Transcript AWI OEL As-Is Workshop

Florida
Agency for Workforce Innovation
Office of Early Learning
Early Learning Information System (ELIS)
Coalition Visits
August - October, 2007
Agenda

Getting Started
•
•
Introductions
Attendance

ELIS Project Overview
 Joint Application Development (JAD) Process
Overview
 ELIS Team Contacts
 Baseline Process Walk-through Overview
 Baseline Process Walk-through
2
ELIS Project Overview
Early Learning Information System Fact Sheet
(Refer to handout)
Overview: ELIS:The Big Picture
ELIS Phased Approach
Stage 1
Improve our Processes
and Document our
Requirements
Stage 3
Design, Build, Test,
Train & Implement
Stage 2
Data Cleansing
4
Overview: Key Stage 1 Activities

Observe, analyze and document current business
processes

Identify best practices and process changes required

Develop and standardize future business processes

Identify functional and non-functional requirements

Support the ELIS procurement activities
5
Overview: High-level JAD Strategy
Here we are for
today’s session
Develop OEL
As-Is Model
•
•
Develop As-Is model
Conduct problem
analysis
Conduct needs
analysis
•
•
Develop Use Cases
based on To-Be
models
•
Develop local As-Is
model
• Conduct problem &
needs analysis
• Develop baseline AsIs model
• Develop To-Be model
Develop Use
Cases
•
Conduct
Remaining
ELC JADs
Develop ELC
Strawman
Identify local
variance
• Conduct problem
analysis
• Conduct needs
analysis
• Test future state
concepts
To remaining Phase IV
tasks and Phase V,
Procurement
Develop RDD
•
Develop
Requirements
Definition Document
deliverable
6
Develop OEL
To-Be Model
•
Develop To-Be model
based on problem
and needs analysis
Overview: Coalition Process Inventory
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Resource and Referral
Waitlist Management
SR Eligibility Determination
VPK Eligibility Determination
SR Enrollment
VPK Enrollment
SR Eligibility Redetermination
Child Assessment
Provider Transfer
Attendance Management
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
7
Payment Adjustments
Provider Payments
ELC Invoicing
Provider On-boarding and
Management
Slot Management
Collections
Provider Quality Monitoring and
Improvement
Attendance Auditing
Provider Compliance Monitoring
Complaints Processing
Overview: Handouts
Site Visit Agenda and Schedule
ELIS Team Contact Info
Baseline Process Walk-through
Overview
Purpose:
•
•
Review baseline As-Is process flow diagrams for each
core business process identified
Identify and document local variance, existing
problems, and future needs
Deliverables:




