Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.5.2.1 Final To-Be Process Models
Final Version 2.0
January 12, 2012
Submitted to:
Florida’s Office of Early Learning
Prepared by:
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table of Contents
Amendment History .................................................................................................................... 1
1. Introduction............................................................................................................................. 2
1.1 Purpose ............................................................................................................................ 2
1.2 Background ..................................................................................................................... 2
1.3 Overview .......................................................................................................................... 3
1.4 Audience .......................................................................................................................... 3
1.5 References ....................................................................................................................... 3
1.6 Glossary ........................................................................................................................... 4
2. Development of the Future-State Business Model .............................................................. 5
2.1 Overview .......................................................................................................................... 5
2.2 Business Process Reengineering Methodology .......................................................... 6
2.2.1 Validating To-Be Processes ........................................................................................ 7
2.2.1.1
Final To- Be Business Process Models Inventory .............................................. 7
2.2.1.2
Joint Application Development (JAD) Validation Sessions................................. 9
2.3 Final To-Be Business Process Models ....................................................................... 10
2.3.1 Methodology .............................................................................................................. 10
2.3.1.1
Process Flow Diagram ..................................................................................... 11
2.3.1.2
Detailed Workflows ........................................................................................... 11
3. To-Be Business Process Models ........................................................................................ 16
3.1 BP-01 Child Care Resource and Referral .................................................................... 16
3.1.1 Process Overview ..................................................................................................... 16
3.1.1.1
Actors ............................................................................................................... 16
3.1.2 CCR&R Process Flow Diagram ................................................................................ 17
3.1.3 CCR&R Detailed Process Narrative .......................................................................... 18
3.1.4 CCR&R Detailed Workflows ...................................................................................... 24
3.1.5 Business Rules.......................................................................................................... 28
3.1.6 Traceability ................................................................................................................ 29
3.1.6.1
Use Cases ........................................................................................................ 29
3.1.6.2
Requirements ................................................................................................... 29
3.2 BP-02 Enrollment .......................................................................................................... 30
3.2.1 Process Overview ..................................................................................................... 30
3.2.1.1
Actors ............................................................................................................... 30
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.2.2 Enrollment Process Flow Diagram ............................................................................ 31
3.2.3 Enrollment Detailed Process Narrative ..................................................................... 32
3.2.4 Enrollment Detailed Workflows ................................................................................. 37
3.2.5 Business Rules.......................................................................................................... 44
3.2.6 Traceability ................................................................................................................ 45
3.2.6.1
Use Cases ........................................................................................................ 45
3.2.6.2
Requirements ................................................................................................... 46
3.3 BP-03 Wait List Management ....................................................................................... 47
3.3.1 Process Overview ..................................................................................................... 47
3.3.1.1
Actors ............................................................................................................... 47
3.3.2 Wait List Process Flow Diagram ............................................................................... 48
3.3.3 Wait List Detailed Process Narrative ......................................................................... 49
3.3.4 Wait List Detailed Workflows ..................................................................................... 51
3.3.5 Business Rules.......................................................................................................... 54
3.3.6 Traceability ................................................................................................................ 54
3.3.6.1
Use Cases ........................................................................................................ 54
3.3.6.2
Requirements ................................................................................................... 55
3.4 BP-4 Child Screening .................................................................................................... 56
3.4.1 Process Overview ..................................................................................................... 56
3.4.1.1
Actors ............................................................................................................... 56
3.4.2 Child Screening Process Flow Diagram .................................................................... 57
3.4.3 Child Screening Detailed Process Narrative ............................................................. 58
3.4.4 Child Screening Detailed Workflows ......................................................................... 61
3.4.5 Business Rules.......................................................................................................... 64
3.4.6 Traceability ................................................................................................................ 64
3.4.6.1
Use Cases ........................................................................................................ 64
3.4.6.2
Requirements ................................................................................................... 65
3.5 BP-05 School Readiness Eligibility Redetermination ................................................ 66
3.5.1 Process Overview ..................................................................................................... 66
3.5.1.1
Actors ............................................................................................................... 66
3.5.2 School Readiness Eligibility Redetermination Process Flow Diagram ...................... 67
3.5.3 School Readiness Eligibility Redetermination Detailed Process Narrative ............... 68
3.5.4 School Readiness Eligibility Redetermination Detailed Workflows ........................... 71
3.5.5 Business Rules.......................................................................................................... 74
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.6 Traceability ................................................................................................................ 74
3.5.6.1
Use Cases ........................................................................................................ 74
3.5.6.2
Requirements ................................................................................................... 75
3.6 BP-06 Voluntary Prekindergarten Re-enrollment/School Readiness Provider
Transfer .................................................................................................................................. 76
3.6.1 Process Overview ..................................................................................................... 76
3.6.1.1
Actors ............................................................................................................... 76
3.6.2 Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Process Flow Diagram ......................................................................................................... 77
3.6.3 Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Detailed Process Narrative .................................................................................................. 78
3.6.4 Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Detailed Workflows .............................................................................................................. 81
3.6.5 Business Rules.......................................................................................................... 85
3.6.6 Traceability ................................................................................................................ 86
3.6.6.1
Use Cases ........................................................................................................ 86
3.6.6.2
Requirements ................................................................................................... 86
3.7 BP-07 Guardianship Transfer ...................................................................................... 87
3.7.1 Process Overview ..................................................................................................... 87
3.7.1.1
Actors ............................................................................................................... 87
3.7.2 Guardianship Transfer Process Flow Diagram ......................................................... 88
3.7.3 Guardianship Transfer Detailed Process Narrative ................................................... 89
3.7.4 Guardianship Transfer Detailed Workflows ............................................................... 91
3.7.5 Business Rules.......................................................................................................... 94
3.7.6 Traceability ................................................................................................................ 94
3.7.6.1
Use Cases ........................................................................................................ 94
3.7.6.2
Requirements ................................................................................................... 95
3.8 BP-08 Provider On-boarding and Management.......................................................... 96
3.8.1 Process Overview ..................................................................................................... 96
3.8.1.1
Actors ............................................................................................................... 96
3.8.2 Provider On-boarding and Management Process Flow Diagram .............................. 97
3.8.3 Provider On-boarding and Management Detailed Process Narrative ....................... 98
3.8.4 Provider On-boarding and Management Detailed Workflows ................................. 101
3.8.5 Business Rules........................................................................................................ 103
3.8.6 Traceability .............................................................................................................. 105
3.8.6.1
Use Cases ...................................................................................................... 105
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.6.2
Requirements ................................................................................................. 105
3.9 BP-09 Provider Quality Monitoring and Improvement ............................................. 106
3.9.1 Process Overview ................................................................................................... 106
3.9.1.1
Actors ............................................................................................................. 106
3.9.2 Provider Quality Monitoring and Improvement Process Flow Diagram ................... 107
3.9.3 Provider Quality Monitoring and Improvement Detailed Process Narrative ............ 108
3.9.4 Provider Quality Monitoring and Improvement Detailed Workflows ........................ 110
3.9.5 Business Rules........................................................................................................ 112
3.9.6 Traceability .............................................................................................................. 113
3.9.6.1
Use Cases ...................................................................................................... 113
3.9.6.2
Requirements ................................................................................................. 113
3.10 BP-10 Attendance Roster Processing ....................................................................... 114
3.10.1 Process Overview ................................................................................................... 114
3.10.1.1 Actors ............................................................................................................. 114
3.10.2 Attendance Roster Processing Process Flow Diagram ........................................... 115
3.10.3 Attendance Roster Processing Detailed Process Narrative .................................... 116
3.10.4 Attendance Roster Processing Detailed Workflows ................................................ 119
3.10.5 Business Rules........................................................................................................ 122
3.10.6 Traceability .............................................................................................................. 122
3.10.6.1 Use Cases ...................................................................................................... 122
3.10.6.2 Requirements ................................................................................................. 123
3.11 BP-11 Prior Period Attendance Adjustments ........................................................... 124
3.11.1 Process Overview ................................................................................................... 124
3.11.1.1 Actors ............................................................................................................. 124
3.11.2 Prior Period Attendance Adjustments Process Flow Diagram ................................ 125
3.11.3 Prior Period Attendance Adjustments Detailed Process Narrative .......................... 126
3.11.4 Prior Period Attendance Adjustments Detailed Workflows ...................................... 128
3.11.5 Business Rules........................................................................................................ 130
3.11.6 Traceability .............................................................................................................. 130
3.11.6.1 Use Cases ...................................................................................................... 130
3.11.6.2 Requirements ................................................................................................. 130
3.12 BP-12 Closeout ............................................................................................................ 131
3.12.1 Process Overview ................................................................................................... 131
3.12.1.1 Actors ............................................................................................................. 131
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.2 Closeout Process Flow Diagram ............................................................................. 132
3.12.3 Closeout Detailed Process Narrative ...................................................................... 133
3.12.4 Closeout Detailed Workflows .................................................................................. 137
3.12.5 Business Rules........................................................................................................ 142
3.12.6 Traceability .............................................................................................................. 144
3.12.6.1 Use Cases ...................................................................................................... 144
3.12.6.2 Requirements ................................................................................................. 145
3.13 BP-13 Collections ........................................................................................................ 146
3.13.1 Process Overview ................................................................................................... 146
3.13.1.1 Actors ............................................................................................................. 146
3.13.2 Collections Process Flow Diagram.......................................................................... 147
3.13.3 Collections Detailed Process Narrative ................................................................... 148
3.13.4 Collections Detailed Workflows ............................................................................... 153
3.13.5 Business Rules........................................................................................................ 156
3.13.6 Traceability .............................................................................................................. 157
3.13.6.1 Use Cases ...................................................................................................... 157
3.13.6.2 Requirements ................................................................................................. 157
3.14 BP-14 Slot Management ............................................................................................. 158
3.14.1 Process Overview ................................................................................................... 158
3.14.1.1 Actors ............................................................................................................. 158
3.14.2 Slot Management Process Flow Diagram ............................................................... 159
3.14.3 Slot Management Detailed Process Narrative ........................................................ 160
3.14.4 Slot Management Detailed Workflows .................................................................... 162
3.14.5 Business Rules........................................................................................................ 163
3.14.6 Traceability .............................................................................................................. 164
3.14.6.1 Use Cases ...................................................................................................... 164
3.14.6.2 Requirements ................................................................................................. 164
3.15 BP-15 Develop Policy and Manage Programs .......................................................... 165
3.15.1 Process Overview ................................................................................................... 165
3.15.1.1 Actors ............................................................................................................. 165
3.15.2 Develop Policy and Manage Programs Process Flow Diagram .............................. 166
3.15.3 Develop Policy and Manage Programs Detailed Process Narrative ....................... 167
3.15.4 Develop Policy and Manage Programs Detailed Workflows ................................... 170
3.15.5 Business Rules........................................................................................................ 171
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.6 Traceability .............................................................................................................. 172
3.15.6.1 Use Cases ...................................................................................................... 172
3.15.6.2 Requirements ................................................................................................. 172
3.16 BP-16 Process ELC Invoice ....................................................................................... 173
3.16.1 Process Overview ................................................................................................... 173
3.16.1.1 Actors ............................................................................................................. 173
3.16.2 Process ELC Invoice Process Flow Diagram .......................................................... 174
3.16.3 Process ELC Invoice Detailed Process Narrative ................................................... 175
3.16.4 Process ELC Invoice Detailed Workflows ............................................................... 178
3.16.5 Business Rules........................................................................................................ 182
3.16.6 Traceability .............................................................................................................. 182
3.16.6.1 Use cases ....................................................................................................... 182
3.16.6.2 Requirements ................................................................................................. 183
3.17 BP-17 Monitor and Reconcile ELC Grant Utilization................................................ 184
3.17.1 Process Overview ................................................................................................... 184
3.17.1.1 Actors ............................................................................................................. 184
3.17.2 Monitor and Reconcile ELC Grant Utilization Process Flow Diagram ..................... 185
3.17.3 Monitor and Reconcile ELC Grant Utilization Detailed Process Narrative .............. 186
3.17.4 Monitor and Reconcile ELC Grant Utilization Detailed Process Workflows ............ 191
3.17.5 Business Rules........................................................................................................ 196
3.17.6 Traceability .............................................................................................................. 197
3.17.6.1 Use Cases ...................................................................................................... 197
3.17.6.2 Requirements ................................................................................................. 197
3.18 BP-18 Monitor Program and Instructor Eligibility .................................................... 198
3.18.1 Process Overview ................................................................................................... 198
3.18.1.1 Actors ............................................................................................................. 198
3.18.2 Monitor Program Eligibility and Instructor Qualifications Process Flow Diagram .... 199
3.18.3 Monitor Program Eligibility and Instructor Qualifications Detailed Process Narrative
200
3.18.4 Monitor Program Eligibility and Instructor Qualifications Detailed Workflows ......... 204
3.18.5 Business Rules........................................................................................................ 208
3.18.6 Traceability .............................................................................................................. 209
3.18.6.1 Use Cases ...................................................................................................... 209
3.18.6.2 Requirements ................................................................................................. 209
3.19 Maintain Data Quality and Provide Service Support................................................ 210
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19.1 BP 19 Maintain Data Quality and Provide Service Support .................................... 210
3.19.1.1 Actors ............................................................................................................. 210
3.19.2 Maintain Data Quality and Provide Service Support Process Flow Diagram .......... 211
3.19.3 Maintain Data Quality and Provide Service Support Detailed Process Narrative.... 212
3.19.4 Maintain Data Quality and Provide Service Support Detailed Workflows ............... 215
3.19.5 Business Rules........................................................................................................ 219
3.19.6 Traceability .............................................................................................................. 219
3.19.6.1 Use Cases ...................................................................................................... 219
3.19.6.2 Requirements ................................................................................................. 219
3.20 Process Cash Receipts .............................................................................................. 220
3.20.1 BP-20 Process Cash Receipts ................................................................................ 220
3.20.1.1 Actors ............................................................................................................. 220
3.20.2 Process Cash Receipts Process Flow Diagram ...................................................... 221
3.20.3 Process Cash Receipts Detailed Process Narrative ............................................... 222
3.20.4 Process Cash Receipts Detailed Workflows ........................................................... 225
3.20.5 Business Rules........................................................................................................ 227
3.20.6 Traceability .............................................................................................................. 227
3.20.6.1 Use Cases ...................................................................................................... 227
3.20.6.2 Requirements ................................................................................................. 228
3.21 Manage Statewide Contracts ..................................................................................... 229
3.21.1 BP-21 Manage Statewide Contracts ....................................................................... 229
3.21.1.1 Actors ............................................................................................................. 229
3.21.2 Manage Statewide Contracts Process Flow Diagram ............................................. 230
