Using CATS CAO Audit Tracking System Return to TOC Table of - - PDF document

Commonwealth of PA Department of Public Welfare

Using CATS

CAO Audit Tracking System

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Table of Contents

Introduction .................................................................................................................................................. 3 Accessing CATS .............................................................................................................................................. 5 CATS Home .................................................................................................................................................... 6 Manage Audits .............................................................................................................................................. 7 Create New Audit ...................................................................................................................................... 8 View/Update Audit ................................................................................................................................. 10 View/Update Audit (Search Results) ................................................................................................... 12 View/Update Audit (Selected Audit) ................................................................................................... 14 Delete Audit(s) ........................................................................................................................................ 16 Delete Audit(s) (Search Results) ......................................................................................................... 17 Manage Cases ............................................................................................................................................. 19 Create New Case ..................................................................................................................................... 20 Create New Case (Search Results) ...................................................................................................... 22 Create New Case (Case Form) ............................................................................................................. 23 Create New Case (Case Form, Progressive Entries) ............................................................................ 25 View/Update Case .................................................................................................................................. 27 View/Update Existing Case (Search Results) ...................................................................................... 29 View/Update Existing Case (Selected Case) ........................................................................................ 31 Manage Deficiencies ............................................................................................................................... 33 Manage Deficiencies (Search Results) ................................................................................................ 34 Manage Deficiencies (Deficiency List) ................................................................................................. 36 Manage Deficiencies (Create New Deficiency) ................................................................................... 37 Manage Deficiencies (Deficiency Form, Part 1) .................................................................................. 39 Manage Deficiencies (Deficiency Form, Part 2) .................................................................................. 40 Manage Deficiencies (Edit Deficiency) ................................................................................................ 42 Delete Case and/or Deficiency ................................................................................................................ 43 Delete Case and/or Deficiency (Search Results) ................................................................................. 44 Delete Case and/or Deficiency (Search Results – Deficiency List) ...................................................... 46 Reports ........................................................................................................................................................ 48 Generate Reports .................................................................................................................................... 49 Generate Reports (Results) ................................................................................................................. 53 Audit Database Q & A (Last updated for system release 2.0) ................................................................. 55

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Introduction

Auditor General (AG) audits ensure that taxpayer dollars are spent appropriately when the County Assistance Office (CAO) authorizes cash, Supplemental Nutrition Assistance Program (SNAP) and Medical Assistance (MA) benefits. In order to better streamline compilation of results and the need for potential corrective action in the CAOs, several databases have been used over time. These databases have allowed Headquarters and CAOs to review statistical documentation of deficiencies, findings and better pinpoint trends in errors. The most recently developed database, the CAO Audit Tracking System (CATS), has been developed to allow for even more thorough entry of data, refined searches and generation

• f specific reports.

This guide, Using CATS, provides a screen-by-screen guide to the system, with definitions of the information, data entry fields and search results for each screen. It may be used as a reference tool when working through screens, as well as a training tool for new users. This guide does not replace specific policy or general procedure that has been established between AG and DPW. It is, however, a tool designed to enhance the flow of information and to provide more accuracy in gathering statistics for the purpose of ensuring timely and accurate benefit delivery to Public Assistance recipients.

Return to TOC 4 User Roles There are three assigned user roles in CATS – Headquarters, CAO and CAO Clerical. Each has its own specific permissions. Shaded blocks in the table below indicate access: Headquarters

Headquarters Staff, Area Managers

CAO*

Executive Directors, District Directors, Designated CAO Staff

CAO Clerical

Designated CAO Clerical Staff

Headquarters Reporting

Designated Headquarters Staff

Manage Audits ** *** Create New Audit Y Y View/Update Audit Y Y Y Delete Audit(s) Y Manage Cases Create New Case Y Y Y View/Update Case Y Y Y Y Manage Deficiencies Y Y Delete Case and/or Deficiency Y Y Reports Generate Reports Y Y Y *CAO-level access is also governed by Operational Area, County and job functions, as determined by CWOPA login credentials. ** CAOs may view, create or edit General Audits, only within their Operational Area. ***Headquarters Reporting access may only view audits and case and generate reports

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Accessing CATS

To access the system, follow this link to CATS production. Frequent users of CATS may consider creating favorite or a shortcut on their PC desktop. Users Login with their assigned CWOPA Username and Password, and then click the LOGIN button to enter the system. Access to various functions in CATS is based on the permissions of the CWOPA Username of the individual who logs into the system.

