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
Section II: Methodology
This chapter describes the various components of the study methodology and the process that the States used to measure improper payments. The chapter begins by providing an overview of the key components of the error rate methodology, followed by a detailed description of how each was implemented with the four pilot States. An additional area of inquiry included telephone discussions with five additional States—Arizona, California, Kansas, Nebraska, and New Hampshire. The final section of this chapter describes the telephone conferences conducted with these States.
OVERVIEW OF THE PROCESS TO MEASURE IMPROPER PAYMENTS
The process to measure improper payments for this study began with the study team working with the pilot States to prepare for the collection and analysis of data. The fieldwork preparation section of this chapter describes a planning conference held with the four pilot States in February 2005 followed by extensive telephone discussions to define common units of analysis, design the sampling plan, develop procedural definitions for the Record Review Worksheets, and prepare for the site visits.
Following the planning conference, each pilot State worked with the study team to select a statistically valid statewide random sample of children who received a child care subsidy during October 2004. The next section of this chapter describes the steps each State used to develop the sampling frame and create the universe of cases. Using the sampling frame provided electronically by each State, the study team randomly selected the sample for study.
Via teleconferences, the study team worked with each State to develop Record Review Worksheets, based on a template provided by the study team, addressing the unique policies and standards of their State. The section titled Developing Record Review Worksheets describes the process used to develop these worksheets in each pilot State.
Following extensive fieldwork preparation, the study team visited the four pilot States to learn about the State specific definitions and procedures each would use to review records. The next section briefly highlights the site visit agendas used in each State.
The record review process and error rate sections of this chapter describe the data collection and analysis procedures. The record review process section describes how the States reviewed each of the cases selected through the random sampling plan and determined whether it had been subject to an error and, if so, to determine whether the error resulted in an improper payment. Each State recorded the results of the review process on the Record Review Worksheets and summarized the error findings on a Data Entry Form. Using this information, the study team computed several error rates to measure improper payments in each of the States.
The final section of this chapter describes the telephone discussions held with five additional States to explore the feasibility of implementing the error rate methodology.
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