Meeting minutes
Local variations or gaps in baseline processes
Existing business problems tied to processes
Future process and IT system needs & capabilities
10
Process Hierarchy
Our processes are structured into a 4-level hierarchy:
Functional
Group
We will be
working at this
level in today’s
session
Process Name
(Level 1)
Process Flow
Diagram
(Level 2)
Process
Narrative
(Level 3)
11
Example Process Flow
Eligibility
Guidelines
Annual ELC
Eligibility Site
Review
Schedule ELC
Site Visit
Scheduled
ELC Site Visit
Sample of
Cases
Review ELC Data
A1
Site Review of
Representative Cases
A2
OEL Eligibility
Spreadsheets
Advise ELC
A3
Completed ELC
Eligibility
Review
A4
Disallowed
Cost
Microsoft
SharePoint
EFS
Microsoft
SharePoint
EFS
Investigation
Eligibility Guidelines:
·
·
·
·
Desk Reference
Federal Statutes
Florida Statutes
ELC Spreadsheets
12
Initiate Benefit
Recovery
A5
Process Flow Format
Tools & Documentation
Inputs
Eligibility
Guidelines
Sample of
Cases
Site Review of
Representative Cases
Outputs
OEL Eligibility
Spreadsheets
A3
Process Step /
Identifier
EFS
IT Systems Used
Other information may be included in the
diagram as appropriate for clarity.
13
Example Process Narrative
Event:
Program Monitoring - Eligibility
Trigger:
Scheduled ELC Site Visit
Process:
A2 – Review ELC Data
Activities:
1. The OEL – CSSC – Performance and Accountability unit request EFS data extracts from the OEL – OPEA unit.
The data extracts are specific to the ELC being reviewed, and should include:
 School Readiness Cases
 VPK Cases
 Child Care Provider data
2. Based on the random sample of EFS data, the OEL – CSSC – Performance and Accountability analyst selects
specific cases to review at the ELC site visit.
3. The analyst will request the ELC to pull the data for these cases (which will be reviewed at the ELC site visit).
This request is made by posting the requested cases to the ELC SharePoint site.
4. The OEL – CSSC – Performance and Accountability unit reviews ELC specific documents
(Fee Scale, SR and VPK Policies and Procedures, coalition monitoring documentation, etc.) prior to the site visit.
Outputs:
1. Sample of Cases
2. ELC Document Findings
14
Workshop Approach
For each As-Is process:
Business
Analysis
Understand the
Business
Variance
Analysis
Understand Your
Differences
Problem
Analysis
Understand the
Problems
Understand the
Future Needs
Needs
Analysis
• Capture ideas on Post-it notes during the process
walk through
• Capture one idea per Post-it note
• We’ll have a few minutes for final brainstorming at
the end of each process walk through.
• We will gather and document your input
15
As-Is Process Overview
Updated Applicant Information
Information
Request /
Need
Transfer
Trigger
Resource and
Referral
Applicant
Information
SR / VPK Eligibility
Determination
Eligibility
Expiration or
Change
Eligibility Decision /
Certificate
SR / VPK Provider
Transfer
Eligible Family/
Child
Wait List
Managment
SR Eligibility ReDetermination
Child Assessments
Funds / Capacity
Available
Contract
Compliance
Monitoring
Applicant
Information
Continued Eligible
or Termination
SR / VPK
Enrollment
Collections
# Enrolled
Funding Reports
Budget Information
Payment
Adjustment
Slot Management
Corrections
# Attending
Child Care
Provider
Request
Provider Onboarding and
Management
Contracted Child
Care Provider
Child Care
Provider Information
Attendance
Management
Attendance
Monthly CloseOut
& SR/VPK
Provider Payments
Child Care Provider
Agreement
Provider Quality
Monitoring &
Improvement
ELC Invoicing
Complaint
Complaints
Processing
16
Attendance
Attendance
Auditing
Baseline Walk-through Agenda
Morning
1. Resource & Referral
2. Waitlist Management
3. School Readiness Eligibility Determination
4. School Readiness Enrollment
5. School Readiness Eligibility Re-Determination
6. VPK Eligibility Determination
7. VPK Enrollment
8. VPK/SR Provider Transfer
9. Child Assessments
Baseline Walk-through Agenda
Afternoon
10. Attendance Management
11. Attendance Auditing
12. Payment Adjustments
13. Monthly Closeouts and Provider Payments
14. ELC Invoicing
15. Collections
16. Slot Management
17. Provider Onboarding and Management
18. Provider Quality Monitoring and Improvement
19. Contract Compliance Monitoring (ELC/Service Provider)
20. Complaints Processing
As-Is Baseline
Resource and Referral