3.21.3 Manage Statewide Contracts Detailed Process Narrative ...................................... 231
3.21.4 Manage Statewide Contracts Detailed Workflows .................................................. 233
3.21.5 Business Rules........................................................................................................ 236
3.21.6 Traceability .............................................................................................................. 236
3.21.6.1 Use Cases ...................................................................................................... 236
3.21.6.2 Related Requirements .................................................................................... 237
4. ELIS Differences-Impact to Business ............................................................................... 238
4.1 Overview ...................................................................................................................... 238
5. Implementing the Redesigned Business Processes ...................................................... 243
5.1 Implementing the Redesigned Business Processes ............................................... 243
5.2 Business Process Rollout Plan ................................................................................. 245
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figures
Figure 1. Business Process Reengineering Methodology ............................................................ 7
Figure 2. Final To-Be Business Process Models ........................................................................ 10
Figure 3. Process Flow Diagram Key ......................................................................................... 11
Figure 4. Child Care Resource and Referral Process Flow Diagram ......................................... 17
Figure 5. Determine Nature of Contact Process (A1) ................................................................ 24
Figure 6. Determine Needs, Create Provider Profile, Offer Community Services, and Provide
Consumer Education/Consultation Process Flow Diagram (B1, B3, B4, and B5) ...................... 25
Figure 7. Determine Preliminary Eligibility (B2) ......................................................................... 26
Figure 8. Handle Other Contacts and Supply Provider Information Process Flow Diagram
(C1/D1) ....................................................................................................................................... 27
Figure 9. Enrollment Process Flow Diagram .............................................................................. 31
Figure 10. Review Applicant Information and Follow Up (A1) .................................................... 37
Figure 11. Alternative Point of Entry - VPK Pilot Program (A1-ALT) .......................................... 38
Figure 12. Conduct Intake Interview (A2) ................................................................................... 39
Figure 13. Certify School Readiness Eligibility (A3) .................................................................... 40
Figure 14. Certify Voluntary Pre-Kindergarten Eligibility (A4) ..................................................... 41
Figure 15. Process School Readiness/Local Enrollment (A5) ................................................... 42
Figure 16. Process Voluntary Pre-Kindergarten Enrollment (A6) ............................................... 43
Figure 17. Wait List Process Flow Diagram ................................................................................ 48
Figure 18. Wait List Validation (A1) ............................................................................................ 51
Figure 19. Wait List Selection (A2) ............................................................................................. 52
Figure 20. Update Wait List (A3) ................................................................................................. 53
Figure 21. Child Screening Process Flow Diagram .................................................................... 57
Figure 22. Conduct Developmental Screening (A1) ................................................................... 61
Figure 23. Conduct Additional Follow-up Developmental Screening (A2) ................................. 62
Figure 24. Complete Child Screening (A3) ................................................................................. 63
Figure 25. Eligibility Redetermination Process Flow Diagram .................................................... 67
Figure 26. Notice of Eligibility Redetermination (A1) .................................................................. 71
Figure 27. Re-determine School Readiness Eligibility (A2) ....................................................... 72
Figure 28. Suspected Potential Fraud Referral (A-3) .................................................................. 73
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figure 29. Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Process Flow .............................................................................................................................. 77
Figure 30. Assess Transfer Request: VPK Re-enrollment (A1) ................................................. 81
Figure 31. Execute and Confirm Transfer: VPK Re-enrollment (A-2) ......................................... 82
Figure 32. Access Transfer Request: SR Provider Transfer (A1) .............................................. 83
Figure 33. Confirm and Execute Transfer: SR Provider Transfer (A2) ...................................... 84
Figure 34. Guardianship Transfer Process Flow Diagram ......................................................... 88
Figure 35. Review Request for Guardianship Transfer (A1 – Part 1) ......................................... 91
Figure 36. Review Request for Guardianship Transfer (A1 – Part 2) ......................................... 92
Figure 37. Process Guardianship Transfer (A2) ........................................................................ 93
Figure 38. Provider On-boarding and Management Process Flow Diagram .............................. 97
Figure 39. Prospective Provider Contact and Conduct Provider Orientation (A1/A2) ............... 101
Figure 40. Review and Verify Documentation and Maintain Provider Profile (A3/A4) .............. 102
Figure 41. Provider Quality Monitoring and Improvement Process Flow Diagram ................... 107
Figure 42. Prepare/Conduct Monitoring and Develop Program Improvement Plan (A1/A2/A3)110
Figure 43. Conduct Follow Up Process Flow Diagram (A4) ..................................................... 111
Figure 44. Attendance Roster Processing Process Flow Diagram ........................................... 115
Figure 45. Develop Schedule/Release Attendance Roster (A0/A1) ......................................... 119
Figure 46. Populate Attendance Roster (A2) ............................................................................ 120
Figure 47. Approve Attendance Roster/Revise Child Attendance Information (A3/A4) ............ 121
Figure 48. Prior Period Attendance Adjustments Process Flow ............................................... 125
Figure 49. Generate Prior Period Attendance Adjustment (A1) ................................................ 128
Figure 50. Approve Prior Period Attendance Adjustment, Revise Child Information (A2, A3) .. 129
Figure 51. Closeout Process Flow Diagram ............................................................................. 132
Figure 52. Develop Schedule for Closeout (A0) ....................................................................... 137
Figure 53. Review Closeout for Period (A1) ............................................................................. 138
Figure 54. Approve Closeout (A2) ............................................................................................ 139
Figure 55. Issue SR/VPK Provider Payments (A3) ................................................................... 140
Figure 56. Submit Reimbursement Request; Receive Reimbursement (A4, A5) ..................... 141
Figure 57. Collections Process Flow Diagram .......................................................................... 147
Figure 58. Questioned Cost, Initiate Recovery (A1, A2) ........................................................... 153
Figure 59. Request Repayment of Delinquent Account/ Resolved Recovery (A3, A4)............. 154
Figure 60. Suspected Fraud Referral (A5) ................................................................................ 155
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figure 61. Slot Management Process Flow Diagram ............................................................... 159
Figure 62. Analyze Slot Usage, Develop and Implement Slot Strategy (A1/A2) ....................... 162
Figure 63. Develop Policy and Manage Programs Process Flow Diagram .............................. 166
Figure 64. Develop Program Policies and Best Practices/Manage Programs/Collect and Analyze
Programmatic Data and Customer Feedback Process (A1/A2/A3) .......................................... 170
Figure 65. Process ELC Invoice Process Flow Diagram .......................................................... 174
Figure 66. Develop Schedule for Closeout (A0) ....................................................................... 178
Figure 67. Receive and Review ELC Invoice (A1, A2) ............................................................. 179
Figure 68. Approve ELC Invoice (A3) ....................................................................................... 180
Figure 69. Initiate Payment (A4) ............................................................................................... 181
Figure 70. Monitor and Reconcile ELC Grant Utilization Process Flow .................................... 185
Figure 71. Create ELC Annual Spending Plan (A0) .................................................................. 191
Figure 72. Review Expenditures (A1 Page 1) ........................................................................... 192
Figure 73. Review Expenditures (A1 Page 2) ........................................................................... 193
Figure 74. Communicate and Resolve Utilization and Other Issues (A2/A3 Part 1) ................. 194
Figure 75. Resolve Utilization and Other Issues (A3 Part 2) .................................................... 195
Figure 76. Monitor Program Eligibility and Instructor Qualifications Process Flow Diagram .... 199
Figure 77. Schedule ELC Monitoring/Review ELC Data Flow Diagram (A1/A2) ...................... 204
Figure 78. Review of Representative Cases (A3) ..................................................................... 205
Figure 79. Develop Accountability Review Reports (A4) .......................................................... 206
Figure 80. Initiate Questioned Cost Determination (A5) ........................................................... 207
Figure 81. Maintain Data Quality and Provide Service Support Process Flow Diagram........... 211
Figure 82. Receive and Review Services Requests (A0) ......................................................... 215
Figure 83. Analyze and Improve Data Quality Flow Diagram/ Monitor Data Quality (A1/A2) ... 216
Figure 84. Provide System Support Process Monitor Data Quality (A3/A2) ............................. 217
Figure 85. Complete Service Request (A4) .............................................................................. 218
Figure 86. Process Cash Receipts Process Flow Diagram ...................................................... 221
Figure 87. Receive Payment, Receipt of Payment, Return Payment (A1/A2/A3) ..................... 225
Figure 88. Determine Payment/Create Accounting Entries/Reconcile Payment (A4/A5/A6) .... 226
Figure 89. Manage Statewide Contracts Process Flow Diagram ............................................. 230
Figure 90. Review Contractor Compliance and Resolve Issues (A1) ....................................... 233
Figure 91. Receive and Validate Contractor Invoice (A2/A3) ................................................... 234
Figure 92. Initiate Contractor Payment (A4) ............................................................................. 235
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Tables
Table 1. Business Process Inventory ........................................................................................... 8
Table 2. Core BPMN Elements ................................................................................................... 12
Table 3. CCR&R – Determine Nature of Contact ....................................................................... 18
Table 4. CCR&R – Determine Needs ......................................................................................... 20
Table 5. CCR&R – Determine Preliminary Eligibility ................................................................... 21
Table 6. CCR&R – Create Provider Referral .............................................................................. 22
Table 7. CCR&R – Community Resources Requested .............................................................. 22
Table 8. CCR&R – Provide Consumer Education/Consultation ................................................. 22
Table 9. CCR&R – Supply Provider Information ......................................................................... 23
Table 10. CCR&R – Handle Other Contacts ............................................................................... 23
Table 11. CCR&R Business Rules ............................................................................................. 28
Table 12. Enrollment – Review Application and Follow up ......................................................... 32
Table 13. Enrollment – Alternative Child Registration ................................................................ 33
Table 14. Enrollment – Conduct Intake Interview ....................................................................... 33
Table 15. Enrollment – Certify School Readiness Eligibility ....................................................... 34
Table 16. Enrollment – Certify VPK Eligibility ............................................................................. 35
Table 17. Enrollment – Process School Readiness Enrollment .................................................. 35
Table 18. Enrollment – Process VPK Enrollment ....................................................................... 36
Table 19. Enrollment Business Rules ......................................................................................... 44
Table 20. Wait List Management – Wait List Validation .............................................................. 49
Table 21. Wait List Management – Wait List Selection ............................................................... 50
Table 22. Wait List Management – Update Wait List .................................................................. 50
Table 23. Wait List Business Rules ............................................................................................ 54
Table 24. Child Screening – Conduct Developmental Screening ............................................... 58
Table 25. Child Screening – Conduct Additional Follow-up Developmental Screening .............. 59
Table 26. Child Screening – Complete Developmental Screening ............................................. 60
Table 27. Child Screening Business Rules ................................................................................. 64
Table 28. Redetermination – Notice of Eligibility Redetermination ............................................ 68
Table 29. Redetermination – Re-determine School Readiness Eligibility ................................... 69
Table 31. School Readiness (SR) Eligibility Redetermination Business Rules........................... 74
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 32. VPK Re-enrollment – Assess Transfer Request ......................................................... 78
Table 33. VPK Re-enrollment – Execute and Confirm Transfer ................................................. 79
Table 34. School Readiness (SR) Provider Transfer – Assess Transfer Request...................... 79
Table 35. School Readiness (SR) Provider Transfer-Confirm and Execute Transfer ................. 80
Table 36. VPK Re-enrollment/SR Provider Transfer Business Rules ......................................... 85
Table 37. Guardianship Transfer – Review Request for Guardianship Transfer ........................ 89
Table 38. Guardianship Transfer – Process Guardianship Transfer .......................................... 90
Table 39. Guardianship Transfer Business Rules ...................................................................... 94
Table 40. Provider On-boarding and Management – Prospective/New Provider Contact .......... 98
Table 41. Provider On-boarding and Management – Conduct Provider Contact ....................... 99
Table 42. Provider On-boarding and Management – Review and Verify Documentation ........ 100
Table 43. Provider On-boarding and Management – Maintain Provider Profile ....................... 100
Table 44. Provider On-boarding and Management Business Rules ......................................... 103
Table 46. Provider Quality Monitoring and Improvement – Prepare for Monitoring .................. 108
Table 47. Provider Quality Monitoring and Improvement – Conduct Monitoring ...................... 108
Table 48. Provider Quality Monitoring and Improvement – Develop Program Improvement Plan
.................................................................................................................................................. 109
Table 49. Provider Quality Monitoring and Improvement – Conduct Follow Up ....................... 109
Table 50. Provider Quality Monitoring and Improvement Business Rules ................................ 112
Table 51. Required Attendance Submission ............................................................................. 116
Table 52. Developed Attendance Roster Schedule .................................................................. 116
Table 53. Generation of a Blank Attendance Roster ................................................................ 117
Table 54. Submitted Attendance Roster ................................................................................... 117
Table 55. Approved Attendance Roster .................................................................................... 118
Table 56. Attendance Roster Processing Business Rules ........................................................ 122
Table 57. Generate Prior Period Attendance Adjustment ......................................................... 126
Table 58. Approve Prior Period Adjustment .............................................................................. 127
Table 59. Revise Child Information ........................................................................................... 127
Table 60. Prior Period Attendance Adjustments Business Rules ............................................. 130
Table 61. Closeout – Develop Schedule for Closeout .............................................................. 133
Table 62. Closeout – Review Closeout for Period .................................................................... 133
Table 63. Closeout – Approve Closeout ................................................................................... 134
Table 64. Closeout – Issue School Readiness/Voluntary Prekindergarten Provider Payments134
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 65. Closeout – Submit Reimbursement Request to OEL ................................................ 135
Table 66. Closeout – Receive Reimbursement ........................................................................ 136
Table 67. Closeout Business Rules .......................................................................................... 142
Table 68. Collections – Questioned Cost Determination .......................................................... 148
Table 69. Collections – Initiate Recovery .................................................................................. 149
Table 70. Collections- Request Repayment of Delinquent Account ......................................... 150
Table 71. Collections- Resolved Recovery ............................................................................... 151
Table 72. Collections- Suspected Fraud Referral ..................................................................... 152
Table 73. Collection Business Rules ........................................................................................ 156
Table 74. Slot Management – Analyze Slot Usage and Develop Slot Strategy ........................ 160
Table 75. Slot Management – Implement Slot Strategy ........................................................... 161
Table 76. Slot Management Business Rules ............................................................................ 163
Table 77. Develop Policy and Manage Programs – Develop Program Policies and Best
Practices ................................................................................................................................... 167
Table 78. Develop Policy and Manage Programs – Manage Programs ................................... 168
Table 79. Develop Policy and Manage Programs – Collect and Analyze Programmatic Data and
Customer Feedback.................................................................................................................. 169
Table 80. Develop Policy and Manage Programs Business Rules ........................................... 171
Table 81. Process ELC Invoice – Develop Schedule for Closeout ........................................... 175
Table 82. Process ELC Invoice – Receive ELC Invoice ........................................................... 175
Table 83. Process ELC Invoice – Review ELC Invoice ............................................................ 176
Table 84. Process ELC Invoice – Approve ELC Invoice ........................................................... 177
Table 85. Process ELC Invoice – Initiate ELC Payment ........................................................... 177
Table 86. Process ELC Invoice Business Rules ....................................................................... 182
Table 87. Create ELC Annual Spending Plan ........................................................................... 186
Table 88. Monitor and Reconcile – Review Expenditures ....................................................... 187
Table 89. Monitor and Reconcile – Review Expenditures ........................................................ 188
Table 90. Monitor and Reconcile – Communicate Utilization and Other Issues ....................... 188
Table 91. Monitor and Reconcile – Resolve Utilization and Other Issues (Part 1) ................... 189
Table 92. Monitor and Reconcile – Resolve Utilization and Other Issues (Part 2) ................... 190
Table 93. Resolve Utilization and Other Issues ........................................................................ 196
Table 94. Monitor Program Eligibility and Instructor Qualifications – Schedule ELC
Accountability Review ............................................................................................................... 200
Table 95. Monitor Program Eligibility and Instructor Qualifications – Review ELC Data .......... 201
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 96. Monitor Program Eligibility and Instructor Qualifications – Review of Representative
Cases ........................................................................................................................................ 202
Table 97. Monitor Program Eligibility and Instructor Qualifications – Develop Accountability
Review Reports ......................................................................................................................... 202
Table 98. Monitor Program Eligibility and Instructor Qualifications- Initiate Questioned Cost
Determination ............................................................................................................................ 203
Table 99. Monitor Program Eligibility Business Rules .............................................................. 208
Table 100. Maintain Data Quality and Provide Service Support – Receive and Review Service
Requests ................................................................................................................................... 212
Table 101. Maintain Data Quality and Provide Service Support – Analyze and Improve Data
Quality ....................................................................................................................................... 212
Table 102. Maintain Data Quality and Provide Service Support – Monitor Data Quality .......... 213
Table 103. Maintain Data Quality and Provide Service Support – Provide System Support .... 214
Table 104. Maintain Data Quality and Provide Service Support – Complete and Close Service
Request..................................................................................................................................... 214
Table 105. Maintain Data Quality and Provide Service Support Business Rules ..................... 219
Table 106. Process Cash Receipts – Receive Payment .......................................................... 222
Table 107. Process Cash Receipts – Deposit Payment ........................................................... 222
Table 108. Process Cash Receipts – Return Payment ............................................................. 223
Table 109. Process Cash Receipts – Determine Payment ....................................................... 223
Table 110. Process Cash Receipts – Create Accounting Entries ............................................. 223
Table 111. Process Cash Receipts – Reconcile Receivables .................................................. 224
Table 112. Process Cash Receipts Business Rules ................................................................. 227
Table 113. Manage Statewide Contracts – Review Contractor Compliance and Resolve Issues
.................................................................................................................................................. 231
Table 114. Manage Statewide Contracts – Receive Contractor Invoice ................................... 231
Table 115. Manage Statewide Contracts – Validate Contractor Invoice ................................... 232
Table 116. Manage Statewide Contracts – Initiate Contractor Payment .................................. 232
Table 117. Manage Statewide Contracts Business Rules ........................................................ 236
Table 118. Examples of Differences ......................................................................................... 238
Table 119. BPR Rollout Activities ............................................................................................. 245
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HP Enterprise Services
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Early Learning Information System (ELIS)
A ME NDME NT HIS T OR Y
Summary of Changes
CR#
Document
Version #
Date
Modified By
Section, Page(s) and Text Revised
0.1
02/02/2011
KLV
Initial Creation
0.2
02/09/2011
KLV
Incorporated Feedback from HP Review
0.3
02/11/2011
LMB
Prepared for Agency Review
0.4
02/15/2011
KLV
Incorporate Additional Feedback from HP
Review
0.5
2/27/2011
KLV/JCV/LMB
Incorporated Agency Feedback and
prepared for Agency review
0.6
3/09/2011
KLV/JCV
Incorporated Agency Clarifications and
Additional Feedback.
