing the client with the names of persons he needs to contact. By providing a more appropriate fit of client to job, it is hoped that employers will develop more trust in public employment services. Moreover, with ex­panded and improved services, it is believed that clients would be more likely to par­ticipate in the project instead of pursuing costly, private employment assistance. Placement in Unsubsidized Employment with Continued Assistance to Offset the Cost of Work and Medical Expenses. One of the greatest impediments to giving up public assistance is that a minimum wage job often offers less net income to clients than does welfare. The alternative of placement in unsubsidized employment with continued assis­tance would place persons with limited but competitive employment skills in jobs. However, these persons would continue to receive support to defer costs related to transportation, child care, and medical services. Research showing that AFDC mothers are more concerned about the medical services that are associated with AFDC than they l'he Family Independence Project Proposal are with. rem~g on. public financial assistance* supports this alternative's theory. If a pub_lic asSJStance client or any single head of household can be assured that employ­ment ~not be deleterious to his/her well being, then possibly he/she will view this alternative much more favorably. nus strategy is similar to the one used by the Work Incentive Program (WlN). Currently, support services for WIN clients are discontinued after a period of full employment, irrespective of wage and income levels. Under this approach, persons would continue to receive support until such time as their income levels surpassed acceptable limits. Each client case would be reviewed quarterly to assure that income levels are consistent with services being provided. nus alternative will encourage persons to work and obtain job experience at minimum wage levels without casting them away from the protective umbrella of public assistance. Such support will be provided until the client's income increases beyond maximum standards or when work-related expenses (such as child care) are reduced. Also, there is the possibility that payroll earning and company insurance plans might replace two ele­ments of public assistance-monetary grants and, in some cases, insurance/medical assistance. If not, then medical assistance through Title XVIII and XIX of the Social Security Act (Medicare and Medicaid) would be continued. By shifting a large part of the family maintenance costs to employers, family main­tenance grants would be no longer necessary. Although ancillary costs to society would exist, the likelihood of their being reduced over the long run is much better than if the client simply remains at home. No doubt individual dignity will increase as will incen­tives to. enter lower paying jobs that have the potential of increased wages with tenure. Pfacement in Go11emment'Sub8idized Employment. Public Service Employment will be used to develop employment positions with municipal agencies and private nonprofit organizations. Emphasis will be placed on career advancement and development of skilled and paraprofessional positions for the disabled and/or disadvantaged. In addition, attempts will be made to develop extended, sheltered work positions in existing rehabilitation facilities for those severely disabled individuals whose earning capacity is less than 50 percent of the minimum wage. Adult work-experience programs will be utilized to develop subsidized employment for the transitional worker who has job slcills for but for whom no appropriate job is available. Long-term support is not anticipated for the transitional worker; he could move into unsubsidized employment as soon as a job becomes available. Training Approach. The majority of clients will not be ready for employment. Train­ing is one of the program alternatives available to prepare clients for employment. The types of training to be offered to the client will depend on the client's needs and poten­tial, ·but may include prevocational training, on-the-job training, and/or formal training. Prevacational Training. The causal factors resulting in unemployment are many and vary widely from client to client. For some, the lack of marketable skills and well-paying jobs are important factors; and for these individuals, training and high-level jo~ placement will help. But for many more, the problems run far deeper than that. The disadvantaged have a significantly greater lack of confidence in their abili~y to succeed in :mp_loym~nt because of repeated failures. In addition, their problem-solvmg and commurucahon skills are frequently functional in their social milieu but not in the middle-class working en­ *Charles J. Tesar, An Assessment of the Educability ofAFDC Caretakers (Austin, Texas: Department of Human Resources, 1975). The Family Independence Project vironment. Personal social-adjustment training must be available to address theae prob­lems. Such training should concentrate on strengthening the individual's self-concept and . helping him to acquire new types of communication, goal-setting; problem-solving,job­seeking, and job-maintenance skills. Clients identified as needing prevocational training would receive instruction offered · through a number of programs. The Texas Rehabilitation Commission (fRC) has devel­ oped a comprehensive prevocational training package of approximately six weeks' duration. In addition, an adult competency training program; entitled Adult Performance Level.