Telephone
Walk-In
Email
Letter
Information
Need
Customer Request for
Information
A1
OEL Rules and Policies
Statutes
ELC Annual Plan
Service Provider Contract
Service Provider Protocols
Intake
Information
Documentation
of Information
Request
Contact Log
Intake Form
EFS
Customers
Parents/Guardians
Providers:
· New
· Current
· Prospective (interested
in providing service)
Others:
· Other Agencies
· Teachers
· Consultants
· Vendors
· Trainers
Information/Referral
Provided
Knowledgeable
Customers
A2
EFS/CCRR
Databases
Spreadsheets
Telephone Log
Informational Packets
Parent Information Packet (with Provider Referral List)
New Provider Information Packet
Prospective Provider Packet
19
As-Is Baseline
Wait List Management
FL Administrative
Rule Chapter
Applicant
60BB-4.300
Information
Applicant
Enter Applicant Data
Dis-enrolled
Children
A1
SPE
Applicant
Records
Created
Applicant
Information
Policy
Waitlist Re-verification
A2
UWL
Applicant
Information
Updated
Applicant
Information
ELC
UWL Policy
Waitlist Selection
A3
UWL
20
Updated
Wait List
Re-verification
notices
Update Wait List
Updated
Applicant
Information
A4
UWL
Selected
Applicants
As-Is BASELINE
School Readiness (SR) Eligibility Determination
Eligibility
Guidelines
Provider
Information
Applicant
Information
Eligibility
Guidelines
Applicant Information
Preliminary
Eligibility
Determination
Applicant Contact and
Preliminary Review
A1
SPE
A2
Scheduling
System
Excel
Applicant Information:
Eligibility Guidelines:
·
·
·
·
FL Statutes
Federal Regulations
ELC Policies and
Procedures
OEL Policy and Rules
Eligibility Decision
Determine Eligibility
·
·
·
·
Proof of Family Income
(earned and unearned)
Child Date of Birth
Valid ID
Proof of Approved
Activity / Purpose for
Care
21
Notes:
·
This process is applicable to determination of
eligibility for School Readiness / Child Care as
defined in FL Administrative Rule Chapter 60BB-4
As-Is BASELINE
School Readiness (SR) Enrollment
Terms &
Conditions
SR Eligibility
Confirmed
Applicant
Information
Document Needs,
Eligibility and Fees
A1
EFS
Developmental
Screening tool
FL Statutes
Enrollment
Documents
Process Enrollment
Conduct Child
Developmental
Screening
A2
A3
EFS Updated
Fees
Determined
EFS
Excel
Signed Consent
(for screenings)
EFS
Tracking
Systems
(Excel, etc.)
Note:
This process is applicable to all children eligible for School
Readiness Programs as defined in FL Administrative Rule
Chapter 60BB-4
22
Enrollment Documents
· Completed, Signed Application
· Completed Income Worksheet
· Provider Authorization Form
· Signed Terms & Conditions
· Parent Rights and Responsibilities
As-Is BASELINE
School Readiness (SR) Eligibility Re-Determination
Terms &
Conditions
Eligibility Expiration
Reports
Parent
Information
Eligibility Expiration
Updated Client
Information
Re-Determination
Package
Notice of Eligibility
Re-Determination
Applicant /
Eligibility
Information
Re-determination notice/
information request
A1
Child Care
Authorization
Re-Determine SR
Eligibility
Confirmation of Continued Eligibility or
Termination of Services
Updated Eligibility Documentation
A2
EFS
EFS
Updated Eligibility Documentation:
Scheduling
systems
·
·
·
·
23
Child Care Authorization/Referral
Notice of Change in Child Care
Status
Updated EFS Parent and Child
Records (including Parent / Child
History Notes)
Signed Child Care Application,
income worksheet and required
forms (Certificate or related form)
As-Is BASELINE
VPK Eligibility Determination
Eligibility
Guidelines
Provider
Information
Applicant
Information
VPK Group
VPK
Sessions/
Eligibility
Events
Guidelines
Applicant
Information
Applicant Contact and
Preliminary Review
Preliminary
VPK Eligibility
Determination
A1
Determine VPK
Eligibility
VPK Eligibility
Established
A2
SPE
Eligibility Guidelines:
·
·
·
State Regulations
ELC Policy and Rules
OEL Policy and Rules
Applicant Information:
·
·
·
Child Date of Birth
Valid ID / Proof of FL
Residency
Proof of immunization (in
some ELCs)
24
State Regulations
· This process is applicable to children
under FL Statues 1002.79 and FL
Administrative Rule 60BB-8. Voluntary
Pre-kindergarten education program
As-Is BASELINE
VPK Enrollment
Applicant
Information
VPK eligibility
decision
VPK Provider
Selection
Applicant
Provider
Information Information
Completed VPK
Certificate of Eligibility
Process Enrollment