1.0
3/2011
LMB
Finalized upon approval
1.1
12/13/2011
JCV
Updated per Corrective Action Plan
1.2
12/19/2011
LMB
Prepared for formal review
2.0
01/12/12
KAA
Prepared for formal submission
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 1
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
1.
INT R ODUC T ION
With the exception of references to publications or external interfaces created by or
associated with the Agency of Workforce Innovation, any reference in this document to
“the Agency for Workforce Innovation,” “the Agency,” or “AWI” implies Florida’s Office of
Early Learning.
1.1
Purpose
The purpose of this document is to describe and document the future-state, To-Be
Business Process Models for the HP Florida Early Learning Information System (ELIS).
This includes the approach for creating the final to-be process models and rolling out the
reengineered Business Processes that will enable stakeholders to effectively use ELIS
and realize the benefits of system implementation. Any reference to AWI throughout this
document implies Florida’s Office of Early Learning.
1.2
Background
ELIS will replace the eighteen-year-old Enhanced Field System (EFS) that was
implemented to manage child care subsidies. One centrally located server database
does not exist; rather there are 34 client server databases located around the state
supporting 31 Early Learning Coalitions (ELCs) and Redlands Christian Migrant
Association (RCMA). Because of the current information system limitations, there are
inconsistent business rules and operating procedures across the state. This includes
variances in data entry and tracking and results in unreliable data and performance
reporting for ELCs and the state.
The ELIS project has been conceived as the best means of eliminating the limitations of
the current system and architecture while, at the same time, establishing and sustaining
new and improved processes that are better able to accomplish the Agency‘s mission
and advance the achievement of the Office of Early Learning’s strategic objectives.
During an earlier stage of the ELIS Project, an experienced team staffed with
knowledgeable practitioners in project management, business process analysis and
requirements definition worked with the Agency for Workforce Innovation (the Agency),
Office of Early Learning (OEL), Early Learning Coalition, and Redlands Christian Migrant
Association subject matter experts (SMEs) to develop reengineered Business Processes
and Requirements for ELIS.
The Agency documented these potential future-state Business Processes and
Requirements in the ELIS OEL Project To-Be Documentation and the ELIS ELC To-Be
Process Documentation, involving a wide cross-section of stakeholders in March 2008.
Facilitated sessions were conducted with the Agency staff to prioritize Business
Processes to be initially enabled by ELIS. When the final requirements were
determined, 7 of the 13 OEL Business Process Models and 17 of the 21 ELC Business
Process Models were targeted for implementation. These Business Process Models are
addressed in this document.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
The following Business Process Models identified in the OEL To-Be Process
Documentation are not currently in the scope of the ELIS solution:
•
BP2 – Develop CCDF State Plan
•
BP3 – Develop Grant Agreements
•
BP5 – Reporting of Grant Match Sources
•
BP7 – Process Annual ELC Inventory
•
BP9 – Monitor ELC Program Performance
•
BP10 – Monitor Fiscal Practices
The following Business Process Models identified in the ELC To-Be Process
Documentation are not currently in the scope of the ELIS solution:
1.3
•
BP2 – Complaints and Appeals Processing
•
BP6 – Child Assessment
•
BP16 – ELC Planning and Performance Monitoring
•
BP18 – Service Provider Contract Compliance Monitoring Process Annual ELC
Inventory
Overview
This document depicts the future state of ELIS and includes:
1.4
•
The Future OEL and ELC Business Process Models
•
Workflow diagrams developed by using the Business Process Modeling Notation
(BPMN) standard method
•
Roll-out of the final to‐be Business Process Models to the Agency, RCMA, and
the ELCs
Audience
The audience for this document is the ELIS project team, ELCs, the Agency and the
OEL.
1.5
References
The following documents are referenced, or have been used in the preparation of this
document:
•
ELIS Project ELC As-Is Process Documentation
•
ELIS Project OEL As-Is Process Documentation
•
ELIS Project ELC To-Be Process Documentation
•
ELIS Project OEL To-Be Process Documentation
•
ELIS Project Use Case Specification
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
•
ELIS Project Business Process Improvement Opportunities
•
ELIS Project Schedule IV-B Feasibility Study FY2009-10
•
FL ELIS Change Management Plan
•
HP FL ELIS Project Deliverable Expectations
•
HP FL ELIS Documentation Management Plan
•
HP FL ELIS Project Management Plan
•
HP FL ELIS Communications Management Plan
•
HP FL ELIS Knowledge Transfer Plan
•
HP FL ELIS Business Process Reengineering Guide
•
HP FL ELIS Joint Application Design (JAD) Packets
•
HP FL ELIS Software Requirements Specifications
These documents can be found on the Agency ELIS Project SharePoint site.
1.6
Glossary
Refer to the HP FL ELIS Project Glossary posted on the Agency ELIS Project
SharePoint site for other terms and definitions related to this project.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
2.
DE V E L OP ME NT OF T HE F UT UR E -S T A T E B US INE S S MODE L
2.1
Overview
Planning for a project that includes Business Process Reengineering (BPR) is critical to
its success. The Agency has invested a considerable amount of time and resources in
planning and preparing for the design, build, implementation, and maintenance of ELIS.
This activity began with developing a consensus on the goals and importance of BPR to
achieve those goals, setting a strategic direction of the project, and defining the scope,
including the identification of Business Processes to be reengineered.
This strategic direction provides a future state of what the Agency wants to achieve
when it has completed the reengineering project. It will also sustain the Agency’s focus
and resiliency through the stress of the reengineering process. If necessary, this can be
a pillar to rally the organization around should morale suffer. It will also be a cornerstone
for change management and communications, while providing a yard stick for measuring
progress. ELIS itself cannot make process changes; only people can make these
changes. However, a systems project presents an occasion and a structure for
improving the way work is done. ELIS is expected to enhance the implementation of
early learning programs by:
•
Improving access to the Early Learning Program and customer service to
parents, providers, and other stakeholders
•
Creating a single point of entry for eligibility data for the School Readiness (SR)
and Voluntary Prekindergarten (VPK) Education Program
•
Optimizing the use of funds and services provided to Florida’s children by
facilitating fiscal management and providing timely data for utilization forecasting
•
Establishing a centralized and consolidated information system that provides
consistent, uniform information across the entire state that each ELC will use to
manage its programs
•
Automating cumbersome manual or paper processes to ensure that critical
information needed to effectively manage the programs is readily accessible to
state and local administrators and policymakers
Agency approval of the Final To-Be Business Processes is through review and
acceptance of this deliverable. A structured Agency deliverable review process is
applied. This process is outlined in the HP FL ELIS Project Deliverable Expectations and
HP FL ELIS Documentation Management Plan within the HP ELIS Project Management
Plan. The Design Phase Gate Review serves as a second and final review and
acceptance of the final to-be process models and is outlined in the HP FL Phase Gate
Review Criteria.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 5
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
2.2
Business Process Reengineering Methodology
For the Florida ELIS Project, HP used a BPR methodology that is broken down into five
phases: planning, analyzing, redesigning, implementing, and rolling out Business
Processes. This Methodology is detailed in a previous deliverable, the HP FL ELIS
Business Process Reengineering Guide.
This allowed HP to build upon the previous work completed by the Agency and to focus
the reengineering efforts on the value added phases. The HP team worked directly with
the Agency to define requirements and validate the previously created ELIS to-be
Business Process models.
HP will continue to validate that the technical design, development, and implementation
plans support the Agency’s business needs throughout the project life cycle. If there are
changes during the course of the project, HP will work with the Agency to identify the
impact of each change and utilize the BPR methodology.
The reengineered Business Processes were documented and delivered during the
Design Phase of the project. HP worked with the stakeholders to validate and reengineer
the current Agency and ELC Business Processes as needed, through:
•
Validating the preliminary to‐be Business Processes; promoting stakeholder
buy‐in and commitment
•
Validating process alignment with business rules and organizational objectives;
and current project scope, making revisions based on feedback as appropriate to
create final to-be Business Process Models
The detailed methodology contained in the HP FL ELIS Business Process
Reengineering Guide is summarized here. This process is shown in Figure 1. As
previously discussed, the initial phases of reengineering work were completed in an
earlier phase of ELIS. Reengineering work in the scope of this document is shown in
bold type.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Analyze
Business
Processes
Understand
Project
•Strategic
Purpose
•Identify
Objectives
•Refine Scope
•AnalyzeCurrent
Processes
•Define As-Is
Processes
•Identify
problems,
needs, and
business
process
improvements
Redesign
Business
Processes
•Identify Business
Process
Improvements
•Define To-Be
Process
•Validate To -Be
Processes
•Identify gaps
between
business
processes
•Final To-Be
Process
Models
Implement
Redesigned
Processes
Roll out
Redesigned
Processes
• Software
•Manage
Development
transition and
• User Acceptance
Change
Test
•Manage ongoing
• Development of
Infrastructure and process
•Continual
materials to
support new
Improvement
processes
• Training
Development
• Knowledge
Transfer
• Test in Pilot
Figure 1. Business Process Reengineering Methodology
2.2.1
Validating To-Be Processes
In an earlier phase of ELIS, the Agency used the As-Is Business Process
documentation, problems and needs identified in conjunction with the OEL and
ELCs/RCMA, and the Business Process improvement recommendations to draft the
preliminary To-Be Business Process Models. Facilitated sessions were conducted with
Agency staff to prioritize the initial Business Processes to be enabled by ELIS. The next
step was to validate and update these Business Process Models to align with current
statutes, laws, and policy.
2.2.1.1 F INA L T O - B E B US INE S S P R OC E S S M ODE L S I NV E NT OR Y
HP began by reengineering the preliminary To-Be Business Process Models remaining
in the scope of ELIS. The Business Processes have been renumbered in order to reflect
the current situation. Table 1 shows the Joint Application Development (JAD) session in
which the Business Process Model was addressed and provides traceability back to the
ELIS ELC To-Be Project Documentation and the ELIS OEL To-Be Project
Documentation Developed by the Agency in 2008.
