GOVERNANCE AND ADMINISTRATION AP, CalWORKs, AND CFCC NETWORK CONTRACTS REVIEW GUIDE 1. CDD-801A Monthly Population Report Question Number CDD-801A: Monthly Population Report Findings 1.1 Did the receive services in the review month? California Code of Regulations (5 CCR), Title 5, Section 18070 and Management Bulletin (MB) 09-12 Compliance: If the random sample pulled include children that did not receive services during the review month, a compliance finding will be determined. 2. Initial Certification and Recertification (Application for Services) The Application for Services (ELCD 9600) includes basic data regarding eligibility, need, and family information. NOTE: Effective July 1, 2017, in accordance with California Education Code (EC) sections 8263(h) and 8263.1, once a family establishes eligibility and need at initial certification or recertification, a family shall be considered to meet all eligibility and need requirements for not less than 12 months (unless their income goes over 85% of State Median Income). Question Number Initial Certification and Recertification (Application for Services) Findings 2.1 Is there a completed, accurate and signed Application for Services in the family data file? (5 CCR sections 18081, 18082 and 18083) Material: If the Application for Services is not present in the family data file an error will be determined in eligibility. The error will equal the cost of services provided for the sample month or the portion of the month in which there was insufficient documentation, whichever is less. File: If the Application for Services is incomplete/inaccurate, an error will be determined in eligibility. 2.2 Was the Application for Services completed prior to serving the child? (5 CCR Section 18082[b]) Material: If services were provided prior to the Application for Services being completed, an error will be determined in eligibility. The error amount will be determined as in 2.1.
4.5 Is documentation from the CWD indicating the parental cash-aid end date? (5 CCR Section 18421[a][3][4][A-B]) Was the parent transferred into CalWORKs Stage 3 in the 24th month, no later than the 1st day of the 25th month after the parental cash-aid end date? (5 CCR Section 18421[a][3][A-B]) Material: If the CWD documentation (e.g., Discontinuance letter from CWD, Passport to Services, GEARS, and CalWin) is missing or does not identify the parent’s cash aid end date an error will be determined in eligibility. The error amount will be determined as in 4.4. Material: If a family is eligible and not transferred from CalWORKs Stage 1 or 2 to CalWORKs Stage 3 within the 24th month, and no later than the first day of the 25th month after the parental cash-aid end date, an error will be determined in eligibility. The error will equal the cost of services for the sample month or for the period of time services were provided in an inappropriate alternative payment contract, whichever is less. 5. Eligibility The Eligibility Section refers to the following categories: Protective Services (CPS)/At Risk Income Eligibility (Employed, Self-Employed and Self-Certification) Current Aid Recipient Homeless Reimbursement – Exceptional Needs For a family to receive care services, they must be deemed eligible in one (1) of the categories of eligibility. Review documentation to determine if the family is eligible for child care services. NOTE: If the parent(s) is/are eligible based on multiple categories, complete the questions for each applicable category. Question Number A: Child Protective Services (CPS)/At-Risk Findings
Examples: Employer refuses or fails to provide requested employment information A request for documentation would adversely affect the parent’s employment The amount and frequency of source(s) of income for which no documentation is possible Question Number B: Self Certification of Income Findings 5.8 Did the parent self-certify income penalty of perjury? AND Did the parent provide other means of verification that may include: A list of clients and amounts paid The most recently signed and completed tax returns Quarterly estimated tax statements Other records of income to support the reported income? (5 CCR Section 18084[a][2]) If applicable, if income cannot be independently verified, did the contractor assess whether the reported income is reasonable or consistent with community practice (via contractor attestation) for the employment? (5 CCR Section 18084[b][2-3]) Material: If the self-certification of income is not present in the family data file, an error will be determined in eligibility. The error will equal the cost of services provided for the sample month or the portion of the month in which there was insufficient documentation, whichever is less. Material: If the contractor did not assess whether the income is reasonable or consistent with the community practice, an error will be determined in eligibility. The error will equal the cost of services provided for the sample month or the portion of the month in which there was no attestation, whichever is less. Question Number C: Current Aid Recipient Findings 5.9 Did the parent provide documentation of public assistance (e.g., GEARS, Passport to Services, CalWin, etc.)? (5 CCR Section 18085) Material: If public cash-aid assistance documentation is not in the family data file, an error will be determined in eligibility. The error will equal the cost of services provided for the sample month or the portion of the month in which there was insufficient documentation, whichever is less. aid