· · Program, has been designed and pretested by the University of Texas at Austin. Cur­rently, the system is being piloted in a number of areas throughout the state as an alternative to traditional adult basic education programs. It holds much merit as a strategy to address attitudinal and competency deficiencies in adults and could be easily adapted as an alternate prevocational training measure for persons outside the purview of vocational rehabilitation services. ·. " On-the-Job Training. The on-the-job training program will have the following charac­ teristics. • Clients would participate in a preemployment training period to learn the skills and attitudes fundamental to the on-the-job training situation. · • The on-the-job training process will be competency-based. Clients will complete their on-the-job training when they can demonstrate the skills and attitudes re­quired for employability. The . time for this training will vary from individual to individual. • Trainees will be directed toward companies and occupations where demand is high and where jobs will be available in the future. • Clients pursuing the alternative of one-the-job training will be placed only with those employers who meet certain standards. Employers must have a wellodesigned intake and training process. Working with the case coordinator, the employers Will design, initiate, and monitor instructional and experiential strategies for each ·client. While the employer will not necessarily have to hire the· client when he has completed his training, the employer must certify that the client has obtained the · skills at a level established at the beginning of the training program. On-the-job training is appropriate for persons who have little or no work experience 81\d for whom formal training is not appropriate. Clients interested in the occupations of the many trades for which no formal, prepara­tory training exists will be directed to this option. Also, on-the-job training is appro­priate for working individuals who require some training to obtain credentials for long­range independence. These clients would pursue on-the-job training and then undertake formal training. After the client has obtained the skills and credentials required for un­subsidized employment, he/she would return to his job. The client who chooses the alternative of on-the-job training will require some counseJ.., ing concerning his beginning the job and the typical organizational procedures. Although the participating corporation's training officers will monitor the client on the job the case coordinator will still be available to assist the client with any problems that ~t arise from the support services the client still requires. Because the client will be receiv­ing a salary and may have access to additional educational grants, the level of support · services is expected to be low. The Family Independence Proj~ct Proposal Formal Training. Fonnal trainin& offered by community colleges, technical institutes and selected, secondary training programs will enable the client to earn an associat~ degree and certificate in vocational-technical occupational training. This level of train­ing should prepare the client for employment that will lead him to self-sufficiency. The fonnal training alternative is appropriate for unskilled persons who are capable of competing in an academic environment if they have adequate social and financial support. During their training efforts, clients will receive support from a number of sources, such as DHR, CETA prime sponsors, Basic Educational Opportunity Grants (BEOG), Supplementary Educational Opportunity Grants (SEOG), Texas Public Educa­tion Grants (fPEG), and/or Vocational Rehabilitation Program. The occupational training alternative will allow the client to enter the training program when he/she is ready and at his/her individual level of readiness. By utilizing individual­ized instruction, the client will be able to complete an extensive course of studies in a particular field at his/her own pace. An open-entry/open-exit format of instruction may be poSSll>le. This format would allow the client to enter a vocational-training program at any time of the academic year, regardless of semester constraints, and graduate from the program when he/she has met appropriate performance standards. Much faculty and instructional development must be sponsored if such an open-entry/open-exit vocational-training program is to evolve. Physical Re:rtoration Approach. For those individuals whose disabilities impair their ability to engage in employment, maintain employment, or prepare for employment, restoration services may be available if such restoration will lead to gainful employment. Physical restoration services are those necessary to correct or substantially modify, within a reasonable time, a physical disability that is stable or slowly progressive. Mental iestoration services are support services provided to enaMe the client to complete a trai­ing program or enter gainful employment. Services envisioned under this program alternative will be coordinated and arranged for by a program specialist who has expertise in this area and may include surgery, pros­thetic appliances, physical therapy, short-term psychotherapy, etc. The costs for such services may be paid by Medicaid, Medicare, private insurance companies, Texas Re­habilitation Commission, the client, or other sources, depending upon individual circum­stances. Concomitant with such services the case coordinator will provide vocational counseling services. Support Services Approach. It is anticipated that a wide array of support services will be necessary to assure successful maintenance for persons participating in the Family Independence Project. Of course, each client who qualifies for categorical assistance will be provided the range of services to which he may be entitled. Besides receiving cash assistance, Food Stamps, and social and medical servi_ces, clients would also receive assistance in determining eligibility for other programs. Frrst, efforts would be undertaken to determine eligibility for current programs, such as AFDC, VR, Food Stamps, WIN, CETA Titles II through VI. If participants f~il to qu~y ~or ser­vices under these provisions, resources from CET A Title I and Social Security Title ~X will be tapped. To cover training costs, an intensive effort will be_undertak~n to qualify applicants for conventional support programs, particularly Basic Educational Oppor­tunity Grants (BEOG), Supplementary Educational Opportunity Grants (~EOG), Texas Public Education Grants (fPEG), and special training programs for the disadvantaged, which are supported by the Texas Education Agency (TEA). The Family Independence Project A keystone to the Family Independence Project is the involvement of the private sector.