Note that the To-Be process for Child Developmental Screening was reviewed and
validated in a special Agency-run JAD session beginning on September 2, 2010, not
during the Case Management JAD session. On September 30, 2010 the Agency met
with HP to present the findings of the special workgroup.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 1. Business Process Inventory
J A D S es s ion
G rouping
B us ines s P roc es s
Name
R eferenc e to 2008
E L IS P rojec t T o-B e
P roc es s
Doc umentation
B P1
Resource and Referral
CCR&R
BP1
B P2
Intake
Enrollment
BP3
B P3
Intake
Wait List Management
BP4
B P4
Special Session:
Developmental
Screening
Child Screening
BP5
B P5
Case Management
SR Eligibility
Redetermination
BP7
B P6
Case Management
VPK Re-enrollment/SR
Provider Transfer
BP8
B P7
Case Management
Guardianship Transfer
BP9
B P8
Service Management
Provider On-boarding
and Management
BP10
B P9
Service Management
Provider Quality
Monitoring and
Improvement
BP11
B P 10
Attendance
Management
Attendance Roster
Processing
BP12
B P 11
Attendance
Management
Prior Period Attendance
Adjustments
BP13
B P 12
Grants and Financial
Management
Closeout
BP14
B P 13
Grants and Financial
Management
Collections
BP15
B P 14
Service Management
Slot Management
BP17
B P 15
Policy Planning and
Program Management
Develop Policy and
Manage Programs
BP1
B P 16
Grants and Financial
Management
Process ELC Invoice
BP4
B P 17
Grants and Financial
Management
Monitor and Reconcile
ELC Grant Utilization
BP6
B P 18
Policy Planning and
Program Management
Monitor Program and
Instructor Eligibility
BP8
B P 19
Policy Planning and
Program Management
Maintain Data Quality
and Provide Service
Support
BP11
F inal B P
Numbering
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
J A D S es s ion
G rouping
B us ines s P roc es s
Name
R eferenc e to 2008
E L IS P rojec t T o-B e
P roc es s
Doc umentation
B P 20
Policy Planning and
Program Management
Process Cash Receipts
BP12
B P 21
Policy Planning and
Program Management
Manage Statewide
Contracts
BP13
F inal B P
Numbering
2.2.1.2 J OINT A P P L IC A T ION D E V E L OP ME NT (J A D) V A L IDA T ION S E S S IONS
The preliminary To-Be Business Process Models were reviewed during the JAD
sessions. The JAD sessions were working sessions held in Tallahassee in August and
September of 2010. Representatives from the OEL and each of the ELCs and RCMA
were invited to attend. This process was completed in 15 multi-day sessions. The 15
JAD sessions were held in the Collins Building located at 107 West Gaines Street,
Tallahassee, Florida. To encourage participation, the sessions were available through a
conference call number and an HP Virtual Room (similar to the WebEx used by the
Agency).
An additional Agency-led JAD session was held on September 2, 2010 for review and
validation of the Child Screening To-Be Business Process.
One week in advance of the session, participants received a review packet that included
the high-level overview of the To-Be Business Process Models, a detailed narrative from
the ELIS Project ELC To-Be Process Documentation and or ELIS Project OEL To-Be
Process Documentation and a detailed, narrative, step-by-step description of the
workflow being discussed. During these JAD sessions, the BPR team reviewed the
preliminary To-Be Business Process Models with the participants and validated or
captured changes to the Business Process Model due to:
•
Applicable Changes in State or Federal Statute
•
Changes in Agency Policy, Rules, or Regulations
•
Changes in Grant Requirements
•
Additional Detail Provided
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
ELIS Preliminary (2008)
To-Be Process models
Meetings with Stakeholders to
Validate To-Be Models
(JAD Sessions)
Additional Application of
Changes in Scope, Statute,
Regulation, and Agency Policy
Agency Review
Final To-Be Process
Models
Figure 2. Final To-Be Business Process Models
Additional research and analysis was done to align the to-be models with changes in
scope, statute, regulation, and Agency policy.
2.3
2.3.1
Final To-Be Business Process Models
Methodology
The BPR team used Microsoft Visio to update each preliminary to-be process model
based on the feedback from stakeholders. Visio has an advanced diagramming tool that
includes Business Process Modeling Notation (BPMN) and validation, which is
consistent with the method used in the ELIS Project ELC To-Be Process Documentation
and ELIS Project OEL To-Be Process Documentation. This allowed HP to build upon the
preliminary To-Be Business Process Models, while updating and validating them to the
final To-Be Business Process Models based on JAD sessions.
Each final to-be process model includes:
•
A narrative overview of the Business Process, including a high-level Process
Flow Diagram
•
A detailed narrative explaining each step
•
A detailed business workflows model
•
Identification of Business Process updates
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
2.3.1.1 P R OC E S S F L OW D IA G R A M
The Process Flow Diagram is a high-level overview process map that includes the name
of the process, inputs, outputs, policies, and any information systems being used. An
example of the process flow diagram is included in Figure 3.
This is the title
and reference
number of the
process being
taken.
Florida Statute,
Administrative Code,
Policies and Guidance
These
represent
controls and
tools that
guide the task.
This is the
result of the
process.
Process to be Completed
Outputs
Inputs
A-1
This is the
trigger that
starts the
process.
Information Systems
This
references
any IT systems
being used to
execute the
process.
Figure 3. Process Flow Diagram Key
2.3.1.2 D E T A IL E D W OR K F L OW S
Business processes can be modeled through a number of methods. The BPMN used in
the preliminary To-Be Business Process documentation is a Business Process modeling
technique that can be used for drawing Business Processes in a workflow. For
consistency and comparison, HP used the same modeling method for the final To-Be
Business Process Models.
2.3.1.2.1 Business Process Modeling Notation (BPMN)
BPMN is considered a best practice and industry standard for Business Process
modeling, whether for simple documentation, analysis, or executable implementation.
BPMN was developed by Business Process Management Initiative (BPMI) in 2004 and
is currently maintained by the Object Management Group, Inc. (OMG). The BPMN
technique provides a standard graphical notation for specifying Business Processes in a
workflow.
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
The primary goal of BPMN is to provide a notation that is readily understandable by all
business users, from the business analysts that create the initial drafts of the processes,
to the technical developers responsible for implementing the technology that will perform
those processes, and finally, to the business people who will manage and monitor those
processes. Thus, BPMN creates a standardized bridge for the gap between the
Business Process design and process implementation.
A key element of BPMN is the choice of shapes and icons used for the graphical
elements identified in this specification. The intent is to create a standard visual
language that everyone will recognize and understand. Ultimately, BPMN provides the
ability to understand internal Business Processes in a graphical notation and to
communicate these procedures in a standard manner.
2.3.1.2.2 Core BPMN Elements
The following symbols are the BPMN elements that were used to develop workflow
diagrams in the Business Process Model.
Table 2. Core BPMN Elements
Pool
Pools and Lanes represent
responsibilities for activities in a
process. A pool or a lane can be an
organization, a role, or a system.
Lane
Lanes sub-divide pools or other lanes
hierarchically.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Lane
A small Looping indicator will be
displayed at the bottom-center of the
activity if it will happen more than once
in a process.
Lane
Activity
Looping
Pool
An Activity is a generic term for work
that an agency performs
Pool
Activity
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
A Gateway is used to control the
divergence and convergence of
sequence flow. A gateway will
determine branching, forking, merging,
and joining of paths. Internal markers
will indicate the type of behavior control.
Variations on the gateway include:
•
Exclusive decision and merging
•
Event based can start a new
instance of a process
•
Parallel forking and joining
Gateway
Sequence
Flow
Sequence Flow defines the execution
order of activities in a process.
Conditional
Flow
A Conditional Flow is a sequence flow
with a condition expression (mini
diamond) that is evaluated at runtime to
determine whether or not the sequence
flow will be used. If the conditional flow
is outgoing from a gateway, then the
line will not have a mini-diamond
Message
Message: A Message is a contact or
communication transmitted through a
message flow. It is represented as an
independent message or an activity with
a sending or receiving message. This
can represent a face-to-face
communication, a letter, an e-mail, as
well as a system generated
communication.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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Send
Receive
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Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Message
Flow
A Message Flow is used to show the
flow of messages between two
organizational boundaries that are
prepared to send and receive. Message
flow can be attached to pools, activities,
or message events.
Association
An Association is used to associate
text or other annotations to activities or
arrows on a diagram.
Text
Annotation
Text Annotations provide additional
text information for the reader of a
BPMN diagram
Text
An Event is something that happens
during the course of the process.
Events can trigger the start of a
process, can send and receive
messages, disrupt a process, and link
to another process or end a process.
There are three main types of events
they are as follows:
Event
Start Events simply indicate where a
process begins or starts.
Intermediate Events occur between a
start and end event.
End Event indicates where a process
ends or terminates.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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Start
Intermediate
End
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Additional Events include:
Message Events: Indicate when a
message is being received or sent.
Additional
Events
Catch
Throw
Linking Events: Links processes and
can be used to connect two sections of
a long process.
Catch
Throw
Multiple Events: Indicates multiple
triggers can start the event.
Catch
Throw
Timer Events: Indicates a specific time
date or cycle for an activity.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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Catch
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.
T O-B E B US INE S S P R OC E S S MODE L S
3.1
BP-01 Child Care Resource and Referral
3.1.1
Process Overview
The Child Care Resource and Referral (CCR&R) Process is part of the CCR&R
functional group. CCR&R is the initial entry point for all customers seeking information
about early learning programs. The customers using this service vary greatly as does
the information and referrals provided by the CCR&R staff using ELIS. CCR&R staff will
conduct CCR&R Interviews and generate child care referrals, determine preliminary
eligibility for early learning services, schedule intake appointments, or place applicants
on the wait list. CCR&R staff will also provide referrals to other community resources
and provide consumer education/consultation.
The following assumption has been made for the To-Be CCR&R process:
1. RCMA does not provide referrals/consumer education and consultation.
3.1.1.1 A C T OR S
•
ELC Intake/Eligibility Specialist
•
ELC CCR&R Specialist
•
Other ELC Departments
•
Parents/Guardians
•
Providers
•
Customers, can include:
•
Parents/Guardians
•
Vendors
•
Providers
•
Trainers
•
Volunteers
•
Employers
•
Funders
•
Other Agencies
•
School Districts
•
Teachers
•
Chamber of Commerce
•
Consultants
•
General Public
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.1.2
CCR&R Process Flow Diagram
The following high-level diagram depicts the CCR&R process.
To-Be
Child Care
Resource and
Referral
Need for
Additional
Program
Information
Parents/
Guardians
Determine Needs
Intake
Appointments
B2
ELIS
CCR&R Program
Requirements: 60
BB 9.300
Determine Nature
of Contact
Determine
Preliminary
Eligibility
B1
ELIS
Information
Services
Need/
Customer
Feedback
OEL Rules & Policies,
Statutes
ELC Policies and Procedures
FAC 60 BB-4.300/60 BB-8
Need
Provider
Referral
OEL Rules &
Policies, Statutes
ELC Annual Plan
Create Provider
Referral
Type of
Contact
B3
ELIS
A1
OEL Rules &
Policies, Statutes
ELC Annual Plan
Service Provider
Contract
Service Provider
Protocols
ELIS
Providers
Supply Provider
Information
C1
ELIS
Other
Contacts
Handle Other
Contacts
D1
ELIS
Answered
Questions
CCR&R
provider
entered into
ELIS
Need for
Additional
Community
Services
Offers Referral to
Community
Services
B4
New or
Prospective
Provider
Literature
Technical
Assistance
Referral
ELC Policies and
Procedures
ELC Annual Plan
FAC 60 BB- 9.300
Applicant on
Wait List
Provider
Referral Listing
Consumer
Education
Informational
Materials &
Community
Resources
Early Learning
and Child
Welfare
Information
Community
Resources
Referral
Informational
Materials
ELIS
Need for
Additional
Information
ELC Policies and
Procedures
ELC Annual Plan
FAC 60 BB- 9.300
Provides
Consumer
Education/
Consultation
Consumer
Education
Consultation
B5
Informational
Materials
Customer
Feedback
ELIS
Child Care Resource and Referral
Services
Figure 4. Child Care Resource and Referral Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.1.3
CCR&R Detailed Process Narrative
Table 3. CCR&R – Determine Nature of Contact
P roc es s
Child Care Resource Referral
T riggers
Customer Contacts ELC with Need or Feedback
P roc es s S tep
A1 – Determine Nature of Contact
A c tivities
1. Customers (see Note 1) contact the Child Care Resource and Referral unit
to request information and/or services or provide feedback.
2. A CCR&R Specialist determines the nature of the contact (see Note 3).
Notes
Note 1: Customers include:
- Parents/Guardians
- Vendors
- Providers:
- New
- Current
- Prospective
- Other Agencies
- School Districts
- Teachers
- Chamber of Commerce
- Consultants
- General Public
- Trainers
- Volunteers
- Employers
- Funders
Note 2: Where a customer chooses to contact the CCR&R directly (rather than
through a Portal). The CCR&R Specialist enters their initial
information into ELIS.
Note 3: Contact types include:
•
Parent / Guardian
– VPK program
– Financially assisted child care programs
– Customer Feedback
– Request for Other Information
– Community Resources
– Child Care Programs
– Other Need
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Outputs
•
Child Care Providers
– Technical Assistance
–
Customer Feedback
– Update Information
– Other Need
•
Other
– Customer Feedback
– Other Need
1. Identified Needs
2. Preliminary Data Entered into ELIS
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 4. CCR&R – Determine Needs
P roc es s
Child Care Resource Referral
T riggers
Contact is Parent Request for Information
P roc es s S tep
B1 - Determine Needs
A c tivities
Parents/Guardians
1. The applicant (CCR&R Specialist or the parent) enters basic information
(Note 1) into ELIS with the option to generate a provider referral, ascertain
preliminary eligibility for programs, and receive consumer education
and/or referral to community resources.
2. The CCR&R Specialist is notified when an application has been
completed so that they can review and validate the information presented
by the parent.
3. The CCR&R Specialist reviews the information entered, if requested or
necessary, and confers (either in person, over the phone, email, or fax)
with the parent regarding their needs and provides them information on
child care and early learning.
Notes
Note 1: Basic information includes but is not limited to:
Outputs
•
Provider referral data:
– Demographic data
– Reason for care
– Child care issues
•
Eligibility data for VPK:
– Child’s date of birth
– Residency
•
Eligibility data for financially assisted child care:
– Family income
– Family size
– Child’s age and legal name
– Parent working, attending school, or disabled
1. An initial Determination of Family Needs
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 5. CCR&R – Determine Preliminary Eligibility
P roc es s
Child Care Resource Referral
T riggers
Additional Program Assistance is Requested
P roc es s S tep
B2 – Determine Preliminary Eligibility
A c tivities
1. Based on the information provided and the type of additional assistance
requested, the CCR&R Specialist determines the program(s) and billing
group(s) for which the child/family might be eligible (See Note 1).
2. If the child might be eligible and enrollment is currently open for the billing
group:
A. The CCR&R Specialist schedules an appointment for the parent with an
Intake Specialist.
B. The CCR&R Specialist gives the parent and information packet and an
appointment reminder to the parent. This packet includes the required
documentation that the parent must bring to the Intake appointment.
C. The Intake Specialist is notified about the appointment.
Notes
3. If enrollment is not currently open for the billing group: (See Note 2):
A. The CCR&R Specialist adds the child to the School Readiness wait list
in ELIS and may also determine the child’s priority based on the ELC’s
enrollment rules.
B. The CCR&R Specialist informs the parent of the re-validation date and
their responsibility to provide current information at that time so that revalidation can be conducted.
C. The CCR&R Specialist offers CCR&R referrals, consumer education
and community resources, as appropriate.
4. If they appear to be ineligible (See Note 3):
A. The CCR&R Specialist informs them they are ineligible and offers
CCR&R referrals, consumer education and community resources, as
appropriate.
Note 1:
SR Eligibility:
•
Is the applicant working, attending school or disabled?
•
Is the applicant income <= 150% Federal poverty level?
• TANF/Protective Services Referral
VPK Eligibility:
•
Is the child a Florida Resident?
• Is the child 4 years old as of September 1 of the VPK school year?
