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Sampling and Fieldwork Preparation Plans using the Renewal Data Collection Instructions

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Title: Sampling and Fieldwork Preparation Plans using the Renewal Data Collection Instructions


1
  • Sampling and Fieldwork Preparation Plans using
    the Renewal Data Collection Instructions

2
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

3
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

4
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 Steps

5
STATES SELECTED BY YEAR OF THREE YEAR REPORTING
CYCLE
(Section II, Pg. 3 Data Collection Instructions)
6
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).

7
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 Instructions

8
COMPARISON OF KEY CHANGES IN DCI RENEWAL
Current DCI Renewal DCI
Sampling and Fieldwork Preparation Plan 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 Cases 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.
9
TIMELINE FOR IMPLEMENTING ERROR RATE METHODOLOGY
STEP CCDF ERROR RATE METHODOLGY 2011 REPORTING YEAR TIMELINE (1st YEAR STATES) 2012 REPORTING YEAR TIMELINE (2ND YEAR STATES)
1. Submit, by email, to the Child Care Manager in ACF Regional Office for approval the State 1) decisions regarding selection of 271 or 276 cases, frequency of collecting monthly sampling frames, citation for source of random numbers, 2) plan for fieldwork preparation, and 3) assurance that the State will abide by the monthly sample instructions in "Measuring Improper Authorizations for Payment in the Child Care Program." On or before October 31, 2010 On or before October 31, 2011
2. Submit Record Review Worksheet to Child Care Manager in ACF Regional Office for approval. On or before December 31, 2010 On or before December 31, 2011
3. Submit State Improper Authorizations for Payment Report On or before June 30, 2011 On or before June 30, 2012
10
REVIEW PERIOD
  • FFY 12 month review period ends Sept 30th of
    calendar year prior to submission of States
    Improper Authorizations for Payment Report
    (ACF-402)
  • 1st Year Reporting States
  • Submit their ACF-402 by June 30, 2011
  • For an Oct. 1, 2009Sept. 30, 2010 review period
  • 2nd Year Reporting States
  • Submit their ACF-402 by June 30, 2012
  • For an Oct. 1, 2010Sept. 30, 2011 review period
  • (Section IV, Pg. 5 Data Collection Instructions)

11
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)
12
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)
13
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)
14
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)
15
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)
16
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

17
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

18
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)
19
ERROR DEFINITION
  • States define
  • What constitutes an error
  • and
  • Which errors result in an improper authorization

(Glossary Pg. 43 Data Collection Instructions)
20
Error Definition (CONT.)
21
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)
22
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)
23
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

24
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."

25
EXAMPLE OF STATESSUBMISSION 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.

26
EXAMPLE OF STATES 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.

27
EXAMPLE OF STATES 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 Definition
  • The 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.

28
EXAMPLE OF STATES 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.

29
EXAMPLE OF STATES 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."

30
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

31
NEXT STEPS
  • WRMA will provide
  • Three additional training Webinars
  • Customizing Record Review Worksheets
  • October 13, 2010 100 200 p.m. EST
  • Conducting the Record Review Process
  • February 9, 2011 100 200 p.m. EST
  • Completing the State Improper Authorizations for
    Payment Report
  • April 13, 2011 100 200 p.m. EDT
  • Ongoing technical assistance with each State

32
CONTACT INFORMATION
  • Carol Pearson
  • (302)226-1542
  • cpearson_at_wrma.com
  • Art Marcotte
  • (410)409-2751
  • amarcotte_at_wrma.com

33
CLOSING REMARKS
  • Please submit your evaluation following the
    Webinar.
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