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CATS Home

From the Home page, the user can access any of the system’s functions using the navigational buttons in the upper right menu bar. These remain visible at all times, from any screen in the system. At the left side of the menu bar, breadcrumbs will appear as the user navigates the system, indicating where in CATS the user is working.

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Manage Audits

The Manage Audits function allows the user to Create, View/Update or Delete Audits. This function is reserved primarily to Headquarters Staff; however, CAO staff has limited access to the Create New Audit and View/Update Audit functions for General Audits only.

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Create New Audit

Screen Description Create an audit, based on AG or operational needs Data Elements  Audit Type – General, Single, Special Allowance  Audit Program – Cash, LIHEAP, MA or SNAP; based on the audit type  Area – Operational Area where the audit is being conducted  CAO – CAO where the audit is being conducted; based on the Area  District – The county’s district office, where the audit is being conducted, if applicable  Audit Number – Provided by Bureau of Financial Operations (BFO); based on the audit type  Audit Period Begin Date – First day of the audit review period  Entrance Conference Date – Date the Entrance Conference was held between the AG and CAO designees  Audit Period End Date – Last day of the audit review period

Return to TOC 9 Note: Throughout the database, required fields are indicated by an asterisk (*). Buttons Save – Creates the audit by saving data from the Audit Form to the database Clear Form – Resets fields in the Audit Form to default settings, as pictured

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View/Update Audit

Screen Description Search for audit(s) by a variety of criteria; edit search results Data Elements AUDIT (Search audit(s) by specific criteria)  Number – Audit number assigned by BFO  Old Number – Audit number assigned by BFO, prior to 2009  Type – General, Single, Special Allowance  Program – Cash, LIHEAP, MA, SNAP; based on the audit type  Begin Date – First day of an audit review period; use From/To to search a range of begin dates  End Date – Last day of an audit review period; use From/To to search a range of end dates  Draft Report Received – Yes or No  Final Report Received – Yes or No

Return to TOC 11  Completed – Yes or No REGION (Search audit(s) by a specific region)  Area – Operational Area  CAO – County Assistance Office within an Operational Area  District – The county’s district office, if applicable CASE (Search audit(s) by a case record number) The seven digit case record number, without the County code BUTTONS Search – Search for Audits based on criteria entered in Audit Search form; results presented in a grid below the Audit Search form, with “Select” link at the left of each

• line. Selecting the link will present the View/Update Audit form, allowing editing of all

data fields for the audit selected. Also presents a list of all cases attached to the audit. See View/Update Audit (Search Results). Clear Form – Resets fields in the Audit Search form to default settings, as pictured

Return to TOC 12 View/Update Audit (Search Results)

Return to TOC 13 Screen Description Search results, View/Update Audit Data Elements  Criteria elements remain the same as View/Update Audit  Select link appears to the left of each line in grid; selecting an audit will drill down to the selected audit Buttons Search – Searches based on data entered in Audit Search form Clear Form – Resets fields in the Audit Search form to default settings, as pictured in View/Update Audit; closed the Audit Search Results panel

Return to TOC 14 View/Update Audit (Selected Audit)

Return to TOC 15 Screen Description View/Update Audit, selected Audit Data Elements Data elements remain the same as View/Update Audit, with the following added:  Draft Report Received – Yes or No; Yes answer opens a Received Date field  Final Report Received – Yes or No; Yes answer opens a Received Date field  Audit Completed – Yes or No  Audit Case List – Listing of all individual cases in the audit; displays 10 lines per grid, with navigation below the grid Buttons Save – Saves edits made in the Audit Form Return to Search Results – Clears screen and returns to the View/Update Audit search page

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Delete Audit(s)

Screen Description Search for audit(s) by a variety of criteria; delete audits Data Elements Data elements remain the same as View/Update Audit Buttons Search – Search for Audits based on criteria entered in Audit Search form; results presented in a grid below the Audit Search form Clear Form – Resets fields in the Audit Search form to default settings *The Delete Audit(s) function is restricted to the Headquarters role.

