Measuring Improper Authorizations for Payment in the Child Care Program:
Improper Authorization for Payment Data Collection Instructions [Approved August 31, 2007]

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VII. COMPLETING THE DATA ENTRY FORM

State reviewers record the findings from each Record Review Worksheet onto a Data Entry Form. (Attachment 2)

The Data Entry Form summarizes the composite results of the record review documented on the Record Review Worksheet. Below is a list of the information included on the Data Entry Form, instructions as necessary and where the information can be located on the Record Review Worksheet. Note that the term "authorization" means the subsidy payment authorized during eligibility determination or redetermination for the sample review month. (See Glossary.)

1. State – Insert the State name from the first line of the Record Review Worksheet;
2. County – Insert the County name from the first line of the Record Review Worksheet;
3. Child ID – Insert the Child ID from the first line of the Record Review Worksheet;
4. Sample Month/Year – Insert the sample month/year from the first line/top of the Record Review Worksheet;
5. Record Review Date – Insert the Record Review Date from the first line of the Record Review Worksheet;
6. One or more errors during sample review month – Insert the number of errors code according to the following key: “0” = no errors, “1” = one or more errors. This information is located on the Record Review Worksheet in Column 4;
7. Total amount of improper authorization (Underauthorization or Overauthorization) during sample review month – Insert the total dollar amount of the improper authorization located on the Record Review Worksheet in Element 430, Column 4;
8. Type of improper authorization for payment – Insert the type of improper authorization code according to the following key: “U” = Underauthorization, “O” = Overauthorization. Enter "NA" if there is no authorization error. This information is located on the Record Review Worksheet in Column 4. (For cases with multiple authorization errors, enter the type of improper authorization for the larger dollar amount of error.);
9. Reason for error due to insufficient or missing documentation – Insert “Y” if the reason for error was due to insufficient or missing documentation, "N" if the error was not due to insufficient or missing information, and "NA" is there is no error. This information is located on Record Review Worksheet in Column 4; and
10. Total Authorization Amount during sample review month – Insert the total dollar amount included on Record Review Worksheet in Element 420, Column.

Data Entry Form Examples

The following example is provided to illustrate a review of one Section of the customized Record Review Worksheet, followed by the manner in which Columns 2 – 4 would be completed.

The Data Entry Form for the above example would be completed as follows:

The following provides examples of completed Data Entry Forms based on various examples of Column 3 error findings.

Example #1 — One Underauthorization Error

Findings— The client provided her two most recent bi-weekly pay stubs at application. The caseworker converted the income as if it was weekly income. This error caused the income to be overstated by $300 monthly and resulted in a $50 Underauthorization of the monthly subsidy.

Data Entry Form
Item #	Item	Coding
1	State
2	County
3	Child ID	123456
4	Sample Month/Year	10/05
5	Record Review Date	MM/DD/YY
6	One or more case errors during sample review month0= no errors, 1= one or more errors	1
7	Total amount of Underauthorization or Overauthorization during sample review month	$50
8	Type of improper authorization for payment (U = Underauthorization, O = Overauthorization or NA = No Authorization Error)	U
9	Reason for error due to insufficient or missing documentation (Y = Yes, N = No or NA = No Error)	N
10	Total Authorization Amount during sample review month	$378

 

Example #2 — Two Overauthorization Errors

Findings— The client provided her two most recent bi-weekly pay stubs at recertification. The caseworker used the net income figure rather than the gross figure. This caused a $20 Overauthorization in the monthly subsidy. On the application the client had listed $300 monthly in child support. This was the amount used by the worker. The case record did not contain any verification of this income. Using the required child support screens the reviewer verified that the customer actually received child support of $400 monthly. The child support income caused a $60 Overauthorization in the monthly amount. The two errors discovered in the case record review are coded on the Data Entry Form as follows: Item 6: "1" = one or more errors; Item 7: "$80" for the total amount of Overauthorization; Item 8: "O" = Overauthorization is the type of improper authorization; and Item 9: "Y," because the reason for the error was due to missing documentation.