8.3 If applicable, is there a declaration signed under penalty of perjury indicating a request for employment documentation would adversely affect their employment? AND Did the contractor attest to the reasonableness of the parent’s assertion and the days and hours of employment based on the description of the employment and community practice? (5 CCR Section 18086[b][2][F][i][ii]) Material: If the contractor did not specify and attest on the application for services to the reasonableness of the days and of employment based on the description of the employment and community practice per the signed declaration, an error will be determined in need. The error will be determined as in 8.1. 8.4 If applicable, is the parent’s employment in the family’s home or on property that includes the family’s home? (5 CCR Section 18086.1[b]) Did the parent provide justification for requesting subsidized child care and development services based on: Type of work done and its requirements, Age of the family’s for whom services are sought, The specific child care needs (only if the child is more than five years old)? (5 CCR Section Did the contractor determine and document whether the parent’s employment and the identified child care needs preclude the supervision of the family’s child (5 CCR Section 18086.1[b]) Material: If the required justification is missing or incomplete, an error will be determined in need. The error will equal the cost of services provided for the sample month or the portion of the month in which the justification was missing or incomplete, whichever is less. Material: If the contractor did not determine and document whether the parent’s employment and the identified child care needs preclude the supervision of the family’s child, an error will be determined in need. The error will be determined as in 8.1.
8.20 If applicable, were additional hours given for travel and/or study time to support vocational training? (5 CCR Section 18087[k][1-2]) NOTE: Travel - not to exceed half of the weekly authorized for training to a maximum of four hours per day; and/or Study - including study time for on-line and televised instructional classes, according to the following: (A) Two hours per week per academic unit; (B) On a case-by-case basis and as may be confirmed with the class instructor, additional time not to exceed one hour per week per academic unit in which the parent is enrolled; AND (C) On a case-by-case basis, no more than the number of class hours per week for non-academic or non-unit bearing training. Material: If travel and/or hours were authorized incorrectly, an error will be determined in need. The error amount will equal the difference between the reimbursement made and what should have been authorized. File: If travel and/or study hours were requested and authorized incorrectly, but did not affect reimbursement, an error will be determined in need. 8.21 Do the days and hours of child care and development services approved and documented by the contractor meet the family’s need for child care? (5 CCR sections 18074.1[a] and Material: If the certified hours of care do not meet the family’s need for child care, an error will be determined in need. The error will equal the difference between what the documentation supports and what was certified. File: If the inaccurate certified of care did not affect reimbursement, an error will be determined in need. Question Number E: Parental Incapacitation Findings
8.28 Is there a written parental declaration signed under penalty of perjury that the family is seeking permanent housing? (5 CCR Section 18091[b] and MB 17-14) Does the written declaration include the parent’s search plan to secure a fixed, regular, and adequate residence? (5 CCR Section 18091[b] and MB 17-14) Does the written declaration identify a general description of when services will be necessary? (5 CCR Section 18091[b]) and MB 17-14) Material: If the written seeking permanent housing parental declaration is missing, an error will be determined in need. The error will equal the cost of services provided for the sample month or the portion of the month in which there was insufficient documentation, whichever is less. File: If the written seeking permanent housing parental declaration is incomplete, but there is sufficient documentation in the family data file to verify that the parent is seeking permanent housing, an error will be determined in need. 8.29 Are services for no more than five days per week and less than 30 hours per week? (5 CCR Section 18091[a] and MB 17-14) Material: If the certified days and/or exceed the limitations, an error will be determined in need. The error will equal the cost of services provided for the sample month or the portion of the month in which the parent exceeded the regulatory limitations, whichever is less. 8.30 Do the days and of child care and development services approved and documented by the contractor meet the family’s need for child care? (5 CCR sections 18074.1[a] and 18091) Material: If the certified hours of care do not meet the family’s need for child care, an error will be determined in need. The error will equal the difference between what the documentation supports and what was certified. File: If the inaccurate certified of care did not affect reimbursement, an error will be determined in need. Question Number H: Child Protective Services Findings
Question Number Family Fee Findings 9.1 Was the family fee assessed correctly based on income, family size, and certified hours of care? (5 CCR Section 18109[a][1-3] and MB 17-11) Material: If the income, family size, and/or certified hours of care are determined incorrectly and affect the assessment of the family fee, an error will be determined in family fee. The error will equal the difference in the family fee assessed and the correctly determined family fee. Material: If the family fee was assessed incorrectly (part-time vs full-time monthly), an error will be determined in family fee. The error will equal the difference in the family fee assessed and the correctly determined family fee. 9.2 Was the family fee collected? (5 CCR Section 18109[a][3-4]) Material: If family fees were not collected, an error will be determined in family fee. The error amount will be determined as in 9.1. 9.3 If applicable, did the contractor retain a copy of the family fee receipt? (5 CCR Section 18113[b]) Does the receipt include the amount paid; the date of payment, rate of payment, and the period of service? (5 CCR Section 18113[a]) File: If the family fee receipt is missing or incomplete, but the family fee was assessed correctly, an error will be determined in family fee. 9.4 If applicable, did the contractor grant a fee credit to the amount paid to another provider(s) for child care and development services? AND Did the contractor have copies of the receipts or cancelled checks for the other child care and development services? (5 CCR Section 18112[b-c]) Material: If a fee credit was granted, but is no supporting documentation of an amount paid to another provider, an error will be determined in family fee. The error will equal the amount of the fee credit.