Return to TOC 17 Delete Audit(s) (Search Results) Screen Description Search results, Delete Audit

Return to TOC 18 Data Elements  Data elements remain the same as View/Update Audit Audit Search form  Audit Search Results – List of all audits matching the Audit Search criteria; displays 10 lines per grid, with navigation below the grid  Delete command appears at the left of each line. Selecting the link presents a dialog box, with a warning that the user is about to delete an audit and all associated cases. Buttons Search – Search for data based on criteria entered in Audit Search form; results presented in a grid below the Audit Search form Clear Form – Resets fields in the Audit Search form to default settings

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Manage Cases

The Manage Cases function allows the user to Create New, View/Update Cases, Manage Deficiencies and Delete Cases and/or Deficiencies. The Create, View and Update functions are available to all users. Manage Deficiencies and Delete functions are available to Headquarters and Designated CAO Staff.

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Create New Case

Screen Description Search for audit(s) by a variety of criteria; enter cases for a specific audit Data Elements AUDIT (Search for audit(s) by specific criteria)  Number – Audit number assigned by BFO  Old Number – Audit number assigned by BFO, prior to 2009  Type – General, Single, Special Allowance  Program – Cash, LIHEAP, MA, SNAP; based on the audit type  Begin Date – First day of the audit review period; use From/To to search a range

• f begin dates

 End Date – Last date of the audit review period; use From/To to search a range of end dates  Draft Report Received – Yes or No  Final Report Received – Yes or No

Return to TOC 21  Completed – Yes or No REGION (Search for audit(s) by a specific region)  Area – Operational Area  CAO – County Assistance Office within an Operational Area  District – The county’s district office, if applicable CASE (Search for audit(s) by a case record number) The seven digit case record number, without the County code BUTTONS Search – Search for audit based on criteria entered in Audit Search form; results presented in a grid below the Audit Search form, with “Select” link at the left of each

• line. Selecting the link will present the Create New Case form, with data fields

completed based on characteristics of the audit selected. See Create New Case (Search Results). Clear Form – Resets fields in the Audit Search form to default settings

Return to TOC 22 Create New Case (Search Results) Screen Description Search results, Create New Case Data Elements  Data elements remain the same as Audit Search  Select link appears to the left of each line in grid; selecting an audit will drill down to the selected audit allowing new case(s) to be added to it Buttons Search – Searches based on data entered in Audit Search form Clear Form – Resets fields in the Audit Search form to default settings

Return to TOC 23 Create New Case (Case Form) Screen Description Search results for specific audit; enter cases for a specific audit Data Elements Selected Audit – Audit selected for case entry Case Form (Pre-populated with Area, CAO, District (General Audits only))  Case Number – Seven digit case record number, without County code  AG Review Number – Number in numerical sequence of cases selected by AG for review Audit Case List – Displays a list of cases entered under the audit number

Return to TOC 24 Buttons Save – Creates the case by saving data from the Case Form to the database Clear Form – Resets fields in the Case Form to default settings, as pictured Return to Search Results - Clears screen and returns to the Audit Search page As cases are entered under the audit number, the Audit Case List automatically refreshes, displaying the cases in ascending order by case number. A message appears at the top of the screen, indicating whether the case was successfully entered. See Create New Case (Case Form, Progressive Entries).

Return to TOC 25 Create New Case (Case Form, Progressive Entries) Screen Description  Case Form for entering cases under an audit number  Displays whether a case was successfully entered  Displays automatically refreshing Audit Case List  Provides options to continue adding cases, create deficiencies or return to Audit Search results Data Elements  System Message – Displays whether a case was successfully entered

Return to TOC 26  Selected Audit – Displays the audit under which cases are being entered  Case Form – Displays Operational Area information for the case, case number entered and AG Review Number assigned Buttons Insert Another – Add additional case(s) under audit number Create New Deficiency – Add a deficiency to the last entered case (See Manage Deficiencies) Return to Search Results – Return to Audit Search page

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View/Update Case

Screen Description Search for audit(s) by a variety of criteria; view or update case information for a specific audit Data Elements Audit and Region search fields remain the same Case  Number – Seven digit case record number, without County code  Category – Based on Audit Program, the category of assistance within the program itself  Deficiency – Deficiency cited by AG, based on the Audit Program

Return to TOC 28 Deficiency Deficiency Status – Pending or Submitted BUTTONS Search – Search for case(s) based on criteria entered in Audit Search form; results presented in a grid below the Audit Search form, with “Select” link at the left of each

• line. Selecting the link will open the View/Update Existing Case form, which displays the

Selected Audit, Selected Case and related Audit Case List along with the Case Form for editing the selected case. Clear Form – Resets fields in the Case Search form to default settings

Return to TOC 29 View/Update Existing Case (Search Results) Screen Description Search results, View/Update Existing Case Data Elements  Data elements remain the same as Case Search

