Overview of the Center-Based Monitoring Review Process Presenter: Linda Morales, Manager CALIFORNIA DEPARTMENT OF EDUCATION Tom Torlakson, State Superintendent of Public Instruction
AGENDA TOM TORLAKSON State Superintendent • Purpose of Public Instruction • CMU Reviews • CMU Pilot • Overview of the Reference Guides • Overview of the Database Manual • Overview of the Database • Outcome of the Pilot • Next for CMU • Questions
PURPOSE TOM TORLAKSON State Superintendent The purpose of this workshop is to of Public Instruction better acquaint participants with the Center-Based Monitoring Unit and explain its mandates, functions, and tasks.
CMU STAFF TOM TORLAKSON State Superintendent Child Development Division of Public Instruction Center-Based Monitoring Unit • Linda Morales, Manager – Patty Wagoner, Analyst – Paul Saucedo, Analyst – Bounthay Bouttavong, Analyst – Aurora Alvarez, Analyst
CENTER-BASED MONITORING UNIT (CMU) REVIEWS TOM TORLAKSON State Superintendent The CMU team reviews center-based contractors including: of Public Instruction • California State Preschool Program (CSPP) (Full-day Programs) • General Child Care and Development (Center-Based) Program (CCTR) • Family Child Care Home Education Networks (CCTR and CFCC) • Handicapped Child Care and Development Program (CHAN) • State Migrant Child Care and Development Program (CMIG)
CMU REVIEWS TOM TORLAKSON State Superintendent • Contractors selected are usually of Public Instruction – Large contractors (MRA of $500,000 or more) with a “need” component – Federal Program Monitoring (FPM) Reviews – Contract Monitor Reviews (CMRs) with the field service consultants • CMU selects a sample of basic family data and analyze that sample to estimate rates of administrative errors in – Eligibility – Need – Family Fee – Attendance
CMU REVIEWS TOM TORLAKSON State Superintendent Two types of Errors: Material and File Error of Public Instruction Material Error • A material error is an error that results in the improper reimbursement of services. A material error occurs when the requirements in statutes or regulations are either misapplied and/or when there is insufficient or conflicting documentation File Error • A file error occurs when federal and state requirements are not met, but do not result in an improper reimbursement of services. However, a systemic issue may result in a noncompliance finding
CMU REVIEWS When a contractor is selected for a CMU Review TOM TORLAKSON State Superintendent of Public Instruction • A notification letter will be sent out at least three (3) weeks before the review and will provide the following information – Give the week of the review – Give the date and time of the Entrance Meeting – Give the month that will be reviewed – Give information on how to prepare for the review – Request a staff person be present during the review • The list of family files to be reviewed will be sent out three (3) days before the review
CMU REVIEWS TOM TORLAKSON State Superintendent During the week of the review CMU will of Public Instruction • Conduct an Entrance meeting • Review family files • Answer questions • Provide technical assistance
CMU REVIEWS TOM TORLAKSON State Superintendent Conclude the review with of Public Instruction • Pre-exit Meeting – At the end of each day or the day before the Exit Meeting – Summarize the findings – Provide technical assistance • Exit Meeting we will provide the contractor with – Summary of Findings – Error Rate Percentage Worksheet – Detailed Error Notes Worksheet
CMU REVIEWS TOM TORLAKSON State Superintendent of Public Instruction CDE is required to report statewide error rates for the child care programs annually to the Legislature and the Governor
CMU 2011-12 REVIEWS TOM TORLAKSON State Superintendent Completed 39 CMU Reviews of Public Instruction • Overall Error Rate Percentage is 28.7% – Eligibility = 21.4% – Need = 6.0% – Family Fee = 0.2% – Attendance = 1.1%
CMU 2011-12 REVIEWS TOM TORLAKSON State Superintendent The most common errors: of Public Instruction Eligibility • The lack of sufficient documentation in the file to support the families’ eligibility – For example: The presence or absence of a parent was not documented or parent did not provide a month’s worth of their most current income
CMU 2011-12 REVIEWS TOM TORLAKSON State Superintendent Need of Public Instruction • Were generally caused by the contractor inaccurately certifying the hours of need based on the documentation in the file – For example: The need documentation shows the parent’s need is half-time but the contractor certified family for full-time services
