sampling and fieldwork preparation plans using the renewal data collection instructions

Sampling and Fieldwork Preparation Plans using the

Renewal Data Collection Instructions

INTRODUCTIONS

• Roll call of States, Regional Office, and Central Office staff participating in the Webinar

• WRMA Staff– Carol Pearson, Project Director– Art Marcotte, Site Liaison

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WEBINAR LOGISTICS

• 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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AGENDA

• The training session will cover the following:– Overview of the Renewal Data Collection

Instructions– Overview of:

• Sampling Decisions• Generating a Sample• Fieldwork Preparation Plan• State experiences first review cycle

– Next Steps4

STATES SELECTED BY YEAR OF THREE YEAR REPORTING CYCLE

(Section II, Pg. 3 Data Collection Instructions)

1st Year States 2nd Year States 3rd Year StatesRegion State Region State Region StateI New Hampshire I Massachusetts I Connecticut

Vermont Rhode Island MaineII Puerto Rico II New York II New JerseyIII Pennsylvania III Virginia III Maryland

West Virginia Delaware D.C.IV Georgia IV Florida IV North Carolina

Alabama Tennessee KentuckyV Illinois Mississippi South Carolina

Indiana V Ohio V MichiganVI Texas Wisconsin Minnesota

Oklahoma VI Louisiana VI New MexicoVII Kansas Arkansas VII MissouriVIII Colorado VII Iowa Nebraska

North Dakota VIII Utah VIII MontanaIX California South Dakota Wyoming

Nevada IX Arizona IX HawaiiX Washington X Oregon X Idaho

Alaska

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RENEWAL DATA COLLECTION INSTRUCTIONS

• Year 1 and 2 States will conduct their reviews utilizing the Renewal Data Collection Instructions.

• The Child Care Bureau is continuing to explore options for potential revisions to the Error Rate Review Process. 

• Technical assistance will be provided to Lead Agencies through Walter R. McDonald & Associates, Inc (WRMA).

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RENEWAL DATA COLLECTION INSTRUCTIONS

• The Renewal Data Collection Instructions is the 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 Instructions7

COMPARISON OF KEY CHANGES IN DCI RENEWAL

Current DCICurrent DCI Renewal DCI Renewal DCI

Sampling and Sampling and Fieldwork Fieldwork

Preparation Preparation PlanPlan

The previous DCI required that sampling decisions (sample size, sampling frequency and source of random number), Fieldwork Preparation Plan and assurances be submitted to the ACF Regional Office no later than October 31 of the calendar year prior to the reporting year.

Replacement Replacement CasesCases

The previous DCI allowed States to use a replacement case only if a case selected did not meet the study criteria for valid reasons. Valid reasons included: natural disaster making the case record unavailable, the case has been referred to a State's fraud investigation unit, the case was under appeal or “other reasons”. Only in instances where the State wanted to use a replacement case for “other reasons” was CCB approval required.

The Renewal DCI requires that sampling decisions (sample size, sampling frequency and source of random number), Fieldwork Preparation plan and assurances be submitted for approval to the ACF Regional Office no later than October 31 of the calendar year prior to the reporting year.

The Renewal DCI requires CCB approval of the use of all replacement cases.

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TIMELINE FOR IMPLEMENTING ERROR RATE METHODOLOGY

STEP STEP ## CCDF ERROR RATE METHODOLGYCCDF ERROR RATE METHODOLGY

20112011  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 Payment in "Measuring Improper Authorizations for Payment in the Child Care Program."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

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REVIEW PERIOD

FFY 12 month review period: ends Sept 30th of calendar year prior to submission of State’s Improper Authorizations for Payment Report (ACF-402)

– 1st Year Reporting States:• Submit their ACF-402 by June 30, 2011• For an Oct. 1, 2009—Sept. 30, 2010 review period

– 2nd Year Reporting States:• Submit their ACF-402 by June 30, 2012• For an Oct. 1, 2010—Sept. 30, 2011 review period

(Section IV, Pg. 5 Data Collection Instructions)

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RO APPROVAL OF FIELDWORK PREPARATION PLANS

•RO approval of Fieldwork Preparation Plans before State draws first sample

•Year 1States submit to RO by Oct. 31, 2010:• Sampling Decisions• Fieldwork Preparation Plan• Assurances

•Year 2 States submit by Oct. 31, 2011

(Section II, Pg. 2 Data Collection Instructions)

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CORE ELEMENTS OF SAMPLING DECISIONS

Selection of:• Total sample of 271 or 276 cases• Source of random numbers• Frequency of selecting monthly

sampling frames• Number of replacement cases

(Sect IV, Pg. 5 Data Collection Instructions)12

SAMPLING UNIT

• A child for whom a subsidy was authorized for the sample month

• CCDF and Pooled CCDF Funded Children Only

• State systems and authorizations vs. payments

(Section IV, Pg. 6 Data Collection Instructions) 13

FREQUENCY OF SAMPLING FRAME SELECTION

• States create sampling frames for each of the 12 months of the review period

• States must specify their sampling frames. Examples include:

― Monthly― Quarterly― Semi-annually, or ― Annually

(Sect II, Pg 2 Data Collection Instructions) 14

USE OF REPLACEMENT CASES

• When a sampled case record is:– Unavailable

• due to a natural disaster• Under appeal• Referred for a fraud investigation

– Other• RO approval required prior to use of any

replacement case

(Section IV, Pg. 6 Data Collection Instructions) 15

Core Elements of Fieldwork Preparation Plans

• Review of State policies and procedures • Determining what constitutes an error