Return to TOC 30  Select link appears to the left of each line in grid; selecting a case will drill down to the selected case in the Case Form view.  Case may be edited by adding or changing AG Review Number or editing the Case

• Number. (Case Number is required; AG Review Number is not. Both numbers must

be unique within the Audit.) Buttons Search – Searches based on data entered in Audit Search form Clear Form – Resets fields in the Audit Search form to default settings

Return to TOC 31 View/Update Existing Case (Selected Case) Screen Description Case Form, selected case from View Update Existing Case Search Results

Return to TOC 32 Data Elements Selected Audit – Audit selected for case update Case Form (Pre-populated with Area, CAO, District (General Audits only))  Case Number – Seven digit case record number, without County Code  AG Review Number – Number in numerical sequence of cases selected by AG for review Audit Case List – Displays a list of cases entered under the selected audit number Buttons Save – Saves the edited Case Number of AG Review Number to the database Return to Search Results – Clears screen and returns to the View/Update Existing Case screen, displaying Case Search Results (Edit Again – Button appears after a Case Number or AG Review Number has been edited and saved. Allows for continued editing of the Case or AG Review Number.)

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Manage Deficiencies

Screen Description Case search page; allows user to search for specific cases to enter/edit deficiencies against Data Elements  Data elements remain the same as Case Search Buttons Search – Searches based on criteria entered in Case Search form Clear Form – Resets fields in the Case Search form to default settings

Return to TOC 34 Manage Deficiencies (Search Results) Screen Description Search results, Manage Deficiencies Data Elements  Data elements remain the same as Case Search  Case Search Results grid display dependent on search criteria entered

Return to TOC 35  Select link displayed at left of each line; clicking link will drill down to details of line item and allow creation of deficiencies

Return to TOC 36 Manage Deficiencies (Deficiency List) Screen Description Search results – selected case, Manage Deficiencies Data Elements  Selected Audit – The summary record of the selected audit  Selected Case – The summary record of the selected case  Deficiency List – Displays list of deficiencies in the case; message below list will indicate the number of deficiencies entered Buttons  Return to Search Results – Returns to Manage Deficiencies screen, showing Case Search Results  Create New Deficiency – Presents Deficiency Form for entry of deficiency data

Return to TOC 37 Manage Deficiencies (Create New Deficiency) Screen Description Screen remains the same as Search results – selected case, Manage Deficiencies; Deficiency Form is displayed Data Elements  Category – Category of benefit within the audit program being audited  Grant Group – Numeric Grant Group of the category (enter zero through nine)  Program Status Code – Program Status Code of the benefit type  Per AG was there a deficiency? – No, Withdrawn, Yes

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• If answered No, there is no change to the form
• If answered Yes, Deficiency Form opens more data fields to capture the AG

Deficiency, DPW response to AG and AG response to DPW information

• If answered Withdrawn, fields identical to Yes response are queued

(Withdrawn should only be used to edit a “Yes” entry. A deficiency should not be initially entered using “Withdrawn.”)  Deficiency Status – Pending or Submitted Buttons  Save – Creates a deficiency record in the CATS database and links it to the selected case record  Clear Form – Restores data entry fields to their default values

Return to TOC 39 Manage Deficiencies (Deficiency Form, Part 1)

Return to TOC 40 Manage Deficiencies (Deficiency Form, Part 2) Screen Description Create New Deficiency screen, with data entry fields resulting from a Yes answer to the question, “Per AG, was there a Deficiency?” Data Elements  Category – Category of benefit within the audit program being audited  Grant Group – Numeric Grant Group of the category (enter zero through nine)  Program Status Code – Program Status Code of the benefit type  Per AG was there a deficiency? – No, Withdrawn, Yes

• If answered No, there is no change to the form
• If answered Yes, Deficiency Form opens more data fields for description of AG

Deficiency, DPW response to AG and AG response to DPW.

