state webinar #2: customizing the record review worksheet
TRANSCRIPT
State Webinar #2State Webinar #2::
Customizing the Customizing the Record Review Record Review
WorksheetWorksheet
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Roll call of States, Regional Office and Central Office staff
WRMA Staff◦Carol Pearson, Project Director
◦Art Marcotte, Site Liaison
INTRODUCTIONSINTRODUCTIONS
Type in questions during, or before exiting, using the “Question and Answer” window
WRMA can respond during the Webinar
WRMA will respond following the Webinar
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WEBINAR LOGISTICSWEBINAR LOGISTICS
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AGENDAAGENDAData Collection Instructions
Record Review Worksheet:◦Submission and approval◦Purpose◦Changes in Format◦Customizing ◦Automating
Next Steps
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DATA COLLECTION INSTRUCTIONSDATA COLLECTION INSTRUCTIONSThe official document to instruct States in
completing the error rate methodology: Sections
◦ Introduction, Overview & State Reporting Cycle◦ Generating a sample of cases for review◦ Customizing the Record Review Worksheet
(ACF-400)◦ Conducting Case Record Reviews ◦ Completing the Data Entry Form (ACF-401)◦ Completing and Submitting the State Improper
Authorizations for Payment Report (ACF-402) Glossary Attachment 1: Record Review Worksheet and
Instructions Attachment 2: Data Entry Form and Instructions Attachment 3: State Improper Authorizations
for Payment Report and Instructions
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STEP #STEP # CCDF ERROR RATE METHODOLGYCCDF ERROR RATE METHODOLGY20112011 REPORTING REPORTING YEAR TIMELINEYEAR TIMELINE
(1(1stst YEAR STATES) YEAR STATES)
20122012 REPORTING REPORTING YEAR TIMELINEYEAR TIMELINE
(2(2NDND YEAR STATES) YEAR STATES)
1.1. Submit, by email, to the Child Care Manager in Submit, by email, to the Child Care Manager in ACF Regional Office ACF Regional Office for approval for approval the State 1) the State 1) decisions regarding selection of 271 or 276 cases, decisions regarding selection of 271 or 276 cases, frequency of collecting monthly sampling frames, frequency of collecting monthly sampling frames, citation for source of random numbers, 2) plan for citation for source of random numbers, 2) plan for fieldwork preparation, and 3) assurance that the fieldwork preparation, and 3) assurance that the State will abide by the monthly sample instructions State will abide by the monthly sample instructions in "Measuring Improper Authorizations for in "Measuring Improper Authorizations for Payment in the Child Care Program."Payment in the Child Care Program."
On or On or beforebefore October 31, 2010October 31, 2010
On or On or beforebefore October 31, 2011October 31, 2011
2.2. Submit Submit Record Review WorksheetRecord Review Worksheet to Child Care to Child Care Manager in ACF Regional Office for approval.Manager in ACF Regional Office for approval.