· In training and employment efforts, employers will play a major support role for workers or trainees. Steps will be taken to work closely with local Fort Worth area Chambers of Commerce and with major employers to determine ways corporations can interface with the project. Services may be delivered in a number of ways-child care assistance, transportation assistance, sharing in training costs for prospective employees, provisions of partial stipending costs for the job trainees, and corporate contributions for vocational counseling. Organized labor would be solicited for support of persons participating in the project. Through shared apprenticeship and training cost, unions could defer some of the costs associated with job-entrant training. Moreover, participation in the project might become m.ore attractive to other eligible clients since many job opportunities are all but restricted to union members. Thus, the current range of support services available through the Social Security Act, the Comprehensive Employment Training Act (CETA), and the Food Stamp Act would crosscut and be augmented by other federal programs, private-sector resources, and organized labor to maximize resources available. Cash Assistance Approach. Those clients for whom the other program alternatives are not appropriate or who have insufficient income while pursuing one of the other pro­gram alternatives may be considered for cash assistance. Those who are temporarily incapacitated, or permanently disabled, may be entitled to assistance, as may those with dependent children. As a result of the first year's planning effort, a system will be devised for expediting as much as possible the application for such assistance and the processing of applica­tions. The eligibility criteria will be examined for the purpose of relating the criteria to the needs of the client population. Short-term assistance may be available to those involved in one or more of the other program alternatives. Long-term assistance may be available to those who are unable to participate in the other program alternatives. While receiving assistance, the client will be followed at least periodically by the case coordinator to determine and redeter­mine the feasibility for the other program alternatives. THE CLEARINGHOUSE MODEL One alternative to the current system of delivery of services through a multitude of agencies whose efforts may be fragmented or duplicated is the clearinghouse approach to providing intake and referral. This approach to service coordination may be represented by Figure 6. The objective of this model is to expedite the timely and appropriate utilization of existing agency services. The model may be implemented through a centrally located multiagency facility (such as the Crossroads Center in Dallas, Texas, or the Child Devel­opment Center in Fort Worth, Texas). In operation, the intake service identifies the clients' presenting problems. The client is then referred to the appropriate agency or agencies. The intake service has no function other than identification and referral. No efforts are made to eliminate conflicts in eligibility criteria, duplication of effort, and so forth, except by the individual efforts of the agency staff. As the f"igure indicates, referral between agencies is optional. A clearinghouse strategy would be adapted on the basis of need for more effective outreach and referral services. There are several benefits. First, clients would need not The Family Independence Project Proposal . FIGURE6 CLEARINGHOUSE APPROACH TO SERVICE COORDINATION ---------·~ Medical Social (---------­ Services Services 1' I I ' '\ I ~ Intake / ' '\ " '\ I I and '\ '\ I I Referral ' I "" Educational ~l ~r,~.1 Services ...... ...... f: ..... ~ -­ ...... ..... ...... ...... .... ...... .... ... Placement - ...... - - ..... ~ Services ~­ to shop around to determine where appropriate services are available; therefore, services become more readily accessible. Second, the central intake may act as a catalyst for communication and cooperation between agencies, therefore, limiting service duplica­tions and further expediting timely delivery of services. Third, the central intake limits the problems of outreach, acts as a catalyst of service coordination, and, therefore, contn"butes to a more cost~ffective delivery system. This option would be considered if the study's operational hypotheses were not con­finned completely. If there are indeed adequate services but with limited accessibility and poor coordination, the clearinghouse approach for outreach and referral may be an optimum one. With combined personnel in intake centers throughout the pilot site area, there would be less fragmentation while the functional autonomy of each agency would be retained. Depending upon confirmation of the project's research hypotheses and the criteria to be used in selecting the final program option, this approach will be considered. CURRENT TEXAS SYSTEMS At present, a number of service-delivery systems exist that are designed to provide ser­vices to publicly dependent, disabled and/or disadvantaged individuals to maximize their opportunity for self-sufficiency and self-support. These include services from DHR , TRC, CETA, and WIN. Currently, outreach, intake, assessment, eligibility determination, and services' provision are decentralized. Services from various agencies and programs are coordinated closely at times and other times are provided independently of one another. All the services discussed in the Integrated System Design are available from various agencies to portions of the disabled and/or disadvantage~ client p~~u~~tion. yer~onnel from each agency are acquainted to varying degre~s_with the_ eligibility ~nte~1a and services provided by other agencies. Therefore, the imtlal_ screemng o~ the chent 1s done by the first agency the client happens to contact; the client should ideally be referred to other agencies for other specific types of help. The Family Independence Project Currently, as needs for common client populations are identified, the program inter­faces are developed to meet those needs. For example, WIN, TRC, and OHR work together closely to provide employment-preparation services for disabled AFDC recipi­ents. Within this endeavor, TRC and OHR staffs are cohoused and provide services such as medical, psychological, educational, vocational, and social assessments; personal, social and work adjustment training; physical restoration; various types of vocational training and job placement. For this endeavor, services are coordinated with CETA, and job development is done with private industries. Work done in the planning phase will reveal which of the hypotheses described in section one of this proposal are, in fact, valid. Ifthey are not,.this option will be the most appro­priate choice. M.oreover, by surveying the intended client population, additional services' needs will be identified. This data should provide a framework through which integration and coordi­nation can be improved. It may well be that the most effective way of meeting this end would be to make minor changes in the current system. Ways can be