• If answered Withdrawn, fields identical to Yes response are queued

(Withdrawn should only be used to edit a “Yes” entry. A deficiency should not be initially entered using “Withdrawn.”)  Deficiency Status – Pending or Submitted  Per AG was the Result Total Ineligibility? – Yes or No

Return to TOC 41  AG Deficiency – List of AG deficiencies, dependent on Audit Program identified on selected Audit record  Other AG Deficiency – Any deficiency found by AG, but not listed in the menu above; entry is required if “Other (see comment below)” is the selected AG Deficiency  AG Policy Reference – DPW Policy Handbook reference citations upon which the deficiency is based  AG Deficiency Begin Date – Per AG, the date the deficiency begins  AG Deficiency End Date – Per AG, the date the deficiency ends  Were the AG Begin/End Dates Provided? – Yes or No; Select No if dates are not provided  AG Dollar Amount – Per AG, the calculated over- or underpayment amount resulting from the deficiency  Was the AG Dollar Amount Provided? – Yes or No; Select No if the amount is not provided  DPW Response – Agree, Agree In Part or Disagree  DPW Policy At Time of Error – DPW Policy Handbook reference citations to support actions taken as AG deficiencies (free text area)  AG Disagreement with DPW Policy – Yes or No  DPW Explanation – CAO description of the problem; provide a detailed explanation  DPW Deficiency Begin Date – Per DPW, the date the deficiency begins  DPW Deficiency End Date – Per DPW, the date the deficiency ends  DPW Dollar Amount – Per DPW, the calculated over- or underpayment amount resulting from the deficiency  CAO Complete Overpayment? – Yes or No  CAO Administrative Error? – Yes or No; answering “Yes” will open the “CAO Administrative Error Description” field, a required field  Deficiency Status – Pending or Submitted

• Pending – Saves Deficiency Form, similar to a draft; entries in required fields

not enforced

• Submitted – Saves Deficiency Form, as a final copy; entries in required fields

enforced (may still be edited) Buttons  Save – Creates the deficiency record in the CATS database and links it to the selected Case Record  Clear Form – Restores the data entry fields to their default values

Return to TOC 42 Manage Deficiencies (Edit Deficiency) Screen Description Search results – selected case, Manage Deficiencies. Allows for editing or review of pending or submitted deficiencies. Data Elements Edit link at left of line items in grid opens Deficiency Form for AG Deficiency selected Buttons  Return to Search Results – Returns to Manage Deficiencies screen, showing Case Search Results  Create New Deficiency – Opens Deficiency Form for adding another deficiency record to the selected case

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Delete Case and/or Deficiency

Screen Description Case search page; allows user to search for and delete cases or deficiencies Data Elements Data elements remain the same as Case Search Buttons Search – Searches based on criteria entered in Case Search form Clear Form – Resets fields in the Case Search form to their default settings

Return to TOC 44 Delete Case and/or Deficiency (Search Results) Screen Description Search results, Manage Cases, Delete Case/Deficiency Data Elements  Data elements remain the same as Case Search  Case Search Results grid display, dependent on search criteria entered  Delete link displayed at left of each line; selecting link will present a pop-up warning user that an entire case and all associated deficiencies are about to be deleted

Return to TOC 45  Case Number link displayed in grid; selecting link presents a list of any deficiencies for the selected case; deficiencies may then be individually deleted  *Please note: a Case should only be logically deleted when it was erroneously entered and shouldn’t have been part of the current Audit at hand. The Case and Audit Review Number can be updated to whatever is needed in the event that one and/or both were initially miss-keyed. Help on updating a Case record can be found

• n pg. 31 in this manual.

Return to TOC 46 Delete Case and/or Deficiency (Search Results – Deficiency List) Screen Description Search results, Manage Cases, Delete Case/Deficiency, Deficiency List

Return to TOC 47 Data Elements  Data elements remain the same as Case Search  Case Search Results grid remains displayed, with Delete and Case Number links  Selected line item in Case Search Results remains highlighted for reference  Deficiency List displayed, based on Case Number link selected  Delete link displayed at left of each line; clicking link presents a pop-up, warning user that a deficiency is about to be deleted

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Reports

The Reports function allows the user to generate reports to gather a variety of data. Reports may be generated by users at the Headquarters, Headquarters Reporting, and CAO levels, dependent upon assigned permissions.

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Generate Reports

Screen Description Screen remains the same as Audit Search, with added Reports section Data Elements (Reports)  Reports

• Audit Summary Status (New!)
• This report provides an audit summary status for all Active

(Completed? = No) audits, based on the user-supplied report criteria by Area, CAO, District, Type, Program, and Audit Number, including: number of cases, number of deficiencies, number of pending deficiencies, number of submitted deficiencies, number where CAO agreed, disagree, the total AG deficiency amount, and the total DPW deficiency amount. The ‘Group Report By’ field not applicable for this report and therefore disabled.

