Attachment II
INSTRUCTION FOR SEC. 427 TRIENNIAL
REVIEW
CASE RECORD SURVEY SAMPLE
TRIENNIAL REVIEW DECISION TABLES III AND IV
Triennial Review Criteria
The Triennial Review, completed for the third year after a State has passed its Subsequent Review requires a 90 percent level of acceptable case records from the State file of open and closed cases in which the child was in foster care for at least six months during the year under review. This necessitates the use of Decision Tables III and IV.
Sample Size
States with 1,000 or more children who were in continuous foster care for six or more months during the year under review, including both open and closed cases, will require a review of a random sample of 150 case records. States with less than 1,000 children who were in continuous foster care for six or more months during the year under review (open and closed cases) will require a review of a random sample of 81 case records.
Decision Tables III and IV
There are two Decision Tables for sequential sampling to be used for the Triennial Review. Decision Table III is to be used with States with 1,000 or more children in foster care; and Decision Table IV is to be used with States with less than 1,000 children in foster care as of the end of the fiscal year for which additional funds were claimed. The two tables are used in a similar manner, except for the cut-off in the reading of case records; 150 case records for Table III and 81 case records for Table IV. The instructions for using Decision Table III and Decision Table IV are the same.
| Col. 1. | Case Record I.D. - The review supervisor enters case by case the case record I.D. of every case that is reviewed in the sequence in which the review is completed. This would follow the random reading sequence allowing for deletion of case records that do not meet selection criteria. |
| 2. | Number of Records Reviewed - This is a sequential listing of the cumulative number of records reviewed beginning with 1 and ending with 150 (or 81 for Decision Table IV) for the last record that may be evaluated, e.g., the number 54 would indicate that a total of 54 records have been reviewed. |
| 3. | Acceptance Number - This column represents the maximum number of "Unacceptable" case records that are necessary to make the decision that the State is in compliance. No decision to accept a State can be made before at least 45 (or 26 for Decision Table IV) case records have been reviewed. At that point in the review there cannot be any "Unacceptable" case records. The total number of "Unacceptable" case records cannot exceed 15 (or 8 for Decision Table IV) for the State to be in compliance. |
| 4. |
Unacceptable: Actual/Cumulative - This represents the actual and cumulative total of "Unacceptable" case records. The Review Supervisor enters the actual and cumulative total number of "Unacceptable" case records in this column as each record review is completed and the results are transferred from the Reviewer's Tally Sheet to the Decision Table. Enter "0" for an "Acceptable" case record and "1" for an "Unacceptable" case record. This cumulative total of "Unacceptable" case records is compared line by line with the corresponding figures in columns 3 and 5. Whenever the number in this column equals the number of either column 3 or 5 the review process stops and a decision is made. If the cumulative number in column 4 equals the number in column 3 the decision is made to consider the State in compliance. If the cumulative total in column 4 is between the numbers in columns 3 and 5 the review process continues until the 150th (or 81st for Decision Table IV) case record is reviewed. Since a State must pass at the 90 percent level, A State is considered to have passed the case record survey only if the accumulated total number of Unacceptable records, Column 4, does not exceed the Acceptance Number in Column. For samples of 150 cases, the maximum number of Unacceptable case records is 15; for samples of 81 case records the maximum number of Unacceptable case record is 8. |