identified to close service loopholes, streamline and integrate services' delivery, address more directly causes of public dependence, reduce duplication, and increase access to service through the establishment of more effective ongoing interagency communication systems. Summary The principal function of the Family Independence Project planning phase is to explore a range of service-delivery strategies. Described in this section are three such options, which fall on both ends and the center of a continuum. Service units, client load, man­power, and resource needs will be identified for each option explored as will the ad­vantages and the disadvantages of each. These in turn will be reviewed by the steering committee and each agency represented in the project. The three program options include (1) maintenance or minor revision of the current system; (2) creation of a centralized information/referral clearinghouse function in which the other activities retain their present scope; and (3) reformulation of the pre­sent program into a comprehensive systems design for human-services delivery, which would form an optimal approach rather than one constrained by statutes, regulations, and program categories. V. EVALUATION Although the planning and development phase of the Family Independence Project includes no direct services to clients or implementation of programs, a comprehensive evaluation of the project will be made. This evaluation effort .will reflect the Depart­ment's strong commitment to formal evaluation as a means of documenting project activities and their impact. To ensure the objectivity of the evaluation findings, the evaluation staff will be adminis­tratively separate from the project. Funds to support the evaluation effort that are in­cluded in this request will be transferred to the Texas Department of Human Resources Research and Evaluation Division. This division will be responsible for developing and executing the evaluation plan and reports. Evaluation deliverables will consist of a thorough process evaluation of planning and development activities and a detailed evaluation design for the planned subsequent implementation phase of the project. Documentation will focus, in part, on intra-and interagency coordination activities and on the method, frequency, and nature of co­ The Family Independence. Project Propoai onlina~~ contacts. Memos of agreement, inteRgency contracts, formal plans for subse­quent JOmt efforts, and so forth will be compiled. The full process of planning and deteloping the project's implementation phue will be documented as well. PROCESS EVALUATION OF PLANNING PHASE Prooes:s evaluation refers to a systematic set of procedures for documenting project actions and monitoring progrea toward project goals and objectives. This progress will be enluated with a tracking system. The enluation staff will wort closely with the project staff to generate a comprehensite catalog of goals, objecma, tasks, and action steps. This catalog will be the basis ofthe trading system. Data from the process enluation will be available from sevend sources, including weekly project status reports, memos and documents exchanged within and among agencies, md formal periodic i:eports. Another important source of data will be evaluation intcr­'riews conducted quarterly with the project staff. These will be carefully structured to obtain information on the same topics from each staff member at each interview. Com­puilon of respomes across time and across agencies will provide a unique perspective on the enl.uation of the final project plans. EVALUATION DESIGN FOR IMPLEMENTATION PHASE The other major enluation product of the planning phue will be a comprehensive de­sign fm: enluating the project's implementation phase. This design will include both process enluation and impact evaluation. The process evaluation will be similar to that clill:uDld for the planning phase; the impact evaluation will be directed toward both mmcntof the effect of the project's service activities and the cost analyses. To assess the impact of service activities, the evaluation design will develop a set of enlaation goals and objectives that parallel the project's goals and objectives. ·Each enlaation objective will specify methods of obtaining data to measure the client im­pact of the ronesponding project objective. For example, if a project objective were to inaease the personal income of the client, a corresponding evaluation objective would specify a research procedure to measure the client's income before and after expcKUie to project activities. The evaluation objectives will emphasize quantitatively and methodologically valid measures. The enluation design will also include plans for cost analyses. These will attempt to proyide information about the monetary costs and benefits that would follow from a luge-scale implementation of activities and programs developed by the project. If suf­ficient data are available, the cost-benefit statistics for a statewide implementation of the Family Independence Project concepts will be compared to those for the Aid to Families with Dependent Orlldren (AFDC) programs. VI. BUDGET PERSONNEL ($118,544) The type and level of planning and development work r~i_iired_by this p~oject requires the profemonal staff to perform highly responsible admimstrative, ~lanrung, and coor­dinative and evaluative work. Considerable knowledge of agency policy and procedures, public programs and governmental systems is necessary. Project staff will be employed at both the State and region~ <;>ffice l~vels. ~egional staff will insure local-level input and planning to facilitate realistic and immediate program ;-: ·, The Family Independence Project TABLE6 BUDGET FOR THE FAMILY INDEPE~ENCEPROJECT . PERSONNEL* Salaries Project Director-Gr~mp 21 $ 23,952 Regional Project Coordinator-Group 17 17;~~2 Planner I-Group 17 11;832 Information Specialist I-Group 14 (25% of time) 3,657 Administrative Secretary-Group 9 10,512 . Administrative Technician I-Group 8 ~.'1!4()' Qerk Ill-Group 6 (25% of time) . 2,151 aerk Ill-Group 6 (50% of time) 4,314 Qerk Typist IT-Group 4 . 7 56-0 '~. . 91,656 Fringe OASI Matching 11,816 Retirement Matching 7,812 Employee Insurance Premiums ....-1.J.@. Subtotal, Fringe . 