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• Average Amount of Errors – AG vs. DPW
• This report computes the average total dollar amounts of errors

claimed by the Auditor General (AG) and those claimed by DPW by averaging the dollar amounts stored in the AG Dollar amount and DPW Dollar Amount fields for those Case records where there was a deficiency; specifically, where the Was there a Deficiency field is set to ‘Yes’ based on the total number of cases and total number of cases with deficiencies, and calculates subtotals and a grand total based on the user-supplied report criteria.

• Cases Reviewed vs. Number of Errors
• This report computes the total number of cases (reviewed), total

number of cases with deficiencies, and total number of cases without deficiencies based on the values in the Was there a Deficiency field and calculates subtotals and a grand total based on the user-supplied report criteria.

• Cases Withdrawn after County Review
• This report computes the total number of cases (reviewed) and total

number of cases in which the deficiency was withdrawn; specifically, where the value in the Was there a Deficiency field is ‘Withdrawn’ and calculates subtotals and a grand total based on the user-supplied report criteria.

• DPW Explanation Listing (New!)
• This report provides a listing containing all DPW Explanations where

there was a deficiency and where DPW agreed with the AG by Area, CAO, District, Type, Program, and Audit Number, Case Number and DPW Explanation.

• Duplicate Case Deficiencies
• This report searches for and returns possible duplicate case deficiency

records based on the user-supplied report criteria parameters

• Error Claim Amounts – AG vs. DPW
• This report computes the total dollar amounts of errors claimed by the

AG and those claimed by DPW by adding the dollar amounts stored in the AG Dollar Amount and DPW Dollar Amount fields for those Case records where there was a deficiency; specifically, where the Was there a Deficiency field is set to ‘Yes’, and provides subtotals and a grand total based on the user-supplied report criteria parameters.

• Error Claim Percentages – AG vs. DPW

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• This report computes the percentage of cases with deficiencies,

percentage of case where the deficiency has been withdrawn, percentage of each deficiency type, percentage of cases where the CAO agreed, agreed in part, or disagreed with the AG, and percentage

• f case where there was a CAO administrative error based on the

values in the Was there a Deficiency, DPW Response, and CAO Administrative Error fields and provides subtotals and a grand total based on the user-supplied report criteria parameters.

• Top Trends - Total AG Deficiency Amount (New!)
• This report provides an AG Deficiency Amount listing ranked from

highest to lowest based on the user-supplied report criteria including rank, AG Deficiency Amount, DPW Deficiency Amount, Deficiency, Category, Program Status Code, Program, and Type

• Top Trends - Total Number of Deficiencies (New!)
• This report provides a total number of deficiencies listing ranked from

highest to lowest based on the user-supplied report criteria including rank, AG Deficiency count, Deficiency, Category, Program Status Code, Program, and Type

• Top Trends - Total Number of Errors (New!)
• This report provides a total number of (CAO) errors listing ranked from

highest to lowest based on the user-supplied report criteria including rank, CAO Admin Error count, Deficiency, Category, Program Status Code, Program, Type, and CAO Admin Error Indicator

• Total Number of Findings – AG vs. DPW
• This report computes the total number of cases, total number of cases

with deficiencies, total number of case where the deficiency has been withdrawn, total number of each deficiency type, the total number of cases where the CAO agreed, agreed in part, or disagreed with the AG, and the total number of case where there was a CAO administrative error based on the values in the Was there a Deficiency, DPW Response, and CAO Administrative Error fields, and provides subtotals and a grand total based on the user-supplied report criteria parameters.  Group Report By – Audit Program & Category; Audit Program & Deficiency  Audit

• Number

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• Old Number
• Type – General; Single; Special Allowance (SA)
• Program – Cash; LIHEAP (all but Type SA) ; MA; SNAP
• Begin Date (From/To)
• End Date (From/To)
• Draft Report Received? – No; Yes
• Final Report Received? – No; Yes
• Completed – No; Yes

 Region

• Area – 1; 2; 3; 4; 5; 6;
• CAO – dependent on Area selected
• District – dependent on CAO selected

 Case

• Number
• Category – dependent on Audit Program
• Deficiency - dependent on Audit Program

Buttons Search - Searches based on criteria entered in Audit Search form Clear Form – Resets fields in the Audit Search form to their default settings

Return to TOC 53 Generate Reports (Results) Screen Description Screen remains the same as Audit Search/Reports section; displays Audit Search Results Data Elements  Results of criteria entered in Audit Search to generate report  Grid contains Include? check-box to select/exclude specific audits from the report; default value is “checked”

