Phase II Findings: Error Rate Methodology Pilot
Executive Summary, I. Introduction, II. Methodology, III. Measuring Improper Payments in Nine States, IV. Findings and Next Steps, V. Recommendations, Appendices: Appendix A: Arkansas, Appendix B: Colorado, Appendix C: Illinois, Appendix D: Ohio, Appendix E: Record Review Worksheet, Appendix F: Data Entry Form, Appendix G: Telephone Discussion Guide, Appendix H: Arizona, Appendix I: California, Appendix J: Kansas, Appendix K: Nebraska, Appendix L: New Hampshire
Appendix E: Record Review Worksheet
The Record Review Worksheet used for this site is located on the following pages.
Note: The format of this table has been slightly modified in the html version in order to meet Section 508 compliance requirements. The table is presented in original format in the Word and pdf versions.
CLIENT ID# STATE: COUNTY: DATE:
SECTION I. STATE CHILD CARE PROGRAM FORMS |
|
100 APPLICATION FORMS |
ANALYSIS OF CASE RECORD (2) |
| Determine presence, date, and completeness of required eligibility forms, may include (1) signed and dated application form, (2) child care agreement, (3) voucher or certificate, and (4) provider invoice. Specify conditions of dollar error, including (1) form expired, (2) no application form, and (3) no documentation of income and work hours. | |
FINDINGS (3)
|
|
SECTION II. PRIORITY GROUP PLACEMENT |
|
200 PRIORITY GROUP PLACEMENT |
ANALYSIS OF CASE RECORD (2) |
| Determine if client meets criteria of State-designated priority groups, e.g., (1) teen parent in high school, (2) TANF recipients in eligible work activities, (3) working parents on TANF, and (4) foster parents etc. | |
FINDINGS (3)
|
|
SECTION III. GENERAL PROGRAM REQUIREMENTS |
|
300 QUALIFYING HEAD OF HOUSEHOLD |
ANALYSIS OF CASE RECORD (2) |
| Determine if client meets parent definition (parent means a parent by blood, marriage or adoption and also means a legal guardian, or other person standing in loco parentis), e.g., (1) parent, (2) step-parent, (3) legal guardian, (4) needy caretaker relative, or (5) spouse of same. Child(ren) must be citizen(s). | |
FINDINGS (3)
|
|
310 RESIDENCY |
ANALYSIS OF CASE RECORD (2) |
| Determine if client is a resident of the State and for what duration, if client is a resident of the county and for what duration, and whether there is an agreement regarding eligibility among counties. | |
FINDINGS (3)
|
|
320 HOUSEHOLD MEMBERS |
ANALYSIS OF CASE RECORD (2) |
| To receive services a child's parent or parents must be working or attending a job training or educational program. | |
FINDINGS (3)
|
|
330 QUALIFYING CHILD |
ANALYSIS OF CASE RECORD (2) |
| Determine if child(ren) is eligible for services, including (1) younger than 13 years, (2) younger than 19 years and physically or mentally incapable of caring for himself or herself, or under court supervision, and (3) in foster care when defined in the State Plan. | |
FINDINGS (3)
|
|
340 QUALIFYING CARE |
ANALYSIS OF CASE RECORD (2) |
| Determine hours and type of care authorized. Determine required number of hours of care during authorized schedule. | |
FINDINGS (3)
|
|
350 QUALIFYING PROVIDER ARRANGEMENT |
ANALYSIS OF CASE RECORD (2) |
| Determine if services are provided within a center-based child care provider, a group home child care provider, a family child care provider, an in-home child care provider, or other provider of child care services for compensation that Is licensed, regulated, or registered under applicable State or local law. Is informal care included? | |
FINDINGS (3)
|
|
360 PROVIDER REQUIREMENTS |
ANALYSIS OF CASE RECORD (2) |
| Determine if regulatory requirements are met. Regulatory requirements means requirements necessary for a provider to legally provide child care services in a State or locality, including registration requirements established under State, local, or tribal law. | |
FINDINGS (3)
|
|
SECTION IV. INCOME AND PAYMENTS |
|
400 INCOME |
ANALYSIS OF CASE RECORD (2) |
Describe income documentation verification for each member of the household. Specify time period and all income to be considered, e.g., based on 4 weeks prior to application: Collect the following data: (1) head of household employment income, (2) spouse employment income, (3) any changes in income reported, (4) income during job training for parent/caregiver, (5) child support, if included as part of income, (6) Food Stamps, if included as part of income, and (7) loss of income during eligibility period. |
|
FINDINGS (3)
|
|
410 INCOME ELIGIBILITY |
ANALYSIS OF CASE RECORD (2) |
| Determine if household income meets State requirements (e.g., family gross income must be within 50% of State's median income). | |
FINDINGS (3)
|
|
420 PAYMENTS, GENERAL |
ANALYSIS OF CASE RECORD (2) |
| Determine if payments were made. A sliding fee scale based on income and the size of the family and may be based on other factors as appropriate. | |
FINDINGS (3)
|
|
430 PAYMENTS, COMPUTATIONS |
ANALYSIS OF CASE RECORD (2) |
| Determine difference in dollar amount of child care benefits authorized versus the amount that should have been authorized--indicate if it is an overpayment or underpayment. | |
FINDINGS (3)
|
|
<< Exhibit D-2: Ohio Record Review Worksheet | Table of Contents | Appendix F: Data Entry Form >>