• Selection and Training of Review Team

• IT Involvement and Tasks • Case review logistics

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INCORPORATE LESSONS LEARNEDDURING LAST REVIEW CYCLE

• Policy Changes• Error Definition• Review Team size,

Composition and Training

• Use of TA and Site Visit

• IT and Sampling Issues

• Sampling Frequency• Initiating Review

Process• Logistics of Case

Record Reading

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REVIEW POLICIES AND PROCEDURES

• Review policies and procedures to:– Reflect State policies in effect at time of

authorization– Decide how they will be recorded– Customize Record Review Worksheet to

reflect policy– Defining errors and improper

authorization errors(Sect V, Pg. 8 Data Collection Instructions) 18

ERROR DEFINITION

States define:–What constitutes an error

and–Which errors result in an

improper authorization

(Glossary Pg. 43 Data Collection Instructions) 19

ERROR DEFINITION (CONT.)

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CONSISTENT ERROR INTERPRETATION

To ensure consistency in error findings:–Conduct mock case reviews–Discuss, as a group, case review

findings –Conduct re-reviews

(Section VI, Pg. 16 Data Collection Instructions) 21

REVIEW TEAM SELECTION

• State Review Team Staff: – Know State child care policies– Share understanding of what is an error– Have not made or approved eligibility

determinations during the review period– Are not under supervision of persons

responsible for eligibility determinations during the review

(Sect VI, Pg. 16 Data Collection Instructions) 22

CASE REVIEW LOGISTICS

The State needs to consider several logistical issues:

– Review of electronic case records – Location of record review:

• On-site, centrally or regionally– Coordination with local offices

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SAMPLING ASSURANCE

States submit statement: The State will abide by the monthly sample

instructions in "Measuring Improper Authorizations for Payment in the Child Care Program."

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EXAMPLE OF STATE’SSUBMISSION TO RO

Sampling Decisions:Chose a sample size and number of replacement cases

– State chooses to randomly select 23 cases per month for a total of 276 cases and 3 replacement cases per month for a total of 36 replacement cases. The State will seek RO approval prior to the use of any replacement case.

Cite frequency of collecting monthly sampling frames – State will collect sampling frames and cases monthly. This will

begin in MM/YYYY.Cite software used for random number source

– State will use a computer program written in Visual Basic for an automated random number generator.

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EXAMPLE OF STATE’S SUBMISSION TO RO (cont.)

Fieldwork Preparation Plan: Selection of a Project Administrator and Improper

Payments Planning Team – Mary Doe, Director of Child Care Services will serve as

Administrator for the Improper Authorizations for Payment Data Collection and Review Project.

– The State project planning team will be made up of……..Selection of a State Review Team

– Review Team members will be selected from staff of the DSS Division of Provider Reimbursements & Audits. No members of the team will have made or approved eligibility determinations for Child Care Services during the review period.

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EXAMPLE OF STATE’S SUBMISSION TO RO (cont.)

Fieldwork Preparation Plan: Review of Policies and Procedures

– The members of the New State policy unit will review State policies and procedures to revise and define error for each element of the Record Review Worksheet and will draft a customized Record Review Worksheet.

Error DefinitionThe State has defined:– Error: Any instance in which child care assistance policy was

misapplied or not followed, whether or not the misapplication of policy resulted in an improper payment.

– Improper Authorization for Payment: Any authorization for child care assistance payment that should not have been made or that was made in an incorrect amount.

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EXAMPLE OF STATE’S SUBMISSION TO RO (cont.)

Training of Review Team – Members of the State review team will be trained in the following

areas:• Policy and procedures for determining Child Care Subsidy

eligibility• Error definitions• Child Care caseworker case worksheets• Use of the Record Review Worksheet• Completion of Data Entry Forms

Re-Review Process– The team leader will re-review all improper authorization errors

and 10% of all other cases.

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EXAMPLE OF STATE’S E-MAIL SUBMISSION TO RO (cont.)

Coordination with IT Department– State IT Department will:

• Generate the 12 monthly sampling frames and samples. • Identify the total amount of authorizations for payment for the

review period.• Archive the 12 monthly sampling frames

State Assurance– State will abide by the monthly sample instructions in

"Measuring Improper Authorizations for Payment in the Child Care Program."

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Technical Assistance

• WRMA provides Technical Assistance to states in a variety of ways:– Four Webinars on the Data Collection Instructions– Conference Calls and individual GoToMeetings– On-going telephone and email support to answer

questions. – Site Visits as needed

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NEXT STEPS• WRMA will provide:

– Three additional training Webinars:• Customizing Record Review Worksheets:

October 13, 2010 1:00 – 2:00 p.m. EST• Conducting the Record Review Process:

February 9, 2011 1:00 – 2:00 p.m. EST• Completing the State Improper Authorizations for

Payment Report: April 13, 2011 1:00 – 2:00 p.m. EDT

– Ongoing technical assistance with each State

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CONTACT INFORMATION

• Carol Pearson(302)226-1542cpearson@wrma.com

• Art Marcotte(410)409-2751amarcotte@wrma.com

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CLOSING REMARKS

• Please submit your evaluation following the Webinar.

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