| 5. | Rejection Number - This column represents the minimum number of "Unacceptable" case records that are necessary to make the decision that the State is not in compliance. |
| 6. | Reviewer's Initials - The reviewer initials the entry made by the supervisor for each completed case record reviewed. |
| 7. | Supervisor's Initials - The Review Supervisor initials the entry made for each completed case record reviewed. |
Technical Note: Statistical Computation
The sequential probability ratio test was used for the binomial distribution. The four quantities that completely determine the sequential inspection plan for States with 1,000 or more children who were in continuous foster care for six or more months during the year under review are:
| o | P1 = .10 | The acceptable quality limit expressed as a fraction of unacceptable case records. |
| o | P2 = .20 | |
| o | alpha = .001 | Type I Error |
| o | beta = .005 | Type II Error |
Using these four quantities the formulae for the Acceptance Numbers (Column 3) and Rejection Numbers (Column 5) of Decision Table III are:
|
Acceptance Number = -6,5303 + .1452 x # of records reviewed. Rejection Number = 8.5119 + .1452 x # of records reviewed. |
Similarly, the four quantities that determine the sequential sampling plan for States with less than 1,000 children who were in continuous foster care for six or more months during the year under review are:
| o | P1 = .10 | The acceptable quality limit expressed as a fraction of unacceptable case records. |
| o | P2 = .20 | |
| o | alpha = .01 | Type I Error |
| o | beta = .05 | Type II Error |
The formulas for the Acceptance Numbers (Column 3) and the Rejection Numbers (Column 5) of Decision Table IV are:
|
Acceptance Number = -3.6817 + .1452 x # of records reviewed. Rejection Number = 5.6155 + .1452 x # of records reviewed. |
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 76 | 7 | 17 | ||||
| 77 | 7 | 17 | ||||
| 78 | 7 | 17 | ||||
| 79 | 7 | 18 | ||||
| 80 | 7 | 18 | ||||
| 81 | 8 | 18 |
Date
Review Supervisor (Signature)
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 61 | 5 | 15 | ||||
| 62 | 5 | 15 | ||||
| 63 | 5 | 15 | ||||
| 64 | 5 | 15 | ||||
| 65 | 5 | 16 | ||||
| 66 | 5 | 16 | ||||
| 67 | 6 | 16 | ||||
| 68 | 6 | 16 | ||||
| 69 | 6 | 16 | ||||
| 70 | 6 | 16 | ||||
| 71 | 6 | 16 | ||||
| 72 | 6 | 17 | ||||
| 73 | 6 | 17 | ||||
| 74 | 7 | 17 | ||||
| 75 | 7 | 17 |
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 46 | 2 | 13 | ||||
| 47 | 3 | 13 | ||||
| 48 | 3 | 13 | ||||
| 49 | 3 | 13 | ||||
| 50 | 3 | 13 | ||||
| 51 | 3 | 14 | ||||
| 52 | 3 | 14 | ||||
| 53 | 4 | 14 | ||||
| 54 | 4 | 14 | ||||
| 55 | 4 | 14 | ||||
| 56 | 4 | 14 | ||||
| 57 | 4 | 14 | ||||
| 58 | 4 | 15 | ||||
| 59 | 4 | 15 | ||||
| 60 | 5 | 15 |
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 31 | 0 | 11 | ||||
| 32 | 0 | 11 | ||||
| 33 | 1 | 11 | ||||
| 34 | 1 | 11 | ||||
| 35 | 1 | 11 | ||||
| 36 | 1 | 11 | ||||
| 37 | 1 | 11 | ||||
| 38 | 1 | 12 | ||||
| 39 | 1 | 12 | ||||
| 40 | 2 | 12 | ||||
| 41 | 2 | 12 | ||||
| 42 | 2 | 12 | ||||
| 43 | 2 | 12 | ||||
| 44 | 2 | 13 | ||||
| 45 | 2 | 13 |
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 16 | - | 8 | ||||
| 17 | - | 9 | ||||
| 18 | - | 9 | ||||
| 19 | - | 9 | ||||
| 20 | - | 9 | ||||
| 21 | - | 9 | ||||
| 22 | - | 9 | ||||
| 23 | - | 9 | ||||
| 24 | - | 10 | ||||
| 25 | - | 10 | ||||
| 26 | 0 | 10 | ||||
| 27 | 0 | 10 | ||||
| 28 | 0 | 10 | ||||
| 29 | 0 | 10 | ||||
| 30 | 0 | 10 |
TRIENNIAL REVIEW DECISION TABLE IV
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 1 | - | - | ||||
| 2 | - | - | ||||
| 3 | - | - | ||||
| 4 | - | - | ||||
| 5 | - | - | ||||
| 6 | - | - | ||||
| 7 | - | 7 | ||||
| 8 | - | 7 | ||||