Note 2: Enrollment may not be open for a variety of reasons: funding,
provider capacity, provider choice/capacity, and so forth.
Note 3: A customer determined ineligible has the right to submit an appeal.
Outputs
1.
2.
3.
4.
Appointment with an Intake Specialist
School Readiness Wait List Placement
Other Child Care and/or Early Learning Information
Community Resources
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 6. CCR&R – Create Provider Referral
P roc es s
Child Care Resource Referral
T riggers
Provider Referral Requested
P roc es s S tep
B3 – Create Provider Referral
A c tivities
1. Based on the requested search area and criteria of the customer, a listing
of provider profiles is produced.
2. The CCR&R Specialist provides the listing along with educational
brochures and information related to early learning, consumer education
and community resources, as needed.
Notes
None
Outputs
1.
2.
3.
4.
Provider Referral listing,
Early Learning and Child Welfare Information
Consumer Education
Informational Materials and Community Resources (if needed)
Table 7. CCR&R – Community Resources Requested
P roc es s
Child Care Resource Referral
T riggers
Community Resources Requested
P roc es s S tep
B4 – Community Resources Requested
A c tivities
1. The CCR&R Specialist reviews the information entered and confers (either
in-person, over the phone, email, or fax) with the parent regarding their
needs and provides them information on community resources.
Notes
None
Outputs
1. Community Resources Referral
2. Informational Materials
Table 8. CCR&R – Provide Consumer Education/Consultation
P roc es s
Child Care Resource Referral
T riggers
Consumer Education/Consultation Requested
P roc es s S tep
B5 – Provide Consumer Education/Consultation
A c tivities
1. The CCR&R Specialist reviews the information entered and confers (either
in-person, over the phone, email, or fax) with the parent regarding their
needs and provides them with consumer education/consultation.
Notes
None
Outputs
1. Consumer Education Consultation
2. Informational Materials
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 9. CCR&R – Supply Provider Information
P roc es s
Child Care Resource Referral
T riggers
Contact is a Provider Request for Information
P roc es s S tep
C1 – Supply Provider Information
A c tivities
Interes t in P roviding E arly L earning S ervic es
1. The CCR&R Specialist determines what type of business the contact is
interested in (home or center, private or public funding, VPK, School
Readiness provider) and provides the pertinent information, or refers the
contact to another agency.
2. The CCR&R Specialist gives (directly, mail, e-mail) the provider relevant
educational/informational materials.
3. The CCR&R Specialist enters CCR&R providers into ELIS and verifies they
are legally operating providers.
4. The CCR&R Specialist gives (directly, mail, e-mail) the provider Quality
Initiatives.
E arly L earning P roviders
1. The CCR&R Specialist records relevant information regarding the inquiry.
2. The CCR&R Specialist provides the pertinent information and inclusion
Warm-Line support services to the provider.
Notes
None
Outputs
1. Answered Questions
2. Provider Literature
3. CCR&R Provider Entered into ELIS
Table 10. CCR&R – Handle Other Contacts
P roc es s
Child Care Resource Referral
T riggers
Contact is Another Type of Request or a Complaint
P roc es s S tep
D1 – Handle Other Contacts
A c tivities
1. The CCR&R Specialist handles other requests for information and referrals
on a case-by-case basis and refers to the appropriate departments.
2. The CCR&R Specialist refers providers seeking technical assistance to the
appropriate departments.
3. The CCR&R Specialist receives and processes customer feedback.
Customer feedback may be recorded in ELIS case notes.
Notes
None
Outputs
1. Referrals to Technical Assistance
2. Customer Feedback
3. Complaints or Appeal of Decision
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.1.4
CCR&R Detailed Workflows
Enters Request into Portal
(Alternatively may
contact CCR&R)
Enters Request into Portal
(Alternatively may
contact CCR&R)
Enter Request
Information or
Feedback
End
Enter Request
Information or
Feedback
End
Enter Request
Information or
Feedback
Enters Request into Portal
(Alternatively may
contact CCR&R)
ELC CCR&R Specialist
Parents/
Guardians
Providers
Customers
The following process workflows describe the work activities for each process step in the process flow diagram above.
End
Handle Other Contacts D-1
Determines Nature
of Contact
Receives Information
from Portal
Or Customer contacts ;CCR&R;
Specialist enters
Information into ELIS
Supply Provider Information C-1
Determine Needs B-1
Figure 5. Determine Nature of Contact Process (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Confirms
Requested
Information
Provide
Application
Received
Confirmation
Request
Parents/Guardians
Parent Request
For Information
End
Received Provider
Referral List
Received
Community Resource
Information
Received
Request
Confirmation of
Information
Create Provider
Referral List
End
CCR&R Specialist
ELC
Yes
Enters Basic
Information
Application
Reviewed
Link from
Determine
Nature of
Contact
or
Determine
Preliminary
Eligibility
Validate
Applicant
Information
End
Confirm
Applicant
Information
Confirmation
Necessary ?
Provide
Community
Resources
End
No
Provide Consumer
Education/
Consultation
End
Link to Determine
Preliminary
Eligibility B-2
Figure 6. Determine Needs, Create Provider Profile, Offer Community Services, and Provide Consumer Education/Consultation
Process Flow Diagram (B1, B3, B4, and B5)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 25
HP Enterprise Services
ELC Intake/
Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Other
Information
CCR&R Specialist
ELC
Parents/
Guardians
Appointment
Information
Link from
Determine
Needs
and
Create
Provider
Referral
Determine
Preliminary
Eligibility
Preliminarily
Eligible
No
Appointment
Information
End
End
End
Revalidation
End
information and Literature
Provide Other
Information
End
Yes
Enrollment
Open
No
Yes
Schedule
Appointment with
Intake Specialist
Provide
Appointment
Information
Create Wait List
Entry
End
Provide
Re-Validation
Information and
Literature
End
Figure 7. Determine Preliminary Eligibility (B2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Customers
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Provides
Additional
Information
Providers
Request for
Additional Information
Received
Provides
Additional
Information
End
Request to Be a
CCR&R Provider
Relevant Materials
Received
End
Other
Departme
nts
Request for
Additional Information
Received
Relevant Materials
Received
End
No
Enters and verifies
CCR&R Provider
Provide Relevant
Materials
CCR&R Specialist
ELC
End
Assistance
Referral
To Other ELC
Department
Yes
Refer to Others
End
Request
Link from
Determine
Nature of Contact
Request
Additional
Information
Reviews Request
or Feedback
Determines
Request or
Feedback
Feedback
Determines if
Complaint/
Appeal
Yes
No
Process Feedback
End
Process Complaint
or Appeal
End
Figure 8. Handle Other Contacts and Supply Provider Information Process Flow Diagram (C1/D1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 27
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.1.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process. ID Rule
Table 11. CCR&R Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A,
Part 98
Child Care
Development Fund
N/A
2002
Florida State Statute
Section 411.0101
Child care and early
childhood resource
and referral
Provides Statutory
authority regarding
establishment of
statewide CCR&R
responsibilities and
services
March 26,2010
F.A.C. 60 BB 9.300
Child Care Resource
and Referral
Establishes the statewide
responsibilities and
CCRR Services which
include:
August 10, 2009
• Early learning
referrals,
• Consumer education
resources,
• Information regarding
community resources
Child Care
Resource and
Referral Program
Requirements
Same
Provides Agency’s
CCR&R program
requirements from 60BB9.300
Child Care Resource and
Referral Rule, the
Agency’s Grant
Agreement and the 2009
CCDF Plan
August 20, 2010
ELC Policies and
Procedures
N/A
N/A
N/A
F.A.C. 60BB-4.300
Waiting List
Procedures
Establishes waiting list
procedures for the
Agency and the ELCs
April 21, 2003
F.A.C. 60BB-8.200
Documenting Child
Eligibility for the VPK
Program
Establishes the required
requirements and
documentation for VPK
eligibility
May 24, 2007
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.1.6
Traceability
3.1.6.1 U S E C A S E S
The following Use Cases are associated with the CCR&R To-be Business Process
Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-01: Determine Preliminary Eligibility
•
UC-COM-02: Request Child Care Resource and Referral
•
UC-COM-14: Provide Technical Assistance
•
UC-ELC-16: Process SR/VPK Provider Application
•
UC-ELC-17: Maintain SR/VPK Provider Information
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-10: Manage User Profile
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.1.6.2 R E QUIR E ME NT S
The requirements associated with the CCR&R To-Be Business Process Model can be
found in the Business Process to Requirements Traceability Matrix (RTM) attached as
HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V1.0.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.2
BP-02 Enrollment
3.2.1
Process Overview
The Enrollment Process is part of the Intake functional group. Enrollment includes the
Early Learning Coalition (ELC) Business Processes performed to determine and certify
eligibility for School Readiness (SR)/Local and Voluntary Pre-Kindergarten (VPK)
education programs, assisting parents with selecting appropriate SR/Local and VPK
providers, enrolling eligible children with selected SR and VPK providers, and ongoing
wait list management.
The following assumptions have been made for the To-Be Enrollment process:
1.
Initial applicant contact with the ELC and preliminary screening for eligibility and
wait list placement will occur in Child Care Resource & Referral (BP-01).
2.
The Enrollment process will be integrated and streamlined allowing both SR/Local
eligibility certification and VPK eligibility determination to be performed by a
standardized process and ELC Intake/Eligibility Specialist role(s).
3.
Delayed enrollment allows a child to start the VPK program as a delayed enrollment
if at least 10 percent of the instructional hours remain in the VPK prekindergarten
class.
At any point in the process Parents/Guardians can be referred to CCR&R for
additional consumer education, technical assistance, referrals to community
services or early learning services.
4.
3.2.1.1 A C T OR S
•
ELC Intake/Eligibility Specialist
•
Parents/Guardians
•
Referring Agency
•
Providers
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 30
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.2.2
Enrollment Process Flow Diagram
The following high-level diagram depicts the Enrollment process.
Figure 9. Enrollment Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.2.3
Enrollment Detailed Process Narrative
The following process narrative describes the work activities for each process step in the
process flow diagram above.
Table 12. Enrollment – Review Application and Follow up
P roc es s
Enrollment
T rigger
•
•
Applicant and Preliminary Eligibility Information Entered into Elis
Notification of Wait List Selection Received
P roc es s S tep
A1 – Review Applicant Information and Follow-up
A c tivities
1. The Intake/Eligibility Specialist is notified of applicant selection from the Wait List
or by CCR&R of completion of initial documentation of applicant information,
information/ service needs and preliminary screening.
2. The Intake/Eligibility Specialist reviews applicant information, including referrals
from external agencies to determine the need for additional information (from
applicants or external agencies) and to follow up as required for information or
interview scheduling.
Notes
Note 1: Initial applicant contact with the ELC to apply for desired services (School
Readiness or VPK) may be with CCR&R Specialist (office walk-in or
telephone call), by referrals, at VPK events/group sessions or by parent
completing an online application for services.
Note 2: If the applicant is a walk-in and the CCR&R Specialist documents initial
applicant information, service need and preliminary eligibility, the intake
interview could occur during the applicant walk-in visit.
Note 3: School Readiness (SR)/Local referral types include: Relative Caregiver- at
risk; at risk of abuse/neglect; Temporary Cash Assistance (TCA);
Transitional Child Care (TCC); Child Care Executive Partnership (CCEP);
Teenage Pregnancy Program (TAPP): Local Education Agencies(LEAs) and
local funders.
Outc omes
1. Review of Applicant Information Complete
2. Follow-up Performed (needed information and/or scheduled interview)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 13. Enrollment – Alternative Child Registration
P roc es s
Enrollment
T rigger
Parent Chooses to Enroll Child at the Provider
P roc es s S tep
A1 (Alternative) – VPK pilot project - 60BB-8.2015 (VPK Child Registration Pilot
Project)
A c tivities
1. VPK pilot project - 60BB-8.2015 (VPK Child Registration Pilot Project)
2. The customer submits the VPK 01P form and documentation to the provider.
3. The provider forwards the form and documentation to the ELC.
4. The ELC Specialist verifies the documentation, approves it, and enrolls the child
with the provider.
Notes
None
Outc omes
Child Enrolled in VPK
Table 14. Enrollment – Conduct Intake Interview
P roc es s
Enrollment
T rigger
Intake Interview Scheduled
P roc es s S tep
A2 – Conduct Intake Interview
A c tivities
1. The Intake/Eligibility Specialist reviews and validates the required documentation
provided by the applicant during the interview, including accessing and validating
any pre-applications submitted online, if the interview occurs.
2. The Intake/Eligibility Specialist determines if the applicant is interested in wraparound SR services when applying for VPK.
3. The Intake/Eligibility Specialist enters detailed information into ELIS during the
intake interview including, as required based on services needed (SR/Local,
VPK), the complete family information, required eligibility documentation, income
worksheet (SR/Local), Informed Parental Consent for Delayed Enrollment VPK04 if necessary, tasks completed, and case notes.
4. The Intake/Eligibility Specialist determines if the applicant is eligible and refers
the applicant to CCR&R if the are ineligible for SR/Local or VPK services.
5. The Intake/Eligibility Specialist confirms with the applicant if a provider has been
chosen and queries ELIS to ensure that the chosen provider is active, provides
the type of care needed during the desired period (VPK fall or summer term), has
space available, and meets the delayed enrollment policy.
6. If VPK services are desired, the Intake/Eligibility Specialist generates a VPK
Provider Profile list from ELIS and provides the Provider Profile list to the parent.
If SR/Local services are desired, the Intake/Eligibility Specialist may generate a
Provider Referral list from ELIS and provide the Provider Referral list to the
parent. If a provider is not in the system or if there is not a current provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
agreement, go to Provider On-boarding.
7. The Intake/Eligibility Specialist maintains copies of required documentation for
the applicant’s case file and returns the originals to applicant.
Notes
Note 1: The Intake/Eligibility Specialist uses an eligibility checklist to guide the
interview and eligibility certification process including documenting and
tracking of all required tasks and documentation.
Note 2: Required SR/Local eligibility documentation includes: proof of employment
and income, proof of parent school attendance, child date of birth
documentation, valid parental identification and relationship to each child,
proof of disability, child’s citizenship, household size, referral, and proof of
county residency.
Note 3: Required VPK eligibility documentation includes: child date of birth
documentation and proof of Florida residency, proof of immunization
(school-based programs), and proof of county residency.
Note 4: For initial SR/Local eligibility, the total family income must be at or below
150% of the Federal Poverty Level (unless other funds are available). Other
applicants may be served if local or other funds, such as Child Care
Executive Partnership (CCEP), TANF Transitional Child Care (TCC),
Teenage Pregnancy Program (TAPP), or local funders.
Note 5: The delayed enrollment policy is OEL-PI-0031-05
Outc omes
1. Intake Interview Completed with Eligibility Information Documented in ELIS
2. Provider Profile/List Generated and Provided to Parent
Table 15. Enrollment – Certify School Readiness Eligibility
P roc es s
Enrollment
T rigger
SR Intake Interview Scheduled
P roc es s S tep
A3 – Certify SR Eligibility
A c tivities
1. The Intake/Eligibility Specialist reviews and validates the SR/Local eligibility
group and fund source for which the parent or child is eligible and the parent copayments that have been calculated based on data entered into ELIS.