20,888 Subtotal, Personnel Costs 118,544 TRAVEL 20,000 OTHER COSTS Contracts: TRC -State Planner-Group 19, including fringe $ 27,791 Regional Planner-Group 17, including fringe 20,722 48,513 TEC -State Planner-Group 21 , including fringe 27,79·1 Regional Planner-Group 17, including fringe 20,722 48;513 CETA-Senior Planner, including fringe and overhead 22,538 Consultants '25;000 Staff Development 4,000 Telephone Credit Card 2,400 Equipment 3,584 Supplies 3,600 Regional Recurring Overhead 2,210 Subtotal, Other Costs 160,358 TOTAL $298,902 *Personnel costs are computed on current known rates. The Family Independence Project Proposal implementati~>n at the project site. State st3:ff will see that policy and regulatory require­ments are strictly adhered to, that appropnate modifications to existing regulations are made, and that statewide implementation could be made. TRAVEL ($20,000) Regional staff will travel extensively within Tarrant County in order to meet with the large number of program personnel who will be affected by this major rearrangement in service delivery. Competent regional planning will depend on frequent access to service deliverers in the project site area in order to obtain their input on the project's proposed system and procedures. State and regional project staff will also have to travel between Fort Worth and Austin for joint planning meetings and to conduct project business. The Director and Assistant Director will travel to Dallas and Washington D.C., in order to keep Federal agencies and congressional offices informed of the project developments. All travel and expenses will be reimbursed according to state-allowed mileage and per diem. CONTRACTS ($119,564) Contracts will be the financial mechanism used to obtain staff services from the Texas Rehabilitation Commission (TRC), Texas Employment Commission (TEC), and Com­prehensive Employment Act (CETA). CONSULTANTS ($25,000) It is required that a number of personal services contracts will be required. STAFF DEVELOPMENT ($4,000) To insure that project staff have access to needed staff development programs and con­sultants, staff development funds are requested. These funds will cover required staff training and deployment of regional workers to implement the system at the end of the funding cycle. PHONE, SUPPLIES, EQUIPMENT, AND MISCELLANEOUS ($11,794) In order to establish and operate the two project offices, funds to cover phone, supplies, equipment, and similar miscellaneous expenses must be budgeted. VII. PERSONNEL The project staff will be assigned admimistratively to the Research and Demonstration Branch of the Texas Department of Human Resources (DHR). In designing the composition of the project staff, sever.al f~ctors were ~aken in~o consid­eration. One is the major ongoing planning and coordmat10n ~ork with multip!e State and Federal agencies. The project staff will consult and negotiate frequently with top­level agency administrators, such as Commissioners, Executive Directors, Deputy Com­missioners, and Regional Administrators. The professional skills and experience required of project staff functio~ing at the desire? competencies are usually found at the highest level of the Texas Ment System Council classifications. DHR personnel must be hired according to the s~ndar~~ and procedures of personnel administration of the Texas Merit Sy~tem. Council. P?s1tlons may not .be advertised until project funding is granted; preselectton 1s not permitted. The following The Family Independence Project job descriptions are not intended to be exhaustive but rather mdicative of the general nature of the job and examples of work to be performed. PROJECT DIRECTOR The project director is responsible for all activities of the project. Job duties include liaison, advisement, and negotiation with Federal, State, and local agencies; plannblg, organizing, and supervising this comprehensive project of top public interest; and meet­ing with Federal, State, and local officials. His/her duties are performed under broad ad­mblistrative supervision with latitude for independent action. An example of work performed includes the planning of coordinative research projects and field surveys, plus supervision of all personnel involved. The project .director will prepare and present speeches and briefings; participate m planning conferences; and pro­vide advisory services to federal, state, and local agencies. The project director also acts as liaison with federal, state, and local agencies in the coordination of plans and services and supervises the private and public consulting agencies employed. The project director supervises the various technical phases of the comprehensive plan­ning project and advises personnel on planning problems. He/she prepares the project's budget, interviews job applicants, performs other admblistrative duties, and supervises all personnel. The maximum educational requirements for this position include a master's degree from an accredited college or university with a major in planning, business admblistration, public admblistration, educational .research, or social sciences and with six semester hours in planning and/or research. The minimum work experience requirements include four years in planning and/or research or in admblistrative management, including ex­perience in planning and/or research. The project director must have a thorough knowledge of planning and programming as related to publice admblistration with a thorough knowledge of personnel management principles and budget admblistration principles. An extensive knowledge of the princi­ples, objectives, and procedures of governmental planning and programmmg are neces­sary also. An outstanding ability to plan, organize, and supervise the work of a professional plan­ning staff in order to produce timely, meaningful results is necessary, too. The ability to train other state and local personnel in planning and programmmg methodologies is essential. The project director must be able to initiate and maintain effective production working relationships with associates, public officials, planning consultants, civic groups, and the public. He/she also must be able to express ideas clearly, concisely, and effec­tively. DHR REGIONAL PROJECT COORDINATOR The DHR Regional Project Coordinator plans and coordinates joint activities between the region and federal, state, community, and religious organizations. His/her work in­volves identifying community problems and proposing solutions, which use local state and federal resources. These duties are performed under general direction with co~sider: able latitude for independent judgment and action. The coordinator participates in community meetings related to human resources and community development and develops working