Return to TOC 54 Buttons Select All – selects all audit reports in the search results – every audit on every grid page Generate Report – Creates report in the format selected by the user

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Audit Database Q & A (Last updated for system release 2.0)

(*includes training Q&A from August 2011)

Q: How can I add, change, and/or delete user access privileges to the CATs System? (New!) A: You can accomplish this by submitting a request thru the "DPW Virtual Helpdesk" website:

• 1. Click on the link: https://remedyweb.state.pa.us/PWVirtual.asp
• 2. Put your CWOPA ID into the “CWOAP Login” field and hit the enter key
• 3. Next select a task, for example “Modify User” from the Select Account

Management Process drop down

• 4. Next select the program office (Required but not a critical field for this

example, select Office Administration when in doubt)

• 5. Next put in the CWOPA user ID of the account that needs updated into

“…current User ID” field

• 6. Provide whatever information you want updated in the comments field,

i.e. “Requesting to add, change, or delete access privileges to the CATS System” (*also provide system role when adding or changing)

• 7. Then click the “Submit” button
• 8. You will get a ticket number and you being the requester will get an e-

mail when the ticket has been completed. Q: How can I retrieve a listing of active Audits? (New!) A: You can obtain this listing one of two ways:

• 1. Via the Audit Search Screen
• a. Select Manage Audits > View/Update Audits from the system

navigation at the top of the screen

• b. Set the Completed? drop-down list to ‘Yes’ and enter any

additional search criteria as needed

• c. Click the Search button to retrieve the listing
• 2. Via the Reports screen
• a. Select Reports > Generate Reports from the system navigation at

the top of the screen

• b. Select ‘Audit Summary Status’ from the Report drop-down list

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• c. Enter any additional search criteria needed
• d. Click the Search button (bottom of the screen)
• e. Click the Generate Report button (bottom of the screen) to

retrieve the listing Q: How can I retrieve a listing of Cases with deficiencies in a Pending or Submitted status for a given Audit? (New!) A: You can obtain this listing one of two ways:

• 1. Via the Audit Search Screen
• a. Select Manage Cases > Manage Deficiencies from the system

navigation at the top of the screen

• b. Enter and audit number in the Audit Number field
• c. Select the desired deficiency status, either Pending or Submitted,

from the Deficiency Status drop-down list

• d. Click the Search button to retrieve the listing
• 2. Via the Reports screen
• a. Select Reports > Generate Reports from the system navigation at

the top of the screen

• b. Select ‘Audit Summary Status’ from the Report drop-down list
• c. Enter any additional search criteria needed
• d. Click the Search button (bottom of the screen)
• e. Click the Generate Report button (bottom of the screen) to

retrieve the listing Q: How can I identify duplicate deficiencies erroneously entered? (New!) A: You can obtain this listing by:

• 1. Selecting Reports > Generate Reports from the system navigation at the

top of the screen

• 2. Selecting ‘Duplicate Case Deficiencies’ from the Report drop-down list
• 3. Entering any additional search criteria needed
• 4. Clicking the Search button (bottom of the screen)
• 5. Clicking the Generate Report button (bottom of the screen) to retrieve

the listing Q: How can I unlock a locked (completed) Audit? (New!) A: You can do so by:

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• 1. Selecting Manage Audits > View/Update Audits from the system

navigation at the top of the screen

• 2. Enter and audit number in the Audit Number field and/or additional

search criteria

• 3. Click the Search button (bottom of the screen)
• 4. Select the audit from the Audit Search Results list
• 5. Select ‘No’ from the Audit Completed? drop-down list
• 6. Click Save
• 7. You will receive a confirmation message that the changes have been

saved (the audit has been unlocked) (*Please note that this functionality is reserved for Headquarters staff

• nly.)

Q: A case is selected on the initial list from the auditors and the CAO has entered it into the Audit Database at the start of the audit. It is later determined to be transferred to another county. The Auditors are not replacing these cases. Should this case be deleted from the data base? A: If a transferred case is on the audit list:

• 8. Be sure it is entered into the Audit Database.
• 9. Go to Manage Cases > Manage Deficiencies and select Create New

Deficiency 10. Complete the Category, Grant Group, PSC and answer “Per AG was there a deficiency?” as “Withdrawn.” 11. When the Deficiency Form opens, answer “Per AG, was the Result Total Ineligibility” as “No.” 12. “In the DPW Policy At Time of Error” field, enter “Case transferred to {name of} County effective xx/xx/xxxx.” 13. Change Deficiency Status to Submitted. 14. Save. Q: Is the CAO required to utilize clerical to enter the initial Case Record Number and Audit Number? A: No, each CAO may decide their operational process and determine who they want to enter the initial information. EDs and designees who have access to the Audit Database have the ability to enter initial case information.