2. The Intake/Eligibility Specialist reviews the SR/Local child care application, the
income worksheet, terms and conditions and parent co-payments (including
county differentials) with the applicant to ensure understanding of the amount,
how calculated, responsibility for co-payment to provider selected, accuracy and
completeness of data.
3. The applicant agrees to and signs, as required, the application, terms and
conditions, and income worksheet.
4. The Intake/Eligibility Specialist notifies the applicant and referring agency of
eligibility decision, and of the right to submit grievances or appeals.
5. The Intake/Eligibility Specialist requests that the applicant complete a Customer
Feedback Survey.
Outc omes
1. School Readiness Eligibility Certified and Co-payments Determined
2. Information Documented in ELIS
3. Grievance/Appeal
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 34
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
4. Customer Feedback
Table 16. Enrollment – Certify VPK Eligibility
P roc es s
Enrollment
T rigger
Voluntary Pre Kindergarten Intake Interview Scheduled
P roc es s S tep
A4 – Certify VPK Eligibility
A c tivities
1. The Intake/Eligibility Specialist reviews a copy of the completed VPK 01 or VPK
01P application form for parent validation and agreement.
2. The Intake/Eligibility Specialist notifies the applicant of eligibility decision, and of
the right to submit grievances or appeals.
3. The Intake/Eligibility Specialist reviews ELC services, AWI-VPK 06 (Voluntary
Pre-Kindergarten Parent Handbook), and other information with the parent.
4. The parent signs the verification of receipt of the AWI-VPK 06 and other provided
information.
5. The Intake/Eligibility Specialist enters documentation of the intake interview and
parent receipt of required documentation in ELIS.
6. The Intake/Eligibility Specialist may request that the applicant provide customer
feedback.
Note 1: If the applicant does not provide the required eligibility documentation, the
applicant is requested to provide the missing documentation prior to
continuing the VPK eligibility determination process.
Outc omes
1. Applicant’s VPK Eligibility Established
2. Completed VPK 01 (Parent Application) or VPK 01P (Pilot Program Application)
3. Information Documented in ELIS
4. Grievance/Appeal
5. Customer Feedback
Table 17. Enrollment – Process School Readiness Enrollment
P roc es s
Enrollment
T rigger
•
•
Applicant SR Eligibility Documented in ELIS
School Readiness Provider Selected
P roc es s S tep
A5 – Process School Readiness/Local Enrollment
A c tivities
1. The Intake/Eligibility Specialist enters child enrollment data into ELIS for the
School Readiness(SR) provider selected, including care start date, schedule
(calendar, if applicable) and match source code (BG-8 and Child Care Executive
Partnership) as required.
2. The Intake/Eligibility Specialist provides copies of the required documents to the
applicant, the SR provider and the referring agency (as required).
3. The Intake/Eligibility Specialist maintains documentation of required
documentation at the ELC.
Notes
Note 1: The Intake/Eligibility Specialist removes applicants who have been selected
from the Wait List upon enrollment per the Wait List Management process.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Outc omes
1.
2.
Completed Child Care Application, Income Worksheet, and Terms and
Conditions
Enrollment Data Entered in ELIS
Table 18. Enrollment – Process VPK Enrollment
P roc es s
Enrollment
T rigger
•
•
Applicant VPK Eligibility Documented in ELIS
VPK Provider Selected
P roc es s S tep
A6 - Process VPK Enrollment
A c tivities
1.
2.
3.
4.
5.
The Intake/Eligibility Specialist completes the top section of the Certificate of
Eligibility (VPK 02) and provides the completed certificate to the parent.
The parent signs the VPK 02 - Certificate of Eligibility and provides the form to
the VPK provider they have selected.
Upon receipt of the completed VPK Certificate of Eligibility, the VPK provider
completes the Provider section of the VPK certificate and obtains a
confirmation number associated with the certificate.
The Intake/Eligibility Specialist finalizes the enrollment of the child by validating
and entering the child’s start date and classroom assignment into ELIS for the
VPK provider selected.
If the provider fails to submit or contact the Intake/Eligibility Specialist regarding
the completed Certificate, the Intake/Eligibility Specialist contacts the VPK
provider to complete the enrollment.
Notes
Note 1: The VPK provider may either contact the ELC to provide the child start date
and classroom assignment, or submit the completed certificate to the
Intake/Eligibility Specialist to obtain a confirmation number associated with
the VPK Certificate.
Note 2: Per 60BB-8, to complete a child’s enrollment, the VPK provider must submit
the child’s name and the VPK certificate number and associate the child
with the provider’s VPK class.
Outc omes
1.
2.
Completed and signed VPK 02 - Certificate of Eligibility
VPK Enrollment Completed in ELIS
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 36
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Intake/Eligibility Specialist
Enrollment Detailed Workflows
Reviews Application
Information
Wait List
Additional
Information
Required?
Schedule Interview
No
Review
Completed
Receive Initial Application
CCR&R
Yes
Request Additional
Information
Document
Information
Receive Additional
Information
External Agency
Parents/
Guardians
ELC
3.2.4
Provide Additional
Information
End
Referring Agency
Request for
Information Received
Provide Additional
Information
Request for
Information Received
End
Figure 10. Review Applicant Information and Follow Up (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 37
HP Enterprise Services
Parent enrolls
child at the Provider
Verifies
Documentation
Approves
Documentation
Enrolls Child with
the Provider
Child Enrolled in VPK
VPK 01P
Submits
the VPK O1P form
and supporting
documents to the
Provider
Providers
Parents/
Guardians
ELC Intake/
Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
VPK O1P form
End
Provider Forwards
the Form and
Documentation to
the Coalition
End
Figure 11. Alternative Point of Entry - VPK Pilot Program (A1-ALT)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 38
HP Enterprise Services
Parents/
Guardians
ELC Intake/Eligibility Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Link to CCR&R
BP 1
No
Intake
Interview
Scheduled
Conducts Intake
Interview,
validates
documentation
Determines
Services
Requested
Reviews,
Validates and
Records
Documentation
If Provider
Chosen?
No
Yes
Verify in ELIS that
Provider is active
and a match
Maintains Copies
of Required
Documentation
Returns
Documentation to
the Applicant
Certify VPK
Eligibility
Yes
Provides a
Provider Profile
or Provider
Referral List
Eligible
Provides
Information
Provider Chosen
Intake
Interview
Scheduled
No
Certify
SR/Local Eligibility
Receive Provider
Profile or Provider
Referral List
Returned
Documentation
End
Yes
Figure 12. Conduct Intake Interview (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 39
HP Enterprise Services
Intake
interview
scheduled
Reviews and
Validates the SR
Eligibility Group and
Fund Source
Reviews the
Income Worksheet,
Terms and
Conditions, CoPayment ad
accuracy
Reviews the Income
Worksheet, Terms
and Conditions, and
Co-Payment
Referring Agency
Parents/Guardians
ELC Intake/Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Receives the
Application, Terms,
and Conditions, and
Income Worksheet
Signs and
Returns the
Application, Terms,
and Conditions, and
Income Worksheet
Notifies Applicant
and referring agency
of Eligibility Decision
and or right to
grievance or appeal
Request Customer
Feedback
Notice of Eligibility
and/ or
Right to Appeal
or Grieve
Record Customer
Feedback
Notice of Eligibility
certified and
documented
Provide Customer
Feedback
End
Notice of Eligibility
Figure 13. Certify School Readiness Eligibility (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 40
HP Enterprise Services
Parents/Guardians
ELC Intake/Eligibility Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
VPK Interview
Scheduled
Reviews Eligibility
and VPK01 Parent
Application and
Supporting
Documents
Start
Notify Applicant
and Referring
Source of Eligibility
and Right to Appeal
Receives Notice of
Eligibility and Right
to Appeal
Reviews Information
with the Parent
Parent Handbook
Receive Verification
Receipt
Signs and Returns
Verification of
Receipt
Request to
Applicant to
Provide
Documentation
Documents
Interview
information and
Parent Receipt of
Documentation
Requests Customer
Feedback and
Documents in ELIS
Eligibility
Established
and Documented
Returns Verification
of Receipt
Verification
of Receipt
End
Figure 14. Certify Voluntary Pre-Kindergarten Eligibility (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 41
HP Enterprise Services
SR/Local Eligibility
Documented
in ELIS
Provider Selected
Enter Child
Enrollment Data into
ELIS for Provider
Selected
Parents/
Guardians
ELC Intake/Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Provide Enrollment
Documents
Child Care
Application Completed
Enrollment Documents
Referring
Agency
Maintains
Documentation
End
Providers
Enrollment Documents
Enrollment Documents
Figure 15. Process School Readiness/Local Enrollment (A5)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 42
HP Enterprise Services
SR/Local Eligibility
Documented in ELIS
Provider Selected
Completes the top
section of the
Certificate of
Eligibility (VPK-02)
Provider has
submitted or
contacted
VPK-02
Certificate of Eligibility
VPK-02
Validates and enters
child’s start date
and classroom into
ELIS
VPK Enrollment
completed in ELIS
Contacts the
VPK Provider to
complete
Enrollment
No
Parent Signs
Certificate of
Eligibility (VPK-02)
Yes
End
Providers
Referring
Agency
Parents/
Guardians
ELC Intake/Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Certificate of Eligibility
VPK-02
Completes the
Provider section and
obtains confirmation
number
End
Figure 16. Process Voluntary Pre-Kindergarten Enrollment (A6)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 43
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.2.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 19. Enrollment Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR Subtitle A,
Part 98.20(b)
Child Care
Development Fund:
A Child’s Eligibility
for Services
Application Process:
2002
State CCDF Plan
•
•
60BB-4.100, 4-201207
45 CFR Subtitle A,
Part 98.20(b)
State CCDF Plan
Child Care
Development Fund:
A Child’s Eligibility
for SR Services
•
60BB-4.100, 4-201,
202, 203, and 4.206
A Child’s Eligibility
for SR Services
State CCDF Plan
April 21, 2003
2002
Must have a documented,
complete valid referral for
each child
(FFY 2010-2011)
Must include an allowable
authorization period
April 21, 2003
Must deliver services for priority
groups within ten days
Early Learning Grant
Agreement
45 CFR Subtitle A,
Part 98.20(b)
(FFY 2010-2011)
Must include a payment
certificate signed by the
parent/guardian and the
provider
Referrals:
•
State CCDF Plan
Must include an
application signed and
dated by the
parent/guardian
(FFY 2010-2011)
(July 1, 2010)
Eligibility
Period and
Redetermination
Hours of care authorized must
relate to hours of activity
(including travel, study, sleep
time)
(FFY 2010-2011)
Eligibility rules for children at risk
for:
2002
March 4, 2007
60BB-4
45 CFR Subtitle A,
Part 98.20(b)
•
State CCDF Plan
• Welfare Dependency
Eligibility rules for:
60BB-4.100, 4-201,
202, 203, and 4.206
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Child Abuse and Neglect
•
Children in Working
Families Whose Income
Does Not Exceed 150
Percent of the Federal
Poverty Level
•
The Migrant Preschool
Program
(FFY 2010-2011)
April 21, 2003
Page 44
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
Des c ription
E ffec tive Date
ELC Policies and
Procedures
N/A
N/A
N/A
AWI/OEL Policies and
Guidelines
N/A
N/A
varies
Florida Statutes
Sections 1002.511002.79
Voluntary
Prekindergarten Act
Establishes authority and
requirements for the Voluntary
Prekindergarten Education
Program
March 26, 2010
3.2.6
Traceability
3.2.6.1 U S E C A S E S
The following Use Cases are associated with the Enrollment To-be Business Process
Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-01:
•
UC-COM-02:
•
UC-ELC-01: Review Preliminary Application Information
•
UC-ELC-02: Enter Eligibility Information
•
UC-ELC-03: Validate School Readiness/Local Eligibility
•
UC-ELC-04: Validate Voluntary Pre-Kindergarten Eligibility
•
UC-ELC-05: Complete School Readiness/Local Enrollment
•
UC-ELC-06: Complete Voluntary Pre-Kindergarten Eligibility
•
UC-ELC-07: Manage Wait List
•
UC-ELC-08: Validate Wait List
•
UC-ELC-09: Submit Provider Transfer Request
•
UC-ELC-10: Manage Provider Transfer Request
•
UC-ELC-11: Submit Request for Guardianship Transfer
•
UC-ELC-12: Manage Request for Guardianship Transfer
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-10: Manage User Profile
•
UC-GEN-11: Maintain Notes
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 45
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.2.6.2 R E QUIR E ME NT S
The requirements associated with the Enrollment To-be Business Process Model can be
found in the Business Process to Requirements Traceability Matrix (RTM) attached as
HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 46
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3
3.3.1
BP-03 Wait List Management
Process Overview
The Wait List Management process is part of the Intake functional group.
Wait List Management includes the ELC Business Processes performed to manage the
ELIS waiting list over time, including the periodic validation of continued preliminary
eligibility, selection of applicants from the wait list as funding or capacity becomes
available, and updating of the wait list as required to keep information current and to
terminate applicants who are no longer eligible or in need of services. The Wait List
Management process only applies to School Readiness and local funding.
The following assumptions have been made for the To-Be Wait List Management
process:
•
The processes related to initial applicant contact, screening to determine
preliminary eligibility, and placement on the ELIS wait list are performed by
CCR&R staff.
•
For families with children who already receive SR services, but who also have
other children on the wait list, updating of the family’s information as part of the
SR Eligibility Redetermination process will also serve as validation for and
update to information for wait list status.
•
Statewide standard wait list criteria, methods for prioritization of applicants,
processing, and codes will be established and integrated with ELIS to allow
meaningful analysis and reporting of wait list statistics and service needs across
ELCs. There is a need to have a statewide wait list to eliminate duplicates and
provide a statewide view of applicants and unmet needs, which can also be
managed at the ELC level by ELCs to accommodate local needs, services,
priorities and funding.
3.3.1.1 A C T OR S
•
ELC Intake/Eligibility Specialist
•
Applicant
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 47
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3.2
Wait List Process Flow Diagram
The following high-level diagram depicts the Wait List Management process.
To-Be
Wait List Management
ELC
Policy
FL Administrative
Rule Chapter 60BB4.300
Applicant Records
Entered in Wait List
Applicant
Information
Validation notices
Update Wait List
Wait List Validation
Notification
A1
Updated Applicant
Information
ELIS ELC Policy
Updated
Applicant
Information
A3
Termination
Notices
ELIS
Selected Applicants
Wait List Selection
A2
ELIS
Intake Process
Figure 17. Wait List Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 48
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3.3
Wait List Detailed Process Narrative
The following process narrative describes the work activities and other associated
process notes for each process step in the process flow diagram above.
