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State Survey Analysis Report

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Table of Contents
  Executive Summary
I. Introduction
II. Background
III. Methodology
IV. Report Format
V. General Overview – Policies and Infrastructure
  Definition of Improper Payments.
  State Organizational Structure that Handles Improper Payments in the Child Care Program.
  Topics or Activities for which State has Policies or Regulations.
VI. Identification And Assessment Of Improper Payments.
  Assessment or Analysis of Uses of Program Funds.
  Process for Identifying and Handling Improper Payments.
  Methods Used to Identify a Total Amount of Improper Payments.
  Elements Maintained by State Agencies to Describe Improper Payments.
  Calculation of an Improper Payments Rate.
VII. Describing Improper Payments: Sources, Types, Causes.
  Tracking Information on Improper Payments.
  Sources of Improper Payments.
    Exhibit 10(a). Sources of Improper Payments
    Exhibit 10(b-1). Proportion of Improper Payments from Regulated versus Unregulated Providers
    Exhibit 10(b-2). Proportion of Funding to Regulated vs. Unregulated Providers
    Exhibit 10(b-3). Proportion of Improper Payments from and Funds to Regulated and Unregulated Providers
    Exhibit 10(b-4). Proportion of Improper Payments from and Funds to Regulated and Unregulated Providers
  Proportion of Overpayments and Underpayments.
  Contributing Factors to Improper Payments.
VIII. Prevention Of Improper Payments.
  Priorities for Preventing and Reducing Improper Payments.
  Activities to Verify Accuracy of Information.
  Sources Used and Considered Most Effective to Ensure Accurate Payments.
IX. Recovery Of Improper Payments.
  Amount of Improper Payments Recovered.
  Penalties Due to Error
X. Fraud: Intentional Overpayments.
  Definition of Fraud.
  Maintaining Data on Fraudulent Payments.
  Measures Taken to Prevent Collusion.
  Penalties Due to Fraud.
  Reporting to Any Other Higher-Level Agency.
XI. Other
  Relevant Information.
  Sections of Manuals, Guidance, and Web Addresses.
XII. Conclusions.
Exhibits 1
  Exhibit 2. State Organizational Structure that Handles Improper Payments in the Child Care Program
  Exhibit 3. Topics or Activities for which State has Policies or Regulations.
  Exhibit 4. Assessment or Analysis of Uses of Program Funds.
  Exhibit 6. Methods Used to Identify the Total Amount of Improper Payments.
  Exhibit 7. Elements Maintained by State agencies to Describe Improper Payments.
  Exhibit 8. Calculation of an Improper Payments Rate.
  Exhibit 9. Tracking Information on Improper Payments.
  Exhibit 10(a). Sources of Improper Payments.
  Exhibit 10(b-1). Proportion of Improper Payments from Regulated versus Unregulated Providers. 
  Exhibit 10(b-2). Proportion of Funding to Regulated vs. Unregulated Providers.
  Exhibit 10(b-3). Proportion of Improper Payments from and Funds to Regulated and Unregulated Providers.
  Exhibit 10(b-4). Proportion of Improper Payments from and Funds to Regulated and Unregulated Providers.
  Exhibit 11. Proportion of Overpayments and Underpayments.
  Exhibit 12. Factors Contributing to Improper Payments.
  Exhibit 13. Four Priority Areas Appearing Most Often In the States' Top Three.
  Exhibit 14. Activities Performed and Considered Most Effective to Verify Accuracy of Information
  Exhibit 15. Data Sources Used and Considered Most Effective to Ensure Accurate Payments
  Exhibit 16. Amount of Improper Payments Recovered.
  Exhibit 17. Penalties Due to Error
  Exhibit 19. Maintaining Data on Fraudulent Payments.
  Exhibit 21. Penalties Due to Fraud.
  Exhibit 22. Reporting to Any Other Higher-level Agency.
  Exhibit 24. Sections of Manuals, Guidance, and Web Addresses.

Appendices
  Appendix 1. Definition of Improper Payments.
  Appendix 2. State Organizational Structure that Handles Improper Payments in the Child Care Program
  Appendix 3. Topics or Activities for which State has Policies or Regulations.
  Appendix 4. Assessment or Analysis of Uses of Program Funds.
  Appendix 5. Process for Identifying and Handling Improper Payments.
  Appendix 6. Methods Used to Identify the Total Amount of Improper Payments.
  Appendix 7. Elements Maintained by States to Describe Improper Payments.
  Appendix 10(a). Sources of Improper Payments.
  Appendix 12. Contributing Factors to Improper Payments.
  Appendix 13. Priorities for Preventing and Reducing Improper Payments.
  Appendix 14. Activities Performed and Considered Most Effective to Verify Accuracy of Information.
  Appendix 15. States Data Sources Used and Considered Most Effective to Ensure Accurate Payment.
  Appendix 17. Penalties Due to Error.
  Appendix 18. Definition of Fraud.
  Appendix 19. Maintaining Data on Fraudulent Payments.
  Appendix 20. Measures Taken to Prevent Collusion.
  Appendix 21. Penalties Due to Fraud.
  Appendix 22. Reporting to Any Other Higher-Level Agency.
  Appendix 23. Relevant Information.
  Appendix 24. Sections of Manuals, Guidance, and Web Addresses.
  Appendix 25. State Contact Information and E-mail Address.
  Appendix 26. Conducting Child Care Improper Payments Cost Benefit Analysis.

 

[1] Exhibit numbers correspond to the survey question numbers. Exhibit numbers are not entirely sequential since some questions (such as Q1, Q5, Q18) are not illustrated by an exhibit.

 

Executive Summary >>

 

Prepared for:
Administration for Children and Families
Child Care Bureau
1250 Maryland Ave. SW, 8th Floor
Washington, DC 20024
Attn: Moniquin Huggins, Task Order Officer
Wenda Singer, Improper Payments Team Leader
Under Contract Number 233–02–0093
Task Order Number 08
 
Prepared by:
Walter R. McDonald & Associates, Inc.
12300 Twinbrook Parkway, Suite 310
Rockville, MD 20852
February 7, 2007