12.4 Is there a statement of the service provider’s current fees and Is there a document that contains the rate and schedule of payment for approved services that is signed by both the service provider and contractor? (5 CCR Section 18231[a][c]) Material: If the license-exempt provider’ statement of fees is missing, an error will be determined in provider payments. The error amount will be determined as in 12.2. File: If the document that contains the rate and schedule of payment for approved services that is signed by both the service provider and contractor provider’s written documentation is missing or incomplete, an will be determined in provider payments. 12.5 If applicable, did the contractor reimburse the license-exempt care provider based on their policy requiring minimum number of children to ensure the provider receives a reimbursement equivalent to minimum wage? (5 CCR Section 18411[d]) Material: If the contractor did not ensure that the in-home license-exempt provider’s reimbursement was equivalent to minimum wage, an error will be determined in provider payments. The error will equal the cost of the services provided for the sample month. Question Number C: Multiple Providers Findings 12.6 If applicable, does the parent use multiple providers? Is the primary provider unable to accommodate all hours of certified care needed? OR Is one provider not a licensed center and the parent has chosen a licensed center for specific purposes of providing the child with large group school readiness experiences? (5 CCR Section Material: If the parent is using multiple providers and the primary provider is able to accommodate all hours of certified need for care, an error will be determined in provider payments. The error amount will be the cost of services to the secondary provider. Material: If the parent has a provider that has a large group school readiness experience associated with it and is also using a secondary licensed center for the same purpose, an error will be determined in provider payments. The error amount will be the cost of services to the secondary provider. Question Number D: Regional Market Rate (RMR) Selection Findings
13.3 Did the contractor adopt and apply attendance policies that correspond with regulatory requirements for excused and unexcused absences? (5 CCR Section Compliance: If the contractor did not adopt and apply attendance policies that correspond with regulatory requirements, a compliance finding will be determined in attendance. 13.4 Are excused absences “in the best interest of the child” limited to ten (10) days during the contract period? (5 CCR Section 18066[f]) NOTE: Children who are recipients of CPS or at-risk of or neglect are not limited to ten (10) days. Material: If the contractor does not limit excused absences “in the best interest of the child” to ten (10) days during the contract period, an error will be determined in attendance. The error will equal the portion of the month in which the contractor was reimbursed for more than ten (10) best interest days. NOTE: Children who are recipients of CPS or at-risk of or neglect are not limited to ten (10) days. 13.5 Does the sign-in/sign-out contain: the name of the child dates of the absence specific reason for the absence signature of the parent or the contractor’s authorized representative if verification is made by telephone? (5 CCR Section 18066[a][1-4]) Material: If the excused absence verification is missing/incomplete, an error will be determined in attendance. The error will equal the cost of services provided for the sample month or the portion of the month in which there was no excused absence verification. 13.6 Does the certified need for child care and development services support the claim for reimbursement? (5 CCR sections 18074.1 and 18067[b]) Material: If the claim for reimbursement did not support the certified need for child care and development services, an error will be determined in attendance. The error will equal the cost of services provided for the sample month or the portion of the month. 14. CFCC – Reimbursement Determination The CFCC Reimbursement Determination Section refers to the following categories: Regional Market Rate (RMR) Selection