Table 20. Wait List Management – Wait List Validation
P roc es s
T rigger
Wait List Management
•
Applicant records Entered into Wait List
•
Notification to Validate
P roc es s S tep
A1 – Wait List Validation
A c tivities
1. The Intake/Eligibility Specialist receives notification prior to the end of the six
month preliminary eligibility period for applicants on the wait list in ELIS.
2. The Intake/Eligibility Specialist generates and reviews a Wait List Eligibility
Validation report listing applicants by eligibility validation date.
3. The Intake/Eligibility Specialist generates eligibility notifications from ELIS and
provides notice to the applicants.
4. The Intake/Eligibility Specialist terminates non-responsive applicants from the wait
list in ELIS (See Process Step A3).
5. The Intake/Eligibility Specialist reviews the information provided by responsive
applicants and validates the continued preliminary eligibility to remain on the wait
list.
6. The Intake/Eligibility Specialist enters the updated information received from the
applicant into ELIS and resets the eligibility re-validation date from the date of
eligibility validation.
Notes
Note 1: The timing of eligibility validation is determined by the ELC.
Note 2: Information required to validate continued eligibility for wait list includes:
statement of family income, household composition, validation of continued
need for and type of services requested.
Note 3: The Intake/Eligibility Specialist may contact applicants who do not respond to
the notification within the given timeframe.
Note 4: The eligibility for all applicable billing groups and eligibility categories is
calculated and updated based on the applicant information entered and the
approved ELC method for prioritizing applicants on the wait list.
Outc omes
1. Validation Notifications
2. Updated Applicant Information
3. ELIS Wait List Records Updated Including New Eligibility Validation Date
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 49
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 21. Wait List Management – Wait List Selection
P roc es s
T rigger
P roc es s S tep
A c tivities
Notes
Outc omes
Wait List Management
Funds Available/Slot Available (provider capacity)
A2 – Wait List Selection
1. The Intake/Eligibility Specialist receives notification to review and process
applicants on the wait list when funds and/or capacity become available.
2. The Intake/Eligibility Specialist selects applicants from the wait list based on their
priority in ELIS and type of funding or capacity available.
3. The Intake/Eligibility Specialist notifies the selected applicants of their status
change and schedules an appointment to complete the Intake process.
4. The Intake/Eligibility Specialists completes the Intake process with responsive
applicants (Refer to the Enrollment Process A-2/A-3).
5. The Intake/Eligibility Specialist terminates applicants who cannot be contacted or
non-responsive or found ineligible applicants from the wait list in ELIS (See
Process Step A3- Update Wait List).
Note 1: ELIS wait list priority is based on the approved Early Learning Coalition
method for prioritizing applicants on the wait list. Prioritizing will be by ELC.
1. Selected Applicants
Table 22. Wait List Management – Update Wait List
P roc es s
T rigger
P roc es s S tep
A c tivities
Notes
Outc omes
Wait List Management
Updated Applicant Information is Received
A3 – Update Wait List
1. The Intake/Eligibility Specialist receives notice of applicants who may need to be
terminated from the wait list.
2. The Intake/Eligibility Specialist accesses and reviews the applicable records in
ELIS and, as required, will terminate the applicant from the wait list.
3. The Intake/Eligibility Specialist sends notice of termination (including reason, date
and CCR&R information) to applicants who have been terminated from the wait
list.
Note 1: Updates to the ELIS wait list upon completion of the required six month
validation of eligibility are made as noted in Process Step A-1 (Validation).
Note 2: Reasons for termination from the wait list include: children who are aging out,
applicants who have transferred to another county, applicants who have not
contacted the ELC within the allotted time, applicants who are not reachable
by the ELC by the re-validation date, or clients who are now receiving
services (no longer in need of care).
Note 3 The Intake/Eligibility Specialist will be able to perform terminations of groups
of applicants based on selected criteria.
Note 4: The eligibility for all applicable billing groups and eligibility categories is
calculated and updated based on the applicant information entered and the
approved ELC method for prioritizing applicants on the wait list.
1. ELIS records updated including new eligibility re-validation date
2. Wait List records terminated in ELIS
3. Termination notices sent
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 50
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3.4
Wait List Detailed Workflows
Receives
Notification
Generates and
Reviews a Wait List
Eligibility Validation
Report
Parents/Guardians
ELC Intake/Eligibility Specialist
The following workflow diagrams show the details of the Wait List Management process including actors and activities.
Generates Eligibility
Notifications from
ELIS
Applicant
Responds?
Terminates
Applicant from
WaitList
No
Process Step A-3
Update Wait List
No Longer Eligible
Reviews the
Information
Provided
Yes
Responds to
Notification
Yes
Validated
Continued
Preliminary
Eligibility
Yes
Enters Updated
Information and
Resets the Eligibility
Revalidation date
Waitlist
record
updated with
new validation
date
Provides
Information
End
Receives
Notification
No
Process Step A-3
Update Wait List
Figure 18. Wait List Validation (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 51
HP Enterprise Services
Selects Applicants
from Wait List
Notification to
Process Applicants on
Wait List
Parents/Guardians
ELC Intake/Eligibility Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Notify Selected
Applicants/Schedule
Appointment
Applicant
Responds
Completes the
Intake Process
Yes
No
Applicants Selected;
Go to Enrollment
Process
(BP-02)
Ineligible
Terminates
Applicant from
WaitList
Applicant
Responds
Eligible
Yes
Notice of Status change
Process Step
Update Wait List A-3
Completes the
Intake Process
To Intake Process
No
Process Step
Update Wait List A-3
Figure 19. Wait List Selection (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 52
HP Enterprise Services
Accesses and
Reviews Record
Applicant
Termination?
Receives Notice of
Applicants to
be terminated
Yes
Terminates
Applicant From the
Waiting List
Send Notice of
Termination
Terminated From Wait List/
Notice Sent
No
ELIS record updated/
New Re-determination date
Parents/Guardians
ELC Intake/Eligibility
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Start
Notice of
Termination Date
Reason
CCR&R information
End
Figure 20. Update Wait List (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 53
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 23. Wait List Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A,
Part 98
Child Care
Development Fund
N/A
2002
F.A.C. 60BB-4.300
Waiting List
Procedures
Establishes waiting list procedures
for the Agency and the ELCs.
April 21, 2003
3.3.6
Traceability
3.3.6.1 U S E C A S E S
The following Use Cases are associated with the Wait List Management To-Be Business
Process Model based on the Requirements Traceability Matrix (RTM):
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
UC-COM-01: Determine Preliminary Eligibility
UC-COM-05: Manage Slot Availability
UC-ELC-03: Validate School Readiness/Local Eligibility
UC-ELC-04: Validate Voluntary Prekindergarten Eligibility
UC-ELC-05: Complete School Readiness/Local Enrollment
UC-ELC-06: Complete Voluntary Prekindergarten Eligibility
UC-ELC-07: Manage Waitlist
UC-ELC-08: Validate Waitlist
UC-GEN-01: Executive Advanced Search
UC-GEN-02: Manage Documentation
UC-GEN-03: Manage Workflow
UC-GEN-04: Generate Notification
UC-GEN-07: Execute Reports
UC-GEN-08: Schedule Events
UC-GEN-09: Execute User Login
UC-GEN-11: Maintain Notes
UC-GEN-12: Maintain Records
UC-GEN-13: Configure System
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 54
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.3.6.2 R E QUIR E ME NT S
The requirements associated with the Wait List Management To-Be Business Process
Model can be found in the Business Process to Requirements Traceability Matrix (RTM)
attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 55
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4
3.4.1
BP-4 Child Screening
Process Overview
Child Screening is the Business Process for administering, monitoring and tracking age
appropriate developmental screening. ELCs are required by s. 411.01(5) (c) 2.c., F.S., to
administer developmental screenings to all children, age birth to five, receiving School
Readiness (SR) services. Various tools and methodologies are used to indicate that a
child’s development is on target, determine if a follow up screening should be performed,
create an individual learning plan, refer the family for rescreening, or refer the family to
an Inclusion Specialist to coordinate additional community services.
The following assumptions have been made for the To-Be Child Screening process:
1. Screenings are conducted within 45 days of enrollment and at a minimum annually,
within 30 days of the child’s birth date, for as long as the child receives SR services.
2. ELCs use the Terms and Conditions form to obtain parental consent during the SR
Eligibility and SR Eligibility Redetermination processes. ELCs send out and obtain
consent for annual and additional screenings using a consent letter.
3. Ages and Stages is proprietary software currently secured for use by all ELCs. The
Ages and Stages screening tool collects scores and manages follow-up for learning
plans, materials for provider’s lesson plans, and letters to parents for activities at
home.
4. ELIS shall interface with Ages and Stages and export child data (basic demographic
data, provider enrollment) from ELIS to Ages and Stages will be completed during
Phase 2 (Maintenance) of the ELIS Project.
5. ELIS shall receive scores for all children, identify children with identified delays, and
identify children with an individual learning plan (a plan exists, not the actual plan)
from Ages and Stages.
3.4.1.1 A C T OR S
•
ELC Screening and Assessment Specialist
•
ELC Inclusion Specialist
•
Parents/Guardians
•
SR Providers
•
Screener
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 56
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.2
Child Screening Process Flow Diagram
The following high-level diagram depicts the Child Screening process:
Figure 21. Child Screening Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 57
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.3
Child Screening Detailed Process Narrative
The following process narrative describes the work activities and other associated
process notes for each process step in the process flow diagram above.
Table 24. Child Screening – Conduct Developmental Screening
P roc es s
Child Screening
T riggers
Enrollment, Annual Cycle and/or Follow-up Screening
P roc es s S tep
A1 – Conduct Developmental Screening
A c tivities
1. The ELC Screening and Assessment Specialist, Inclusion Specialist, or
designated staff person coordinates age appropriate developmental
screening for all SR children ages birth to five years, consistent with the
parameters set forth in the OEL rule.
2. The Screening and Assessment Specialist obtains a list of children for
screening from ELIS and sends a consent letter to the parents/guardians of
the children to be screened. Parental consent is tracked in ELIS. Parental
consent is required prior to all developmental screening. The Terms and
Conditions form signed during SR Enrollment includes parental consent for
screening and may be used in lieu of the consent letter.
3. The Screening and Assessment Specialist coordinates with the Screener
and may provide technical assistance. For those ELCs that conduct an
annual developmental screening or follow-up screenings, the specialist
sends the Screener a list of children for screening.
4. The Screener administers and scores the Baseline Developmental
Screening. Results are sent to the provider/teacher and parent. Screening
activities, including date completed, location, tool used, person
administering the tool, results, follow up recommended, and referral
information (to whom and date) are documented in ELIS.
5. The Screening and Assessment Specialist, Inclusion Specialist, or
designated staff person reviews the results and determines if a referral for
additional/re-screening is necessary. Generally, screening results are used
to:
•
Indicate that the child’s development is on target
•
Indicate that concerns were identified and a follow-up screening should
be performed
•
Create an individual learning plan, if needed
•
Refer families for re-screening
•
Refer families, and the child’s early learning program staff, to the
Inclusion Specialist to coordinate additional community services where
appropriate
Notes
Note 1: The timing, performance, and tools used for developmental screenings
vary by ELC.
Note 2: ELC staff, providers, or contracted entities may administer and score
the screening.
Outputs
1. Consent Letters (optional)
2. Completed Baseline Development Screening
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 58
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 25. Child Screening – Conduct Additional Follow-up Developmental Screening
P roc es s
Child Screening
T riggers
Completed Baseline Screening or Additional/Follow-up Screening Referral
P roc es s S tep
A2 – Conduct Additional/Follow-up Developmental Screening
A c tivities
1.
2.
3.
4.
5.
The Screening and Assessment Specialist, Inclusion Specialist, or
designated staff person coordinates and schedules the additional/follow-up
activities in ELIS.
The ELC or service provider obtains parental consent to conduct the
additional/follow-up screening activities. The screening activities and
schedule are then given to the parent.
The Screener administers and scores the additional and/or follow-up
developmental screenings. Results are sent to the provider/teacher, parent,
and the Inclusion Specialist where appropriate.
If the results of the additional and/or follow-up screenings are within the
typical range, the child resumes a regular screening cycle based on ELC
policy. Go to A3 – Complete Developmental Screening.
If the results of the additional and/or follow-up remain outside of the typical
range, the Screening and Assessment Specialist and/or the Inclusion
Specialist may refer the child for additional services with external
community agencies.
Notes
Note 1: ELC staff, providers, or contracted entities may administer and score
the screening.
Outputs
1.
2.
3.
Consent Letters (optional)
Completed Additional/Re-screening
Community Agency Referral
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 59
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 26. Child Screening – Complete Developmental Screening
P roc es s
Child Screening
T riggers
Completed Baseline Screening and Community Referrals
P roc es s S tep
A3 – Complete Child Screening
A c tivities
1.
The Screening and Assessment Specialist records the results of the
screening(s) in ELIS.
2. Parents/guardians and providers receive all results information.
3. The Screening and Assessment Specialist and/or an Inclusion Specialist
works with the parent/guardian to monitor coordinate and schedule any
additional follow-up activities throughout the course of the year. As
appropriate and based on the results of the screening(s), an individualized
learning plan may be created and /or updated by the teacher with
assistance, as needed, from the Screening and Assessment and/or
Inclusion Services staff. This plan is implemented during the year and
includes both classroom and home related strategies.
4. The aggregate results data is maintained by the ELC or service provider,
sorted, and used in various management reports.
Notes
None
Outputs
1.
2.
3.
Completed Developmental Screening(s)
Individualized Child Plan
Reports by Child, Age Group, and Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 60
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.4
Child Screening Detailed Workflows
Screening and Assessment
Specialist
Start
Identify School
Readiness
Children for
Screening
Documents and
Tracks Consent
Response
Obtain
Parental Consent
for Screening
Send List
of Children to
Screener
Reviews
Screening
Results
Referral
or Rescreening?
Yes
Link to
Conduct
Additional/
Follow-up
Developmental
Screening A-2
No
Link to
Complete Child
Screening A-3
Parental consent letter
Parent/
Guardian
Provides
Consent
No
Yes
Parent/
Guardian
Provides
Consent
Screening Rresults
End
Screening
Results
Screener
End
Parent/
Guardian Does
Not Consent
School
Readiness
Provider
Parents/Guardians
ELC
The following workflow diagrams show the details of the Child Screening process including actors and activities.
End
Conduct and
Score Screening
End
Figure 22. Conduct Developmental Screening (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Screening and Assessment
Specialist/Inclusion Specialist
No
Link from
Conduct
Developmental
Screening
A-1
Referral for
Additional or
Re-screening
Obtain
Parental
Consent for
Screening
Document and
Track Consent
Send List
of Children
to Screener
Reviews
Screening
Results
Refer Child for
Additional
Services
Results in
Typical Range?