On or On or before before December 31, 2010December 31, 2010
On or On or beforebefore December 31, 2011December 31, 2011
3.3. Submit Submit State Improper Authorizations for Payment State Improper Authorizations for Payment ReportReport
On or On or beforebefore June 30, 2011 June 30, 2011
On or On or beforebefore June 30, 2012 June 30, 2012
TIMELINE FOR IMPLEMENTINGTIMELINE FOR IMPLEMENTING ERROR RATE METHODOLOGY ERROR RATE METHODOLOGY
1st Year States submit RRW to ACF RO no later than the end of December 2010
ACF RO must approve State revisions to RRW prior to review process
Approvals based on review of State plan, law, regulations and policies
(Section V, Pg. 10 Data Collection Instructions)7
APPROVAL OF RECORD APPROVAL OF RECORD REVIEW WORKSHEETREVIEW WORKSHEET
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RECORD REVIEW RECORD REVIEW WORKSHEETWORKSHEET
The Record Review Worksheet template consists of: Four sections
◦Section I: State Child Care Program Forms
◦Section II: Priority Group Placement ◦Section III: General Program
Requirements ◦Section IV: Income and Payments
Each Section Contains Four Columns
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COMPLETED RECORD COMPLETED RECORD REVIEW WORKSHEETREVIEW WORKSHEET
Identifies the status of each element of eligibility
Determines the subsidy amount authorized for the sample month
Identifies any resulting errors
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Current Worksheet Renewal Worksheet Element 100 - Application/Re-Element 100 - Application/Re-
determination Forms determination Forms Element 200 – Priority Group Element 200 – Priority Group
PlacementPlacement Element 300 – Qualifying Head of Element 300 – Qualifying Head of
HouseholdHousehold Element 310 – ResidencyElement 310 – Residency Element 320 – Parental Element 320 – Parental
Work/Training Work/Training Status Status
Element 330 – Qualifying ChildElement 330 – Qualifying Child Element 340 – Qualifying CareElement 340 – Qualifying Care Element 350 – Qualifying Provider Element 350 – Qualifying Provider
ArrangementArrangement Element 360 – Provider Element 360 – Provider
RequirementsRequirements Element 400 – IncomeElement 400 – Income Element 410 – Income EligibilityElement 410 – Income Eligibility Element 420 – Amount Element 420 – Amount
AuthorizedAuthorized Element 430 – Element 430 –
Authorizations/ComputationsAuthorizations/Computations
Element 100 - Application/Re-Element 100 - Application/Re-determination Forms determination Forms
Element 200 – Priority Group Element 200 – Priority Group PlacementPlacement
Element 300 – Qualifying Head Element 300 – Qualifying Head of Householdof Household
Element 310 – ResidencyElement 310 – Residency Element 320 – Parental Element 320 – Parental
Work/Training Work/Training Status Status
Element 330 – Qualifying ChildElement 330 – Qualifying Child Element 340 – Qualifying CareElement 340 – Qualifying Care Element 350 – Qualifying Element 350 – Qualifying
Provider ArrangementProvider Arrangement Element 400 – Income/Income Element 400 – Income/Income
Standards/Parental Fee Standards/Parental Fee CalculationCalculation
Element 410 - Element 410 - Authorizations/ComputationsAuthorizations/Computations
RECORD REVIEW WORKSHEET RECORD REVIEW WORKSHEET CHANGESCHANGES
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CURRENT ELEMENT CURRENT ELEMENT FORMAT FORMAT
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Record Review Worksheet Record Review Worksheet ELEMENTS 100 & 200ELEMENTS 100 & 200
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Record Review Worksheet Record Review Worksheet ELEMENT 350ELEMENT 350
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0 or 1
Y, N or NA
O, U or NA
RECORD REVIEW WORKSHEET ELEMENT 400
REASONS FOR CUSTOMIZING REASONS FOR CUSTOMIZING RECORD REVIEW RECORD REVIEW
WORKSHEETWORKSHEETAssure conformity to State policies and procedures
Assist reviewers in applying policy & documentation
Capture error information needed for ACF-402
(Section V, Pg.9 Data Collection Instructions)
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ACF – 402ACF – 402PART II - ERROR MEASURES PART II - ERROR MEASURES
REPORTINGREPORTINGItem #
1. Number of cases sampled
2. Total amount of authorizations for payment for sampled cases in the review period $
3. Total number of sampled cases with improper authorizations for payment
4. Total amount of improper authorizations for payment for the review period (gross amount of underpayment and overpayment authorizations)
$
4A. Total amount of improper underpayment authorizations for payment for the review period. $
4B. Total amount of improper overpayment authorizations for payment for the review period $
5. Total number of improper authorizations for payment due to missing or insufficient documentation
6. Percentage of cases with an error
7. Percentage of cases with an improper authorization for payment
8. Percentage of improper authorizations for payment
9. Average amount of improper authorizations for payment $
10. Estimated annual amount of improper authorizations for payment $
10A. Check the appropriate response.1. _____ Review not based on a sample drawn from pooled funds.2. _____ Review based on a sample drawn from pooled funds and State has applied the pooling factor
found on the most recent ACF-800 reporting form.3. _____ Pooling factor from the most recent ACF-800 reporting form, if applicable.
