overview of the center-based monitoring review …...cmu reviews • contractors selected are...

CALIFORNIA DEPARTMENT OF EDUCATIONTom Torlakson, State Superintendent of Public Instruction

Overview of the Center-Based Monitoring

Review ProcessPresenter: Linda Morales, Manager

TOM TORLAKSONState Superintendent of Public Instruction

AGENDA

• Purpose• CMU Reviews• CMU Pilot • Overview of the Reference Guides• Overview of the Database Manual• Overview of the Database• Outcome of the Pilot• Next for CMU• Questions


PURPOSE

The purpose of this workshop is to better acquaint participants with the Center-Based Monitoring Unit and explain its mandates, functions, and tasks.


CMU STAFF

Child Development Division

Center-Based Monitoring Unit• Linda Morales, Manager

– Patty Wagoner, Analyst– Paul Saucedo, Analyst– Bounthay Bouttavong, Analyst– Aurora Alvarez, Analyst


CENTER-BASED MONITORING UNIT (CMU) REVIEWS

The CMU team reviews center-based contractors including:• California State Preschool Program (CSPP) (Full-day

Programs)• General Child Care and Development (Center-Based)

Program (CCTR) • Family Child Care Home Education Networks (CCTR

and CFCC)• Handicapped Child Care and Development Program

(CHAN)• State Migrant Child Care and Development Program

(CMIG)


CMU REVIEWS

• Contractors selected are usually– Large contractors (MRA of $500,000 or more) with a “need”

component – Federal Program Monitoring (FPM) Reviews– Contract Monitor Reviews (CMRs) with the field service

consultants

• CMU selects a sample of basic family data and analyze that sample to estimate rates of administrative errors in

– Eligibility– Need– Family Fee– Attendance


CMU REVIEWSTwo types of Errors: Material and File ErrorMaterial Error• A material error is an error that results in the improper

reimbursement of services. A material error occurs when the requirements in statutes or regulations are either misapplied and/or when there is insufficient or conflicting documentation

File Error• A file error occurs when federal and state requirements are

not met, but do not result in an improper reimbursement of services. However, a systemic issue may result in a noncompliance finding


CMU REVIEWSWhen a contractor is selected for a CMU Review• A notification letter will be sent out at least

three (3) weeks before the review and will provide the following information – Give the week of the review– Give the date and time of the Entrance Meeting– Give the month that will be reviewed– Give information on how to prepare for the review– Request a staff person be present during the review

• The list of family files to be reviewed will be sent out three (3) days before the review


CMU REVIEWS

During the week of the review CMU will • Conduct an Entrance meeting• Review family files• Answer questions • Provide technical assistance


CMU REVIEWS

Conclude the review with • Pre-exit Meeting

– At the end of each day or the day before the Exit Meeting

– Summarize the findings– Provide technical assistance

• Exit Meeting we will provide the contractor with– Summary of Findings– Error Rate Percentage Worksheet– Detailed Error Notes Worksheet


CMU REVIEWS

CDE is required to report statewide error rates for the child care programs annually to the Legislature and the Governor


CMU 2011-12 REVIEWS

Completed 39 CMU Reviews• Overall Error Rate Percentage is

28.7% – Eligibility = 21.4%– Need = 6.0%– Family Fee = 0.2%– Attendance = 1.1%


CMU 2011-12 REVIEWS

The most common errors:

Eligibility• The lack of sufficient documentation in the file

to support the families’ eligibility – For example: The presence or absence of a

parent was not documented or parent did not provide a month’s worth of their most current income


CMU 2011-12 REVIEWS

Need• Were generally caused by the contractor

inaccurately certifying the hours of need based on the documentation in the file– For example: The need documentation

shows the parent’s need is half-time but the contractor certified family for full-time services


CMU 2011-12 REVIEWS

Attendance• Were generally caused from parents and/or

authorized representatives not documenting excused absences– For example: child is out sick, parent calls in but

there is no documentation indicating the excused absence signed by parent or representative


CMU 2011-12 REVIEWS

Family Fee • Were attributed to miscalculations of monthly

income or family size– For example: calculating income at bi-monthly when

it should be bi-weekly will cause a miscalculation of income which might generate a family fee


Error Rate Reduction Plans

The error rate percentage threshold for center-based contractors is 18%• Error Rate Reduction Plan (ERRP) is required

if a contractor exceeds the threshold• Contractors are expected to develop quality

assurance systems • The ERRP involves intensive technical

assistance by CDD staff • Contractors are expected to improve

administrative error rates during their follow-up review


Error Rate Reduction Plans

The CMU ERRP procedure includes:• Assisting contractors in reducing their error

rate percentage• Working with the assigned consultant• Communicating with contractors by email and

phone• When necessary, provide 1-2 days of training

and technical assistance to follow-up on their ERRP


CMU PILOT

• The CMU was given a task to develop a Reference Guide that would assist contractors in preparation for an CMU Review

• That tasked morphed into not only a Reference Guide but also a companion Database


CMU PILOT

• The purpose of the Pilot Project was to have contractors pilot the Reference Guide and its companion Database and provide feedback in order for CDD to enhance the resource tools

• The participants were able to use these tools along with the same family file sampling procedures used by the Child Development Division to determine an agency’s error rate percentage


CMU PILOT

From October 2011 – January 2012 the CMU along with the APMU piloted the following resources:

• CMU Reference Guide • Companion database


CMU PILOT

The next few slides will give you a brief overview of the:

– Reference Guide– File Review Database Manual– File Review Database


REFERENCE GUIDE

The Reference Guide:• Identifies the process on how to identify errors

when reviewing family files • Defines material and file errors• Ensures consistency among reviewers• Includes tools that can be used to do a CMU

Review manually, without the use of the database


REFERENCE GUIDE

The Reference Guide states every test question along with the legal authority


DATABASE MANUAL

An instructional tool to assist staff when using the Family Review Database to do the following:• Unzipping and opening the database• Entering data into the database• Importing/exporting data from multiple users• Producing an error rate report


DATABASE

• Replaces the use of the family worksheet• One Database for center-based and

alternative payment contractors• Allows you to make notes• Let’s you know if you have an error and

possibly the need to look further• Will produce an Error Rate Percentage Report• Allows more than one person to work on the

files and merge information for one report


DATABASE

• The Database has ten (10) tabs for information that we look at when we do a family file review

• Each tab (except for Tab 1) will have a notes section on the bottom– The note section is where you can describe in detail what

was found or what did not meet regulations– The CMU transfers all notes to Tab 10 to create an Excel

Error Notes Spreadsheet for the Exit Meeting and/or for planning purposes citing the proper regulation

• Material Error: 5 CCR, Section • File Error: 5 CCR, Section


Let’s open up the Database to show you

how it works


CMU PILOT

• CMU sent out a survey to the 18 contractors that participated in the pilot

• With the questions or concerns on the survey we made a few changes to the Database and Reference Guide

• Plan to send to all contractors in the fall of 2012


CMU PILOT

Things to remember:• Our resources are optional• If you are planning to use CDD’s Database,

you will still need to collect sufficient family documentation for the hard file to show the family is eligible for services

• We are always just a phone call or email away if you have questions


NEXT FOR CMU

• Conduct baseline CMU reviews of all center-based contractors in California

• Provide technical assistance and or trainings for all contractors that have an ERRP

TOM TORLAKSONState Superintendent of Public Instruction QUESTIONS


CONTACT INFORMATION

Linda Morales, Center-Based Monitoring [email protected]

Thank you for your participation

overview of the center-based monitoring review …...cmu reviews • contractors selected are...

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