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Q: Must clerical attend the training if the CAO will utilize them to enter information into the Audit Database? A: No, they do not need to attend the training. The ED or another CAO designee may train them separately. Q: What should the CAO enter into the AG Dollar Amount and CAO Dollar Amount for Medical? (Updated – CATS Rls. 2.0) A: In the AG Dollar Amount for Medical, CAOs are to enter the actual

• verpayment amount provided by the auditors. If the auditors do not provide

an amount, enter zero. Q: Regarding the CAO Dollar Amount for Medical, should the CAOs enter one dollar for each person ineligible? A: No. Enter the actual dollar amount for each individual budget. Q: Can we add a space for line numbers for those who are ineligible or who have caused the deficiency? A: Good suggestion. At this point the Audit Database cannot be changed; however, we can add that to the list of enhancements that may be able to be put in at a later date. For Medical, the Audit Database allows CAOs to enter the number of individuals eligible and ineligible in the specific Category and case for Medical. Q: Can we have a prompt under the Medical CAO Dollar Amount to remind us to put the $1 for each month that AG determines is in error? A: Good suggestion. We will determine the wording and submit to BIS for addition.

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Q: We went through an AG MA Audit in 2009. There were 148 cases pulled. The Auditors cited the same category with different program status codes and/or different deficiency periods all within the same case number on numerous cases. Currently the way the CATS system is set up we will have to enter a separate case entry for each category/program status code and/or for each deficiency period which is an enormous amount of data entry. Was there any consideration to add the option to select the multiple categories so we can add different program status and/or multiple deficiency periods? A: For Medical cases, each Category/PSC must be addressed separately, in

• rder to track data accurately and completely.

For other programs where multiple time periods may be reflected in the same error (RESET participation is sporadic over several months), or where multiple errors may occur in one program (SNAP Income and Household Composition), we will look into the potential to have multiple deficiencies for

• ne program on the same form.

Q: When will the current Audit Database be turned off? A: We are expecting the current Audit Database to be turned off on August 24th and the new Audit Database to go live on August 31st. Q: Should we enter all our cases prior to August 24th? A: This is up to each CAO; however, you may want to save some of the cases to enter after the new Audit Database goes live. This will give you the

• pportunity to test the new Database.

Q: Can we print the Audit Database form? A: Yes you can print the form.

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Q: What is the current procedure to add or delete a user from CATS? A: To add or delete someone, e-mail Deborah Bailey with the following information for the individual: Name (Last, First) CWOPA User ID Role Area County Code County District (if applicable) We will provide further update procedures once the Audit Database goes live. Q: Suggestion – Could access be given to clerical to enter “No Deficiency” cases on the Case Form? A: This is an excellent suggestion. We will discuss at HQ level and keep you updated. Q: Can we copy and paste in the free text fields? A: Yes. Q: As a future enhancement would it be possible for CAOs to pull a report that would give us a list of responses CAOs have entered for the most common types of deficiencies? I realize that each case can be a little different and the individual CAO is responsible for making the argument, but if there are CAOs that have already done research and formulated good responses it would save the rest of us some time. A: To some extent this already exists within the system; however, not in the Reports section. Rather, it is a search filter on the Manage Deficiencies page. The user can pull a list of deficiencies within a particular type and program,

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then view the Deficiency Form and the DPW Response to the AG Deficiency. The user would be limited by their assigned Operational Area. Q: While CATS is a huge improvement over the current audit database, the CAO is still required to maintain a 2nd database for the purpose of tracking the internal flow of case records called by the auditor. Is it possible to add a few columns to CATS such that CAOs could have one database? Helpful fields might include Date Called by Auditor, Date Returned by Auditor, Date of Deficiency, Deficiency Due Date, Date Deficiency Cleared. A: We will discuss at HQ level. Q: With the emphasis on accurate data, a concern is who (or will) anyone update CATS following the issuance of the Final Audit Report? It has been my experience that the AGs have pulled a number of deficiencies following the CAO’s rebuttal to the Draft Report, i.e. trends and or comparisons may not be using accurate data if CATS is not updated long after the close of the audit. A: HQ is able to reopen an audit if there is a need to edit cases or deficiencies after an audit is closed.