10B. If the State checks #1 or #2 in 10A, skip 10B and proceed to #11.1. _____ Pooling factor different from that found on the most recent ACF-800 reporting form.2. Explain the derivation of this pooling factor.
_______________________________________________________
(Section VIII, Pg. 39 or 59 Data Collection Instructions)16
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ACF- 402 QUESTION ACF- 402 QUESTION 1313BB
(Section VIII, Pg. 37 Data Collection Instructions)
13B. Of the cases with an improper authorization for payment provide:(1) The percentage of cases with improper authorization errors due to missing or insufficient documentation (#5 divided by #3 above)(2) The number of cases with improper authorization errors due to missing or insufficient documentation and examples of the two most common occurrences.
WHERE TO CUSTOMIZE WHERE TO CUSTOMIZE RECORD REVIEW WORKSHEETRECORD REVIEW WORKSHEET
Column 1: Add State requirements for each review element
Column 2: Add features to assist review of requirements in Column 1
Columns 3 & 4: Make no changesRetain:
◦Column 1 boilerplate language◦Section and Column headings◦Identifying information in the first page◦Paperwork Reduction Act statement
(Section V, Pg. 10 Data Collection Instructions)18
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WHERE TO CUSTOMIZE WHERE TO CUSTOMIZE RECORD RECORD REVIEW WORKSHEET REVIEW WORKSHEET (cont.) (cont.)
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•Child Care Application (Pol. Man. Sect. I/A)•Child Care Assistance Certificate (Pol. Man. Sect. I/B)•Provider Agreement Form (Pol. Man. Sect. I/C)
Retain
Signed & dated App or Redet form Y N
Child Care Certificate Y N
Provider Agreement Form Y N
Comments:
WHERE TO CUSTOMIZE WHERE TO CUSTOMIZE RECORD RECORD REVIEW WORKSHEET REVIEW WORKSHEET (cont.) (cont.)
No Change
s
SAMPLE FACE SAMPLE FACE SHEETSHEET
RECORD REVIEW WORKSHEET FACE SHEET Review#:
ALERT: The Child Care household composition is not necessarily the same as the Food Stamp household composition.
A. IDENTIFYING INFORMATION
B. HOUSEHOLD MEMBERS IN THE CCAP INCOME UNIT
1. Case Name (HH)
Name Birth Date AgeRelationship or
Significance
Social SecurityNumber
2. Case Number (HH) SSN
3. Child ID# (PID) 1
4. CCAP Number (SSN or Tips) 2
5. Case Worker 3
6. Review Date/Month 4
7. Most Recent Action: Certification/Recertification/Last Action 5
a. Date 6
b. Type 7
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AUTOMATED RECORD AUTOMATED RECORD REVIEW WORKSHEETSREVIEW WORKSHEETS
States are encouraged to automate their RRW
RRWs in Excel, ACCESS, Sequel Server
Samples available to share with States
State must submit the database tool for review and approval
NEXT STEPSNEXT STEPSWRMA will provide:
◦ Four Webinars on the Data Collection Instructions
◦ Conference Calls and individual GoToMeetings◦ On-going telephone and email TA support
questions. ◦ Site Visits as needed
TRAINING DATE TIME
Webinar #3 – Conducting Record Review Process & Completing Data Entry Forms
October 28, 2010 2:00-3:00 pm EDT
Webinar #4 –Computing Error Measures & Completing State Improper Authorizations for Payment Report
April 13, 2011 1;00-2:00 pm EDT
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FOLLOW-UP EMAILFOLLOW-UP EMAIL
CONTACT CONTACT INFORMATIONINFORMATION
Carol Pearson(302)[email protected]
Art Marcotte(410)[email protected]
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CLOSING REMARKSCLOSING REMARKSPlease submit your evaluation
following the Webinar.
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