Effective Date: 12/01/03, 04/03/15, 04/01/17

Reference: None; Cross Reference: 03.01.01-Contents of Case Records


Policy Statement:

A CCR&R, Site Administered or Non Contracted child care provider who participates in the Illinois Department of Human Services Child Care Program is subject to and must cooperate with a monitoring review of their records to ensure that the services billed to the Department are adequately documented and contractual obligations are fulfilled.

Procedure:

  1. General Requirements
    CCR&Rs and Site Administered child care providers who contract with the State of Illinois to provide direct service care for a client who is enrolled in the Illinois Department of Human Services Child Care Assistance Program (CCAP) must keep adequate records to fully document the extent of services provided.
    A Site Administered child care provider, licensed day care center, licensed home, or group home provider is required to maintain records for each eligible family receiving Child Care Assistance for a minimum of five (5) years from the date of payment. These records must fully document the extent of services provided. This includes a record of attendance which clearly states the dates and times each child billed to the Department was present.
    Child Care Resource and Referral Agencies are subject to the same documentation requirements as stated above with the exception of attendance records.
    All contractors are required to keep adequate financial records to document program income and expenditures as it contributes to the delivery of services to State Subsidized Child Care program recipients, also known as CCAP children and clients. Contracted providers agree to make all case records and supporting documentation relevant to the services billed to the State of Illinois available to any and all authorized Department representatives and Federal authorities. Contracted providers also agree to be transparent in all manners relating to their contractual deliverables. Failure to maintain adequate records shall establish a presumption in favor of the State for any funds paid by the State for which adequate documentation is not available to support disbursement or contractual compliance.
  2. Monitoring Reviews:
    1.  CCR&R and Site Providers:
       
      The IDHS staff person assigned to perform the monitoring review must:
      1. Contact the child care provider or CCR&R by telephone to inform them of the Department's intent to perform a monitoring review. During this initial contact, a date is communicated for the monitoring review.
      2. Send the child care provider or CCR&R a letter to confirm the date and time. The confirmation letter will include:
        1. A list of items that must be reviewed; such as, the DCFS license and a copy of the forms used in a typical client folder. Additional items may include the Drug Free Workplace Certification and a copy of the attendance records.
        2. The length of the review will vary from several days to several weeks depending upon the number of records reviewed and the complexity of the records. Normally, one staff member performs a review. However, if multiple locations are involved or a substantial number of records are reviewed, additional staff may be assigned.
      3. CCR&R & Site providers monitoring review consists of:
        • Entrance conference
        • Completion of entrance packet
        • Case record review
        • CCMS desk review
        • Copy of Contract
        • Exit conference
    2. Non-Contracted Providers:
      The IDHS staff person assigned to perform the monitoring review must:
      1. Contact the child care provider by telephone to inform them of the Department's intent to perform a monitoring review. During this initial contact, a date is communicated for the monitoring review.
      2. Send the child care provider a letter to confirm the date and time.
      3. Non-contracted providers monitoring review consists of:
        • Entrance conference
        • Completion of entrance packet
        • Attendance Records (specific months requested)
        • Sign in & out sheets
        • DCFS Licensing (where applicable)
        • Child Care Certificates
        • Exit conference

The entrance conference consists of routine questions regarding the operation of the center(s), capacity, licensing restrictions, staff, hours of operation and number of children served. The case record review consists of a thorough examination of a preselected number of client case records to ensure program eligibility and contract compliance.

Monitoring staff must examine each file for the minimum case record requirements as required in 03.01.01 ensuring all forms are properly completed, signed, and dated as appropriate; and the required eligibility documentation has been received. Additional factors such as processing time, co- pay calculations, and eligibility determination are checked for compliance and accuracy.

(Only Non-Contracted Providers) Attendance records consisting of the sign in/sign out sheets and daily attendance logs are compared to the Child Care Certificate Form IL444-3492 (for home providers), or Child Care Certificate Report Form IL444-3492A (for centers) to ensure that children are only billed for the days eligible and in attendance. The basis for the number of records reviewed is determined by selecting a significant sample from the total number of clients for which the provider is approved.

An exit conference is held where, time permitting, preliminary results of any findings may be discussed. After completion of the monitoring review, if there are findings requiring a response, a draft report is created and sent to the provider. Providers must respond to the findings within 30 working days of receipt of the draft report. Reviews completed requiring no response are finalized with a copy sent to the provider. A finalized report requires no action on the part of the provider and is prepared for the provider's information only. For CCR&R and site providers please refer to Exhibit E of the contract agreement for an in-depth overview of performance measures.

  1. Fiscal Reviews
    1. The fiscal record review traces program income to the cash account and expenditures to source documentation. In addition, employee payroll records are reviewed for accuracy and bank statements are checked for reconciliation. Providers are randomly selected and notified for their financial review by IDHS Fiscal Administrative Review Department annually. Depending upon monitoring review findings, it will be at the discretion of the agency to do additional fiscal reviews.

Depending upon review findings, providers may be required to provide additional documentation and are subject to random follow up visits to ensure contractual compliance. This decision is determined at the discretion of IDHS Bureau of Child Care and Development.