CMU 2011-12 REVIEWS TOM TORLAKSON State Superintendent Attendance of Public Instruction • Were generally caused from parents and/or authorized representatives not documenting excused absences – For example: child is out sick, parent calls in but there is no documentation indicating the excused absence signed by parent or representative
CMU 2011-12 REVIEWS TOM TORLAKSON State Superintendent Family Fee of Public Instruction • Were attributed to miscalculations of monthly income or family size – For example: calculating income at bi-monthly when it should be bi-weekly will cause a miscalculation of income which might generate a family fee
Error Rate Reduction Plans TOM TORLAKSON State Superintendent The error rate percentage threshold for center- of Public Instruction based contractors is 18% • Error Rate Reduction Plan (ERRP) is required if a contractor exceeds the threshold • Contractors are expected to develop quality assurance systems • The ERRP involves intensive technical assistance by CDD staff • Contractors are expected to improve administrative error rates during their follow-up review
Error Rate Reduction Plans TOM TORLAKSON State Superintendent The CMU ERRP procedure includes: of Public Instruction • Assisting contractors in reducing their error rate percentage • Working with the assigned consultant • Communicating with contractors by email and phone • When necessary, provide 1-2 days of training and technical assistance to follow-up on their ERRP
CMU PILOT TOM TORLAKSON State Superintendent • The CMU was given a task to develop a of Public Instruction Reference Guide that would assist contractors in preparation for an CMU Review • That tasked morphed into not only a Reference Guide but also a companion Database
CMU PILOT TOM TORLAKSON State Superintendent • The purpose of the Pilot Project was to have of Public Instruction contractors pilot the Reference Guide and its companion Database and provide feedback in order for CDD to enhance the resource tools • The participants were able to use these tools along with the same family file sampling procedures used by the Child Development Division to determine an agency’s error rate percentage
CMU PILOT TOM TORLAKSON State Superintendent From October 2011 – January 2012 the CMU of Public Instruction along with the APMU piloted the following resources: • CMU Reference Guide • Companion database
CMU PILOT TOM TORLAKSON State Superintendent The next few slides will give you a brief of Public Instruction overview of the: – Reference Guide – File Review Database Manual – File Review Database
REFERENCE GUIDE TOM TORLAKSON State Superintendent The Reference Guide: of Public Instruction • Identifies the process on how to identify errors when reviewing family files • Defines material and file errors • Ensures consistency among reviewers • Includes tools that can be used to do a CMU Review manually, without the use of the database
REFERENCE GUIDE TOM TORLAKSON State Superintendent The Reference Guide states every test question of Public Instruction along with the legal authority
DATABASE MANUAL TOM TORLAKSON State Superintendent An instructional tool to assist staff when using the of Public Instruction Family Review Database to do the following: • Unzipping and opening the database • Entering data into the database • Importing/exporting data from multiple users • Producing an error rate report
DATABASE TOM TORLAKSON State Superintendent • Replaces the use of the family worksheet of Public Instruction • One Database for center-based and alternative payment contractors • Allows you to make notes • Let’s you know if you have an error and possibly the need to look further • Will produce an Error Rate Percentage Report • Allows more than one person to work on the files and merge information for one report
DATABASE TOM TORLAKSON State Superintendent • The Database has ten (10) tabs for information of Public Instruction that we look at when we do a family file review • Each tab (except for Tab 1) will have a notes section on the bottom – The note section is where you can describe in detail what was found or what did not meet regulations – The CMU transfers all notes to Tab 10 to create an Excel Error Notes Spreadsheet for the Exit Meeting and/or for planning purposes citing the proper regulation • Material Error: 5 CCR, Section • File Error: 5 CCR, Section
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