relationships with and serves as a liaison to community leaders and organizations. The coordinator gathers and provides informa­ The Family Independence froject Proposal tion concerning available resources and contn'butes to the compilation of manuals and other informational documents. The i:oordinator also negotiates human service inter­agency contracts and the implementation of joint agreements requested by the commu­nities, state office staff, or regional staff. He establishes interagency ·planning and co­ordinating procedures. The minimum educational requirements for this position include graduation from an accredited four-year college or university with twelve semester hours in community de­velopment, community organization, public affairs, public administration, social work, or community and regional planning. The work experience requires a minimum of two years' fulltime paid employment in human service delivery systems. The project coordinator must be able to work with a broad range of agencies and pro­grams, demonstrate a high degree of diplomatic competence, and assist the Department in carrying out its goals in a manner compatible with other agencies and public entities. He/she must have a knowledge of all Texas Department of Human Resources programs. The ability to design and implement interagency work agreements and analyze the im­pact such agreements have on the organizations or programs involved is a necessary skill. The coordinator must have a good knowledge of federal, state, and local resources used in dewloping public welfare programs arid a knowledge of community organizations, community development, and public welfare administration. PROFESSIONAL STAFF IURED THROUGH INTERAGENCY CONTRACTS Five project staff members will be hired through agency contracts with the Texas Em­ployment Commission, the Texas Rehabilitation Commission, and the Fort Worth Con­sortium for Employment and Training Programs. These staff members should have the same competencies as the DHR state and regional staff. In addition to professional skills, they are expected to have an in-depth understanding of the policies and programs of the agency under contract. These personnel will desigti, develop, and assist in the implementation of the coordinated systems and procedures that affect the most efficient utilization of facilities, personnel, and other resources for the Family Independence Project. They will confer with and ad­vise key staff members from their contracted agencies on major policies and procedures. The professional staff members will review and establish priorities among specific pro­gram needs of the state. They will coordinate planning for new programs that arise from priority needs and available resources. The professional staff will coordinate and inte­grate the pilot projects for planning a designated program. The professional staff will translate pertinent findings from research into action programs for immediate use and assist regional staff in developing alternative strategies for meeting local program needs. The will also develop plans for demonstrating promising innovations. APPENDIX LABOR AND DEMOGRAPmc PROFILE OF TARRANT COUN1Y Prepared by the LBJ School of Public Affairs The University of Texas at Austin BACKGROUND This profile of Tarrant COunty prellCJlts a comprehensive picture of characteristics of the populace, economic base, and labor market along with an oveniew of some of the institutions, attitudes, and practices, which reflect upon the community. The result is a delineation of the areas of Tarrant COunty that face the greatest need in terms of social aervices, income support, and job training and placement. Data for this report were collected from interviews, census materials, govemment-spon­sored statistical abstracts, and population analyses. The most significant problem in col­lecting and analyzing·data employed in this report· is timelinCll. Only limited infoniia­tion exists that utilizes more current f"igures than those in the 1970 Census. The fact that frequently only 1970 data were available necessitates the use of informed opinions of persons knowledgeable of Tarrant COunty and projections prepared by city, county, and regional offices. · GENERAL CHARACTERISTICS Tarrant COunty is located in north·central Texas approximately SO miles south of th!' Oklahoma State line and 250 miles north of the Gulf of Mexico. The county covers 860 square miles. The 1970 population of Tarrant COunty was 716,317. The U.S. Bureau of the Census estimated the 1975 population at 739,100. Unofficial estimates by the North Central Texas COuncil of Governments place the 1977 population at 817,SSO. Tauant COunty is primarily urban. Fort Worth is the largest city of the county with a current estimated population of 385,850 (1970 Census: 393,476). Fort Worth is located near· the center of the county and has an area of 228 square miles. Arlington, with an area of 106 square miles, is the second largest city of the county. The mid-cities area of Haltom City, Hurst, Euless, Bedford, Richland Hills, and North Richland Hills is the next area ofgreatest population concentration. POPULATION CHARACTERISTICS Population Changer and Projections DeSpite its urban nature and significant population increases, Tarrant COunty has shown a decreased growth in population owr the last 20 years. The county grew by 33 percent between 1960 and 1970 but only by 14 percent between 1970 and 1977. The annual growth rate (percentage per year) was 2.9 during the 1960s declining to 1.9 for the 1970s. This slowdown of growth occurred in contrast to the continuing fastpaced growth of the Dallas-Fort Worth Standard Metropolitan Statistical Area (SMSA). Net in-migration is primarily respoD11"ble for Tarrant COunty's population increases. The birth rate, somewhat higher than the national average during the 1960s has declined significantly and is currently below national and state averages. ' Appendix The North Central Texas Council of Governments projects that population increases in Tarrant County will continue to decline (see Table 7). As noted earlier, a population de­cline was recorded for the City of Fort Worth from 1970 to 1977. TABLE 7 POPULATION PROJECTIONS: TARRANT COUNTY 1970.1990 Percent Year Population Change 1970 716,317 1975 785,000 9.6 1980 840,000 7.0 1985 890,000 6.0 1990 937,000 5.3 Source: North Central Texas Council of Governments Ethnic Distribution The overwhelming majority of Tarrant County's racial minorities reside in the City of