VPK Enrollment Completed
EFS Updated
A1
A2
EFS
EFS
25
As-Is Baseline
VPK / SR Provider Transfer
Attendance/
Payment
Parent/
Reports
Provider
Information
Request/
Notification of/for a
Provider Transfer
Assess Transfer
Request
A1
EFS
VPK / SR
Child Care
Authorization
Confirmation of
available FTE Hours
(VPK)
Confirmation of Paid
Parent Co-pay Balances
(SR)
Confirm Transfer
(VPK / SR)
Signed Authorization Forms
EFS Updated
A2
EFS
Excel
Provider Transfer Information
Signed Authorization Forms:
School Readiness:
· Application and Authorization
Form
· Child Care Eligibility and
Enrollment Certificate
VPK:
· VPK Re-Enrollment Form
· VPK Child Eligibility and
Enrollment Certificate
· Additional Forms may be
used
26
As-Is Baseline
Child Assessments
Assessment Tool
Pre-Assessment
A1
Technical
Assistance
Technical
Assistance
Technical
Assistance
Annual
Cycle
Assessment Tool
Scores
Individualized Child
Plans
A2
Annual
Cycle
Post Assessment
A3
School
Ready
Children
Outcomes
Data
Assessment Tool Software
Excel Spreadsheets
Access Database
Assessment Tool Software
Excel Spreadsheets
Access Database
27
As-Is Baseline
Attendance Management
Attendance
Roster Log
Recertification
Process
Enrollment
Process
Generate Attendance
Roster
A1
Termination
Process
VPK / SR Provider
Attendance
Attendance
Marking Process Roster log
Incomplete
Attendance
Roster
Enter Attendance and
Submit Roster
A2
EFS
Completed
Attendance
Roster
VPK / SR
Provider
Information
Attendance
Entered in
EFS
Enter Attendance into
EFS
A3
EFS
28
Trial
Reimbursement
Report
As-Is Baseline
Attendance Auditing
SR / VPK
Provider
Information
Annual
Review
Request Attendance
Documentation
A1
Attendance
Documentation
SR / VPK
Provider
Information
Attendance
Audit Log
Review Attendance
Documentation
Audit
Findings
Attendance
Audit Log
Recieve Supporting
Documenation
Supporting
Attendance
Documentation Audit Log
Audit
Revisions
A3
A2
EFS
Close Attendance
Audit
A4
Attendance
Audit Closed
Additional
Actions
EFS
SR / VPK Child Care Provider
Information:
· Parent Sign In / Sign Out Forms
· VPK Student Attendance and
Parental Choice Certificate Form
· Provider Transmittal Attendance
Form
29
Additional Actions:
· Payment Adjustment Initiated
· Offer Technical Assistance to the
Provider
· Require meeting with Provider
Director
· Follow up Reviews
As-Is Baseline
Payment Adjustment
VPK / SR
Provider
Information
Attendance
Information
Determine Payment
Adjustment
Payment
Adjustment
Request
Review Payment
Adjustment Request
A1
A2
EFS
Approved
Payment
Adjustment
Request
Prior Period
Adjustment
Report
Process Payment
Adjustment
A3
EFS
VPK / SR Provider Information:
1. Original Paper Attendance Roster
2. SR Parental Sign In / Sign Out Forms
3. VPK Monthly Absence Reason Forms
30
As-Is Baseline
Monthly Closeout and SR / VPK Provider Payments
Balancing
Spreadsheet
ELC Funds
Attendance
Information
Generate and
Reconcile EFS
Payment Report
Reconciled
Monthly
Closeout
A2
A1
EFS
Accounting
Software
Complete Final
Monthly Closeout
Issue
Resolution
Accounting
Software
Verified
Monthly
Closeout
Reports
Issue SR / VPK
Provider Payment
SR / VPK
Provider
Payment
A3
Accounting
Software
Verified Monthly Closeout Reports
1. Reconciled Payment Transmittal Reports
2. Final Reimbursement Reports
3. Final 5045 Reports
4. Data entered into General Ledger
31
As-Is Baseline
ELC Invoicing (to OEL)
OEL Invoice
Spreadsheet
ELC Invoice
Spreadsheet
Monthly
Invoice
Submission
Created OEL
Invoice
Invoice Data
Generate Invoice
Data
A1
EFS
Create OEL Invoice
Submit Invoice
A4
A3
A2
Service
Provider
Accounting
Software
Sign Off on OEL
Invoice
Submitted
OEL Invoice
Signed OEL
Invoice
ELC
Accounting
Software
ELC
Accounting
Software
Provider
Payments
Receive
Reimbursement
A5
32
As-Is Baseline
Collections
FDLE
Suspected
Fraud Referral
Form
Questioned
Cost
Questioned Cost
Determination
A1
Demand
Letters
Recovery
Details
Questioned
Cost
Request Repayment
of Delinquent Account
Initiate Recovery
A3
A2
33
Payment
Request
Recovery Resolution
A4
Resolved
Recovery
As-Is Baseline
Slot Management
Enrollment
Information
Enrollment
Information
Dis-enrollment
Policy, Service
Priority Policy
Funding
Information
Funding
Reports
Slot Analysis
A1
EFS
Dis-enrollment
Policy, Service
Priority Policy
Slot
Management
Strategy
Dis-enrollment
recommendations
Enrollment