| 9 | - | 7 | ||||
| 10 | - | 8 | ||||
| 11 | - | 8 | ||||
| 12 | - | 8 | ||||
| 13 | - | 8 | ||||
| 14 | - | 8 | ||||
| 15 | - | 8 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 136 | 13 | 29 | ||||
| 137 | 13 | 29 | ||||
| 138 | 13 | 29 | ||||
| 139 | 13 | 29 | ||||
| 140 | 13 | 29 | ||||
| 141 | 13 | 29 | ||||
| 142 | 14 | 30 | ||||
| 143 | 14 | 30 | ||||
| 144 | 14 | 30 | ||||
| 145 | 14 | 30 | ||||
| 146 | 14 | 30 | ||||
| 147 | 14 | 30 | ||||
| 148 | 14 | 31 | ||||
| 149 | 15 | 31 | ||||
| 150 | 15 | 31 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 121 | 11 | 27 | ||||
| 122 | 11 | 27 | ||||
| 123 | 11 | 27 | ||||
| 124 | 11 | 27 | ||||
| 125 | 11 | 27 | ||||
| 126 | 11 | 27 | ||||
| 127 | 11 | 27 | ||||
| 128 | 12 | 28 | ||||
| 129 | 12 | 28 | ||||
| 130 | 12 | 28 | ||||
| 131 | 12 | 28 | ||||
| 132 | 12 | 28 | ||||
| 133 | 12 | 28 | ||||
| 134 | 12 | 28 | ||||
| 135 | 13 | 29 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 106 | 8 | 24 | ||||
| 107 | 9 | 25 | ||||
| 108 | 9 | 25 | ||||
| 109 | 9 | 25 | ||||
| 110 | 9 | 25 | ||||
| 111 | 9 | 25 | ||||
| 112 | 9 | 25 | ||||
| 113 | 9 | 25 | ||||
| 114 | 10 | 26 | ||||
| 115 | 10 | 26 | ||||
| 116 | 10 | 26 | ||||
| 117 | 10 | 26 | ||||
| 118 | 10 | 26 | ||||
| 119 | 10 | 26 | ||||
| 120 | 10 | 26 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 91 | 6 | 22 | ||||
| 92 | 6 | 22 | ||||
| 93 | 6 | 23 | ||||
| 94 | 7 | 23 | ||||
| 95 | 7 | 23 | ||||
| 96 | 7 | 23 | ||||
| 97 | 7 | 23 | ||||
| 98 | 7 | 23 | ||||
| 99 | 7 | 23 | ||||
| 100 | 7 | 24 | ||||
| 101 | 8 | 24 | ||||
| 102 | 8 | 24 | ||||
| 103 | 8 | 24 | ||||
| 104 | 8 | 24 | ||||
| 105 | 8 | 24 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 76 | 4 | 20 | ||||
| 77 | 4 | 20 | ||||
| 78 | 4 | 20 | ||||
| 79 | 4 | 20 | ||||
| 80 | 5 | 21 | ||||
| 81 | 5 | 21 | ||||
| 82 | 5 | 21 | ||||
| 83 | 5 | 21 | ||||
| 84 | 5 | 21 | ||||
| 85 | 5 | 21 | ||||
| 86 | 5 | 21 | ||||
| 87 | 6 | 22 | ||||
| 88 | 6 | 22 | ||||
| 89 | 6 | 22 | ||||
| 90 | 6 | 22 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 61 | 2 | 18 | ||||
| 62 | 2 | 18 | ||||
| 63 | 2 | 18 | ||||
| 64 | 2 | 18 | ||||
| 65 | 2 | 18 | ||||
| 66 | 3 | 19 | ||||
| 67 | 3 | 19 | ||||
| 68 | 3 | 19 | ||||
| 69 | 3 | 19 | ||||
| 70 | 3 | 19 | ||||
| 71 | 3 | 19 | ||||
| 72 | 3 | 19 | ||||
| 73 | 4 | 20 | ||||
| 74 | 4 | 20 | ||||
| 75 | 4 | 20 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 46 | 0 | 16 | ||||
| 47 | 0 | 16 | ||||
| 48 | 0 | 16 | ||||
| 49 | 0 | 16 | ||||
| 50 | 0 | 16 | ||||
| 51 | 0 | 16 | ||||
| 52 | 1 | 17 | ||||
| 53 | 1 | 17 | ||||
| 54 | 1 | 17 | ||||
| 55 | 1 | 17 | ||||
| 56 | 1 | 17 | ||||
| 57 | 1 | 17 | ||||
| 58 | 1 | 17 | ||||
| 59 | 2 | 18 | ||||
| 60 | 2 | 18 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 31 | - | 14 | ||||
| 32 | - | 14 | ||||
| 33 | - | 14 | ||||
| 34 | - | 14 | ||||
| 35 | - | 14 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 16 | - | 11 | ||||
| 17 | - | 11 | ||||
| 18 | - | 12 | ||||
| 19 | - | 12 | ||||
| 20 | - | 12 | ||||
| 21 | - | 12 | ||||
| 22 | - | 12 | ||||
| 23 | - | 12 | ||||
| 24 | - | 12 | ||||
| 25 | - | 13 | ||||
| 26 | - | 13 | ||||
| 27 | - | 13 | ||||
| 28 | - | 13 | ||||
| 29 | - | 13 | ||||
| 30 | - | 13 |
TRIENNIAL REVIEW DECISION TABLE III
|
Review Supervisor Telephone Number |
State Dates |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| Case Record I.D. |
Number Records Reviewed |
Acceptance Number |
Unacceptable* Actual Cumulative |
Rejection Number |
Reviewer's Initial |
Supervisor's Initial |
| 1 | - | - | ||||
| 2 | - | - | ||||
| 3 | - | - | ||||
| 4 | - | - | ||||
| 5 -- - |
- | - | ||||
| 6 | - | - | ||||
| 7 | - | - | ||||
| 8 | - | - | ||||
| 9 | - | - | ||||
| 10 | - | 10 | ||||
| 11 | - | 11 | ||||
| 12 | - | 11 | ||||
| 13 | - | 11 | ||||
| 14 | - | 11 | ||||
| 15 | - | 11 |
Attachment I - Eighteen Elements