Fort· Worth. Although. they comprise less than one-f"Jfth of the county's population, ethnic minorities make up more than 28 percent of Fort Worth's total. Blacks and Browns tend to be concentrated in the central core area of Fort Worth with two excep­tions: Census Tract (CT) 2S in West Fort Worth and CT 222 in Arlington. The 1970 overall racial distn"bution of Tarrant County is as follows: White, 82.1 percent; Negro, 11.3 percent; Spanish, 6 percent; Indian, 0.2 percent; and other races, 0.4 per­cent. Educational Atttlintment Table 8 shows that although a majority of adults in Tarrant County have completed a high school education, more than one-fifth have an educational attainment of eight years or less. More than 47 percent never completed high school. Nonetheless, almost one-half of the high school graduates have received some college training. TABLES EDUCATIONAL ATTAINMENT OF POPULATION AGE 25 AND OLDER: 1970 Years of School Population Percent 8 years or less 81,729 21.8 1-3 years high school 95,769 25.6 4 years high school 102,926 27 .5 49,913 13.3 1-3 years college 4 or more years college 44,263 11.8 Source: U.S. Bureau of the Census The Family Independence Project Income Characteristics More than 75 percent of all families in the Fort Worth SMSA fall into middle-and upper-income levels. A significant concentration of low median family incomes is found in census tracts surrounding the Fort Worth central business district. The median family income for Tarrant County was $5,697 in 1960, $10,218 in 1970, and has been esti­mated by Housing and Urban Development (HUD) at $14,700 for 1976 for a family of four. The median annual income for female-headed households is significantly lower than the incomes of male-headed households and two-parent households. In 1970, the median annual income for female-headed families was less than half of the iigure for male­headed families. Cross tabulations of income with other variables yield some interesting results. Although White families tend to do better than Black and Brown families financially, age, sex, and education seems to be more important factors than race in predicting income level. For the total population of the Fort Worth area, income increases with age until age 65 when people begin to fall into the lower-income categories. Both the old and the young tend to have lower incomes, particularly if they are women or Black. There are; however, noticeable differences between incomes for Whites and Blacks be­tween 20.{;4 years of age. In these age groupings, Whites have proportionately higher incomes, particularly in the higher-income brackets. Among the young and the aged, income differences are not as well differentiated between the races although Whites' incomes are somewhat higher. Males tend to be in the middle-to upper-income level regardless of their level of educa­tion. Females tend to be at the lower end of the income scale except for those who have attended college. Education appears to be a major determinant in the level of income attainment. The generalization that as education increases income will increase holds true for the Black population as well as for the White. As compared to Whites, there are substantially more Blacks with no more than eight years of schooling and many less that attend college, al­though those with high school educations are roughly the same for both groups. Eighty percent of the Black population ended their education at or before high school gradua­tion. Due partially to the lower educational levels, the Black population has greater num­bers of people in lower-income groupings and very few in higher-income categories. LABOR FORCE AND ECONOMIC CHARACTERISTICS The Greater Fort Worth Manpower Consortium consists of seven cities-Fort Worth, Arlingon, Hurst, Euless, Bedford, Haltom City, and White Settlement-and contains 79 percent of Tarrant County's population. Forecasts by the Texas Employment Com­mission (fEC) put the population at 598,500 in 1978, with a decline in the City of Fort Worth and growth in the suburban cities. In its Annual Planning Report published in April, 1977, TEC predicted the labor force in the Consortium would grow to 328,500 in 1978, and unemployed persons would total 15,111. The racial composition of the labor force is 81.2 percent Anglo, 13.3 percent Black, and 5.5 percent Mexican-American. There is wide variation in participation rates in the labor force for different segments of the pop~t~on. Participation. rates for male ~eads of families center around 98 per­cent of all eligible for both Whites and non-White males, but participation for females Appendix is substantially lower. Of interest is the fact that Black female heads of families have an onrall labor participation level of 68 percent and a rate of 62 percent for those below the Poverty level. The rate for White female heads of families is 69 percent, but for those below the Poverty level it falls to 4 7 percent. The onrall unemployment rate does not accurately portray unemployment problems of the different segments in the labor force. These problems have not changed greatly over time and are reflected in TEC's projected 1978 unemployment rates for the various groups. The rates range from a low of 3.4 percent for White males to a high of 8.7 percent for Black females. All economic indices have been showing a slow but steady advance since 1975. At present, unemployment is well below the national average, construction is increasing, retail sales are up, and bank dePosits are high. Tarrant County experiences no significant seasonal problems in employment due primar­ily to a favorable climate for yearo£ound economic activity. The economic base is fairly diYerle although there is an overreliance on layoff-prone defense industries. The three leading industries in terms of employment are manufacturing (30.7 percent), retail trade (22.9 percent), and 9eivice industries (19.l percent). Despite current high employment in defense and other high-technology industries, over the next several years there should be a gradual decline of skilled workers as a shaie of total employment. Eftll though unemployment continued to be above desirable levels in 1977, there were a number of occupational classifications that were hard to fill in the Fort Worth area. There are a variety of reasons for the shortage of workers, including a shortage of fully qualif"aed applicants, low wages, undesirable working hours, lack of transportation, and poor working conditions. Nonetheless, shortages existed in all types