Data Entry Form
Item #	Item	Coding
1	State
2	County
3	Child ID	654321
4	Sample Month/Year	10/05
5	Record Review Date	MM/DD/YY
6	One or more case errors during sample review month 0= no errors, 1= one or more errors	1
7	Total amount of Underauthorization or Overauthorization during sample review month	$80
8	Type of improper authorization for payment (U = Underauthorization, O = Overauthorization or NA = No Authorization Error)	O
9	Reason for error due to insufficient or missing documentation (Y = Yes, N = No or NA = No Error)	Y
10	Total Authorization Amount during sample review month	$495

 

Example #3 — Two Underauthorization Errors

Findings— The client provided all required information about her self-employment income and business costs. The caseworker miscalculated the customer’s gross income resulting in an overstatement of earnings by $100 monthly. This resulted in an Underauthorization of $15. The worker also failed to include a business cost that was documented in the case record. The inclusion of the business cost would have lowered the client’s income further resulting in an additional $10 Underauthorization. The two errors amount to a total $25 Underauthorization. This amount is the figure used in for the total amount of the improper authorization in Element 430 Column 4. The two errors discovered in the case record review are coded on the Data Entry Form as follows: Item 6: "1" = one or more errors; Item 7: "$25" for the total amount of the Underauthorization; Item 8: "U" = Underauthorization is the type of improper authorization; and Item 9: "Yes," because the reason for the error was due to the worker’s failure to adequately document the eligibility determination.

Data Entry Form
Item #	Item	Coding
1	State
2	County
3	Child ID	135791
4	Sample Month/Year	10/05
5	Record Review Date	MM/DD/YY
6	One or more case errors during sample review month0= no errors, 1= one or more errors	1
7	Total amount of Underauthorization or Overauthorization during sample review month	$25
8	Type of improper authorization for payment (U = Underauthorization, O = Overauthorization or NA = No Authorization Error)	U
9	Reason for error due to insufficient or missing documentation (Y = Yes, N = No or NA = No Error)	Y
10	Total Authorization Amount during sample review month	$192

 

Example #4 — One Error - No Improper Authorization

Findings—The payment form in the record was signed by the worker but not by the supervisor. This is an error but with no dollar value. The Data Entry Form is coded as follows: Item 6: "1" = one or more errors; Item 7: "$0" = no dollar value.; Item 8: "NA" no authorization error; Item 9: "Y" = error due to insufficient or missing documentation; and Item 10:."$260" = the total authorization amount during the sample review month.

Data Entry Form
Item #	Item	Coding
1	State
2	County
3	Child ID	246802
4	Sample Month/Year	10/05
5	Record Review Date	MM/DD/YY
6	One or more case errors during sample review month0= no errors, 1= one or more errors	1
7	Total amount of Underauthorization or Overauthorization during sample review month	$0
8	Type of improper authorization for payment (U = Underauthorization, O = Overauthorization or NA = No Authorization Error)	N/A
9	Reason for error due to insufficient or missing documentation (Y = Yes, N = No or NA = No Error)	Y
10	Total Authorization Amount during sample review month	$260

 

Example #5 - Two Errors - One Overauthorization and One Underauthorization

Findings—The client provided all required information about her self - employment income and her business costs. The caseworker miscalculated the customer’s gross income and this resulted in it being overstated by $100 monthly. This would have resulted in an Underauthorization of $15. However, the worker also included a business cost that is not allowed under state policy. The net difference of the two errors, a $5 Underauthorization, is the amount recorded in the total amount of the improper authorization in Column 4 in the Record Review Worksheet. As the income calculation error was the larger of the two errors, it is the one coded in Column 4. The errors discovered in the case record review are coded on the Data Entry Form as follows: Item 6: "1" = one or more errors; Item 7: "$5" for the net amount of the improper authorization; Item 8: "U" - Underauthorization is the type of improper authorization; and Item 9: "N" because the reason for the error was not due to insufficient or missing documentation.

Data Entry Form
Item #	Item	Coding
1	State
2	County
3	Child ID	135791
4	Sample Month/Year	10/05
5	Record Review Date
6	One or more case errors during sample review month 0= no errors, 1= one or more errors	1
7	Total amount of Underauthorization or Overauthorization during sample review month	$5
8	Type of improper authorization for payment (U = Underauthorization, O = Overauthorization or NA = No Authorization Error)	U
9	Reason for error due to insufficient or missing documentation (Y = Yes, N = No or NA = No Error)	N
10	Total Authorization Amount during sample review month	$192