Information
Funding
Information
ELC Board Review
Dis-enrollment
Policy, Service
Priority Policy
ELC Board
Response
Funding
Information
Dis-enrollment
Policy, Service
Priority Policy
OEL
Response
Funding
Information
OEL Review
Complete Disenrollment
A3
A4
A2
EFS
EFS
ELC Board Response:
Do not dis-enroll because:
additional funding
guidance to Finance Committee
Intent to Dis-enroll
34
Enrollment
Information
EFS
OEL Response:
Do not dis-enroll because:
additional funding
error in slot analysis
Consensus to Dis-enroll
UWL
Dis-enrolled
Children
As-Is Baseline
Provider Onboarding and Management
ELC Policy
OEL Rules & Regs
Statutes
Service Provider Policies
Matching Report
Community Contacts
Recruiting Letters
Provider
Request
Recruiting
Efforts
Provider Contact
A1
Provider
Interest
Provider Orientation
Screening
Credentialing
Completed
Forms
A2
Document Review
and Verification
ELC Policies
OEL Rules
Child Care Provider Agreement
Contract
Signed
Records Updated
A4
A3
Annual
Update
CCRR/EFS
Spreadsheets
FAX
Orientation Log
EFS
FAX
Orientation Topics
Eligibility Guidelines
Provider Agreement
Licensure Requirements
Reimbursement Rates & Procedures
Curriculum Standards
Background Screening
VPK Forms 10 & 11
Teacher Credentials
35
Approved SR or
VPK Provider
As-Is Baseline
Provider Quality Monitoring and Improvement
OEL Policies
ELC Policies
Provider Agreement
Provider Records
Annual
Cycle
Prepare for Monitoring
Program Improvement
Strategies & Tools
Mentoring & Technical Assistance
Providers
Selected
Conduct Monitoring
Results
Program Improvement
Plan
Follow-Up
A4
A1
A2
A3
Provider Pre-Assessment Tools
EFS
Checklist
Provider Post-Assessment Tools
Spreadsheets
Access Databases
Program Improvement Strategies and Tools
Mentoring
Technical Assistance
Quality Rating Program (Star Rating)
Environmental Rating Scale
Harms Pre & Post Assessments
Self Assessment
Coaching & Mentoring
Training
36
Site Visits
Program Improvement Strategies
& Tools
Quality
Service
Termination
of Contract
As-Is Baseline
Contract Compliance Monitoring
Service
Provider
Contracts
Service
Provider
Reports
Reviews
Monthly,
Quarterly,
& Annual
Initiate Contract
Review
Contract
Monitoring
Review Tool
Contract
Monitoring
Review
Tool
A1
Service
Provider
Shadow
Systems
ELC Key
Performance
Indicator Report
Monitoring
Schedule
Conduct Compliance
Audit
Service
Provider
Annual
Reports
Service
Provider
Reports
Audit
Findings
Develop Draft Report
A2
A3
Provider Compliance Auditing
Information:
· Monthly, Quarterly, Annual Key
Indicator Report
· Contract Monitoring Tool
· Performance Improvement Plan
37
Draft
ELC
Compliance
Monitoring
Report
Deliver
Final Report
to Coalition
Board
Present Final Report
A4
Provider Compliance Monitoring Information:
ELC Monitoring Policy & Procedures:
· Monitoring Schedule
· Monitoring Tool
· Monitoring Report
· Service Provider Contract
· Fee Schedule
· Quarterly Report
· Key Indicator Report
· Monitoring Process Map
· Randomization Tool (for selecting file review)
· List of requested client and provider files to
review
· File Review GRID
· Fraud Reports
· State Laws, Rules and Statutes: 60BB,
eligibility codes and F.S. 411, 1002 and others
as appropriate.
As-Is Baseline
Complaints Processing
Provider
Information
Complaint
Provider History
Provider
Information
ELC Policy
Decision
Complaint
Form
Receive Complaint
Provider
Information
ELC Review
Process Complaint
Final
Decision
Close Complaint
Petition
A2
A1
EFS
Word
A3
A4
Complaint
Closed
Additional
Documentation
EFS
Additional Documentation:
· Corrective Action Plan
· Policy Recommendations to ELC Management
· External Agency Information
38
As-Is BASELINE Sub-Process
Process Changes Resulting from Transfer of Guardianship
Referral /
Legal
Documents
Referral or Notification of
Transfer of Child
Guardianship
Validate Transfer to &
Eligibility of the New
Guardian
A1
Enrollment
Process
Eligibility
Process
Validated
Guardianship
Eligible
Guardian
EFS
Process Changes
Resulting from
Guardianship Transfer
A2
Guardianship
Transfer Changes
Completed
Documents/Records
Updated
EFS
Documents/Records Updated:
· EFS Parent Record
· EFS Provider Record
· EFS Child Record
· EFS History Notes
· Signed Child Care Application
· Certificate or related Provider form
· Income Worksheet
· Terms and Conditions
39
Wrap-up
Thank-you!
40