of jobs, including electronic and industrial engineers, business programmers, nurses and aides, maintenance iepahers, cooks, kitchen helpers, machinists, and arc welders. Manufacturing wage rates for the Dallas-Fort Worth SMSA are below the average for both the nation and the state. The Fort Worth Chamber of Commerce estimates that wage rates for Tarrant County manufacturing workers are 6-8 percent below those for similar workers in Dallas. A significant percentage of the area's labor force is in need of manpower services. This tuget Population is located primarily in one City of Fort Worth and can be identified by their problems with one or more of the following variables: age, sex, lack of skills, education, transportation, or day care. Table 9 delineates population, labor force, employment, and unemployment for Tarrant County in April, 1976. PROORAM AREAS Despite the relatively good economic health of the Fort Worth area, there are large num­bers of people in need of public assistance. Between 1970 and 1978 those people who are economically disadvantaged and in need of manpower services should increase by 14.7 percent to 44,020. During this same period of time· the number of children in poverty is expected to increase from 24,115 to 27 ,880, and there will be an estimated 71,900 persons below the poverty level in 1978. There are far more people who are eligible to receive public assistance benefits than actually receive them, but for a variety of reasons they are not served. The Texas Depart­ment of Human Resources (DHR) has statistics that show the Food Stamp Program has --i :::r 00 TABLE9 1' POPULATION, LABOR FORCE, EMPLOYMENT, AND UNEMPLOYMENT FOR TARRANT COUNTY IN APRIL 1976 'Tl "' 51 Population1 Labor Force• Employment Unemployment Rate '< = Total 721,600 367,100 346,900 20,000 5.5 -::s Female 368,507 137,650 128,200 9,450 6.9 1' Q. "O 1' Total Minority 129,080 58,150 53,200 4,950 8.5 ::s Q. Female 66,301 24,650 21,950 2,700 11.0 1' ~ Black 81,635 38,900 35,200 3,700 9.5 1' .,, .. Female 42,625 18,300 16,200 2,100 11.5 a. g Spanish-American 43,274 18,050 15,850 1,200 6.6 ... Female 21,540 5,850 5,300 550 9.4 Other Minority 4,171 1,200 1,150 50 4.2 Female 2,136 500 450 50 10.0 1 Population estimate for July, 1974, prepared by the U.S. Department of Commerce, Bureau of Census. Estimat(ls by race, ethmc group, and sex projected from the 1970 Census. 2 Labor Force, Employment, and Unemployment estimates prepared by the Texas Employment Commission based on place of residence of workers. Estimates by race, ethnic group, and sex projected from the 1970 Census. Appendix the ~t~st numb:r of ?articipants statewide of all public assistance programs, yet the part1C1pation rate IS estimated to be only 62 percent of total eligibles. It has been cal­culated that of the 71,900 persons below the poverty level less than 15 percent receive some kind of public assistance. In the following pages, brief recapitulations of various public assistance programs are grouped in general areas of need-employment and training, cash assistance, education, housing, health, and other services. Program functions are explained as they relate to an overall view of the Fort Worth area. Employment and Training A key that leads to economic self-sufficiency is the provision of education, employment, and job training services. The need to provide gainful employment to all those who can work is obvious, but often people lack the necessary skills to secure a job. It is the role of educational and vocational institutions to provide the necessary skills training, and it is through various federal and state employment and training programs that these skills are taught. In the Fort Worth area such services are currently provided by the Compre­hensive Employment Training Program (CETA), Work Incentive Program (WIN), Texas Employment Commission (TEC), and Texas Rehabilitation Commission (TRC). Cash Assistance More than 10 percent of Tarrant County's population is below poverty level, but only 1.5 percent receive some form of public assistance income. Cash assistance is available to the economically disadvantaged in Fort Worth primarily through Aid to Families witll Dependent Children (AFDC), Unemployment Insurance, Supplemental Security Income (SSI), and Social Security. AFDC payments were made to approximately 3,300 recipients as of September, 1977. The typical AFDC caretaker was Black, female, aged 23 to 27, and had 2.3 dependent children under age 13. Nearly all caretakers are women, 85 percent of whom are of child­bearing age. Blacks accounted for over two-tllirds of recipients and dependents. Stringent state requirements stipulate that AFDC families must be single-parent households (male household heads must be disabled) with almost no visible means of support (e.g., a single-parent family of three must make less than $3000 annually to qualify). The average AFDC family remains on public assistance for almost four years. The cost of direct aid is approximately one-half million dollars per month for DHR Region SB (tlle Fort Wortll area). Education Lack of education oftens hampers an individual's ability to obtain, retain, and progress in employment opportunities with adequate wage scales. More than one-tllird of Fort Worth adults lack a high school diploma. Low-median education levels are concentrated on a north-south corridor tllrough the center of the city, roughly equivalent to the pat­tern of low median income. The Fort Worth Independent School District (FWISD) is the "cooperative prime spon­sor" for adult education programs at 16 centers throughout the city. Eighty-five instruc­tors, aides, and counselors, 90 percent of whom are employed only part-time, taught over 4,000 students in fiscal year 1977. Skills offered are concentrated in language, reading, citizenship, and General Equivalency Diploma (GED) preparation. Most classes are taught at night to accommodate working clients. The Family Independence Project Funding is provided by the state, local and federal governments with additional resources from CETA Section 112, which pays for instructional preparation for basic equivalency examinations. Postsecondary education is provided by several area colleges and universities, including the University of Texas at Arlington, Texas Christian University, Texas Women's Uni­versity, and Texas Wesleyan College. The major postsecondary institution serving the dis­advantaged in Forth Worth is Tarrant County Junior College (ICJC). Over 15,000 stu­dents emolled under TCJC's open-