Yes
Link to
Complete Child
Screening A-3
Regular Cycle
for Screening
End
Parents/
Guardians
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Parent/
Guardian
Provides
Consent
School
Readiness
Provider
End
Screener
Screening
Results
End
Conduct and
Score Screening
End
Figure 23. Conduct Additional Follow-up Developmental Screening (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 62
HP Enterprise Services
Screening and Assessment Specialist/
Inclusion Specialist
Sends All
Results and
Individualized
Learning Plan
Individualized
Learning Plan
Updated
Parents/
Guardians
Link from
Conduct
Additional/
Follow-up
Developmental
Screening A-2
Records Results
and Notes of
Screening
Parent/
Guardian
Reviews All
Results
School
Readiness
Provider
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Provider
Reviews All
Results
Coordinates with
Parent/Guardian
on Additional
Follow Up
Activities
Coordinates with
Specialist on
Additional Follow
Up Activities
Updates
Individualized
Learning Plan
Updates
Individualized
Learning Plan
End
End
End
Figure 24. Complete Child Screening (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 63
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process:
Table 27. Child Screening Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A, Part
98
Child Care Development
Fund
N/A
2002
Florida Statutes Section
411.01
School Readiness Act
Establish a unified
approach to the state’s
efforts toward
enhancement of school
readiness, including
child screening
March 26,2010
F.A.C 60BB-4
Office of Early Learning
Provides regulations
governing the School
Readiness Program.
March 4, 2007
ELCs Policies and
Procedures
N/A
3.4.6
N/A
Traceability
3.4.6.1 U S E C A S E S
The following Use Cases are associated with the Child Screening To-be Business
Process Model based on the Requirements Traceability Matrix (RTM):
•
•
•
•
•
•
•
•
•
•
•
•
•
•
UC-ELC-13: Initiate Child Developmental Assessment
UC-ELC-14: Complete Child Developmental Assessment
UC-GEN-01: Executive Advanced Search
UC-GEN-02: Manage Documentation
UC-GEN-03: Manage Workflow
UC GEN-04: Generate Notification
UC-GEN-05: Export Data
UC-GEN-06: Import Data
UC-GEN-07: Execute Reports
UC-GEN-08: Schedule Events
UC-GEN-09: Execute User Login
UC-GEN-11: Maintain Notes
UC-GEN-12: Maintain Records
UC-GEN-13: Configure System
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 64
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.4.6.2 R E QUIR E ME NT S
The requirements associated with the Child Screening To-Be Business Process Model
can be found in the Business Process to Requirements Traceability Matrix (RTM)
attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 65
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5
3.5.1
BP-05 School Readiness Eligibility Redetermination
Process Overview
The School Readiness (SR) Eligibility Redetermination process is part of the Case
Management functional group.
SR Eligibility Redetermination is the process for re-determining eligibility for the School
Readiness program. The process includes generating listings of redeterminations due
and redetermination notices that are sent to clients, providers, and referring agencies. A
full determination of continued eligibility is completed for responsive clients. ELIS is used
to document updated information and generate updated forms including the
authorization for the selected provider to continue to provide SR services. If clients are
non-responsive or are no longer eligible, services are terminated.
The following assumptions have been made for the To-Be SR Eligibility Redetermination
process:
1. ELIS is used to document and generate SR Eligibility Redetermination forms
2. In general, parents and providers have access to technology and the Internet
3. If at any time it is discovered that there is the potential that fraud has occurred, a
fraud referral is made to DFS. If that fraud investigation impacts a client’s continued
eligibility, a notice is sent to the client informing them that eligibility will be terminated
until the investigation is completed.
3.5.1.1 A C T OR S
•
ELC Family Support Specialist
•
Parents/Guardians
•
Referring Agency
•
School Readiness Providers
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 66
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.2
School Readiness Eligibility Redetermination Process Flow Diagram
The following high-level diagram depicts the SR Eligibility Redetermination process.
Figure 25. Eligibility Redetermination Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 67
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.3
School Readiness Eligibility Redetermination Detailed
Process Narrative
The following process narrative describes the work activities and other associated
process notes for each process step in the process flow diagram above.
Table 28. Redetermination – Notice of Eligibility Redetermination
P roc es s
To-Be SR Eligibility Redetermination
T rigger
Eligibility Expired or Change in Client Information Impacting Continued Eligibility
P roc es s S tep
A1 – Notice of Eligibility Redetermination
A c tivities
1. Using ELIS, the Family Support Specialist generates eligibility
redetermination/expiration reports, which contain records for parents whose
eligibility will expire during the coming months.
2. The Family Support Specialist sends the notices to the parent/guardian, SR
provider and referral source, if applicable, in advance of eligibility expiration. The
redetermination notice includes a list of required documentation that will be
needed for the redetermination to be completed (updated proof of income,
disability information, and so forth.)
A. A mail-in redetermination process may be used. In these cases, the
redetermination notice includes a statement specifying the last date of child
care services if eligibility is not renewed and a mail-in redetermination
package with required forms for the parent to complete, sign, and return.
B. For maintaining eligibility for child care referrals from external agencies, a
Redetermination Notice is sent to the parent with instructions to contact the
referring agency for renewal of the Child Care Authorization/Referral. The
Redetermination Notice is also sent to the referring agency.
3. The Redetermination Notice may be sent to the SR/Local provider.
4. In addition, if at any time it is discovered by the Family Support Specialist that
there have been changes that could impact a client’s continued eligibility, a notice
is sent to the client informing them that they have a period of time to provide the
needed updated information, or eligibility will be terminated. (This excludes child
protective services referrals, information will be requested for protective services
but funding will not be terminated for economic reasons.)
5. In addition, if at any time it is discovered by the Family Support Specialist that
there is potential that fraud has occurred a fraud referral is made. If that fraud
investigation impacts a client’s continued eligibility, a notice is sent to the client
informing them that eligibility will be terminated (see A3 – Suspected Potential
Fraud Referral).
6. If the client does not respond, the eligibility is terminated in ELIS effective on the
day following the “last date of care” date provided in the Redetermination Notice.
Notes
Note 1: In some ELCs, follow up notices and/or telephone calls may be made to the
parent or the SR provider to follow up on status. If the client disagrees with
the eligibility termination decision, they have the right to submit an appeal in
writing.
Note 2: The Redetermination Notice sent to the provider will only indicate:
– Child has a redetermination date coming up
– Eligibility period may be ending
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 68
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
No details about income or household size are included in the notice.
Outc omes
1.
2.
3.
4.
Redetermination Notice (with request for needed information)
Mail-In Redetermination Package (optional procedure)
Notice of Need for Changed and/or Updated Eligibility Information
Determination Appeal
Table 29. Redetermination – Re-determine School Readiness Eligibility
P roc es s
To-Be SR Eligibility Redetermination
T rigger
Receipt of Updated Eligibility Documentation
P roc es s S tep
A2 – Re-determine School Readiness Eligibility
A c tivities
1. The Family Support Specialist receives redetermination documentation from the
parent and/or referring agency. Documentation may be received in a variety of
manners, including electronically, a face-to-face interview, or through the mail-in
redetermination package.
2. The Family Support Specialist documents the parent’s eligibility information in
ELIS.
3. An Eligibility Redetermination is made and documented in ELIS based on the
Family Support Specialist’s review of the parent information.
A. If the parent is found ineligible, a termination notice is given to the parent and
services are terminated based on the date provided in the Redetermination
Notice. The events of the Redetermination process are recorded in ELIS.
– If the mail-in redetermination package is incomplete when returned by
the parent to the ELC, a notice of incomplete documentation is sent to
the parent and to the SR provider. If the parent fails to return the required
paperwork as noted, services are terminated.
– A parent who has been determined ineligible has the right to submit
grievances or appeals. Appeals can be filed, in person, by telephone,
electronic, or in writing. Appeals are documented by the ELC.
B. If the parent is found eligible, the Family Support Specialist accesses the
parent and child records within ELIS and edits the eligibility information to set
a new date and updates other information as required.
4. Once all updated eligibility information has been entered into ELIS, parent fees
are reassessed and updated as needed.
5. Family Support Specialist extends the eligibility date in ELIS. The parent receives
the funding notice. The provider receives a copy of the new Child Care Eligibility
and Enrollment Certificate.
Notes
Note 1: There may be more than one funding notice if the family has multiple
funding. The details of the funding notice are captured ELIS requirements.
Note 2: When a parent is found ineligible, a keyboard entered closure date or an
automated redetermination date of the day after 10 day notice, whichever is
sooner unless unreported change is discovered while processing which
could result in immediate closure.
Note 3: Documentation collected includes signatures on application, parent fee and
terms & conditions.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 69
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Outc omes
1.
2.
3.
4.
Updated Child Care Authorization/Referral
Confirmation of Continued Eligibility or Termination Notice
Updated ELIS Parent and Child Records, including History Notes
Signed Child Care Application, Income Worksheet and Other Required Forms
(certificate or related form)
5. Appeal
Table 30. Suspected Potential Fraud Referrals (A-3)
P roc es s
To-Be SR Eligibility Redetermination
T riggers
Suspected Potential Fraud
P roc es s S tep
A3 – Suspected Potential Fraud Referral
A c tivities
1. Determine the amount of lost program benefits.
2. In cases of suspected fraud, the ELC Family Support Specialist will enter
the referral to the referral database.
3. Suspected fraud referral data is sent to DFS in the form of the Suspected
Fraud Referral document.
4. DFS conducts investigation or rejects referral.
5. DFS will send updated data on the status of suspected fraud referrals from
initial referral to resolution and closure or collections.
Notes
Note 1: DFS as of January 1, 2011, OEL and AWI Inspector General’s Office
will receive notification a suspected fraud case has been initiated by the
ELC.
Note 2: if at any time it is discovered by the Family Support Specialist that there
is potential that fraud has occurred a fraud referral is made. If that fraud
investigation impacts a client’s continued eligibility, a notice is sent to
the client informing them that eligibility will be terminated until the
investigation is completed (A1 -5).
Note 3: The suspected fraud referrals are sent via an interface. This interface
will also receive the State Attorney’s action and related data, if available
from DFS.
Outputs
1. Fraud Referral to Referral Database
2. Updated Status of Suspected Fraud Referrals
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 70
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.4
School Readiness Eligibility Redetermination Detailed Workflows
Generate Eligibility
Expiration Reports
Send Eligibility
Expiration Notices
STart
Requested
Documentation
Parents/Guardians
ELC Family
Support Specialist
The following workflow diagrams show the details of the SR Eligibility Redetermination process including actors and
activities.
Yes
Responds?
Re-determination
Returns Requested
Documentation?
End
Notice of
Expiring
Eligibility
No
Referring Agency
Services End
Responds?
Start
Yes
Returns Requested
Documentation?
End
Notice of
Expiring
Eligibility
No
SR
Providers
Services End
STart
Notice of
Expiring
Eligibility
End
Figure 26. Notice of Eligibility Redetermination (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 71
HP Enterprise Services
ELC Family Support Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Receives
Redetermination
Documentation
Documents Parent
Eligibility
Redetermination
information in ELIS
Makes and
Documents
Eligibility Redetermination
Documentation
Complete?
Yes
Parent Eligible?
Yes
Parent Copayments
are reassessed
Extends Eligibility
Date
End
No
No
Notice of
incomplete
Documentation to
Parent
Documentation
Returned?
No
Services End
Yes
Parents/
Guardians
Returns
Required
Paperwork?
Yes
No
Services
ended
SR
Providers
Re-determine SR Eligibility
Start
End
Figure 27. Re-determine School Readiness Eligibility (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Discovery
of Fraudulent
Reporting
or Document
Enters Suspected
Fraud into
Suspected Fraud
Referral Database
Receives Updates on
Suspected Fraud
Referrals
Suspected Fraud
Referral is sent to
DFS
Open Suspected
Fraud?
No
Link to (A-1/A-2)
Yes
DFS
ELC Family Support Specialist
Determine Lost
Program Benefits
Referral Received
Conducts
Investigation or
Rejects Referral
Sends
Periodic Updates to
Suspected Fraud
Referral
End
Figure 28. Suspected Potential Fraud Referral (A-3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 73
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 31. School Readiness (SR) Eligibility Redetermination Business Rules
R ule
T itle
Des c ription
E ffec tive Date
60BB-4.209 F.A.C
Redetermination:
Authorization Periods
•
April 21, 2003
•
45 CFR Subtitle A, Part
98.20(b)
Eligibility Period and
Redetermination
State CCDF Plan
Eligibility should be redetermined annually
Must consider all factors
required for initial
redetermination
Hours of Care authorized
must relate to hours of
activity (including travel,
study, sleep time)
2002
(FFY 2010-2011)
March 4, 2007
60BB-4
3.5.6
Traceability
3.5.6.1 U S E C A S E S
The following Use Cases are associated with the SR Eligibility Redetermination To-Be
Business Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-ELC-02: Enter Eligibility Information
•
UC-ELC-03: Validate School Readiness/Local Eligibility
•
UC-ELC-05: Complete School Readiness/Local Enrollment
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 74
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.5.6.2 R E QUIR E ME NT S
The requirements associated with the School Readiness Redetermination To-Be
Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 75
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6
3.6.1
BP-06 Voluntary Prekindergarten Re-enrollment/School
Readiness Provider Transfer
Process Overview
The Voluntary Prekindergarten (VPK) Re-enrollment/School Readiness (SR) Provider
Transfer process is part of the Case Management functional group.
VPK Re-enrollment/SR Provider Transfer is the Business Process and activities that
facilitate the request and transfer of a child’s enrollment in the early learning services
from one provider to another. The process steps include a request for transfer made by
a parent or guardian to transfer their child from one early learning service provider to
another. The request for transfer requires an analysis of the nature of the request to
include a reconciliation and determination of the remaining VPK Full Time Equivalent
(FTE) hours transferable and, for SR, a reconciliation and validation from the provider
that the parent is current on their responsibility for co-payment. This will allow for the
ability to report on uncollected parent co-payments, but an outstanding balance does not
prevent the transfer to a new provider.
Once the ELC, parent, and provider have reconciled and confirmed the transfer request,
the new provider information is entered into ELIS for the parent and child and the
appropriate enrollment documentation is filled out and signed by all parties. A certificate
is issued for the parent and provider to finalize the child’s enrollment in the early learning
services of the new provider.
The following assumptions have been made for the To-Be VPK Re-enrollment/SR
Provider Transfer process:
•
The VPK Re-Enrollment Form and the VPK Child Eligibility Enrollment Certificate
are integrated with ELIS.
•
The SR Child Care Application and Authorization and the Child Care Eligibility
and Enrollment forms are integrated in ELIS.
•
Validating the parent co-pay balance with the SR provider and collecting zerobalance documentation is optional for the ELCs. It is only for the purpose of
documentation. The existence of a balance does not impact the process.
•
Parents and providers have access to the Parent and Provider portals
respectively.
3.6.1.1 A C T OR S
•
Family Support Specialist
•
Parent/Guardian
•
VPK Provider
•
SR Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6.2
Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Process Flow Diagram
The VPK Re-enrollment and SR Provider Transfer process is depicted in the figure below.
Figure 29. Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer Process Flow
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6.3
Voluntary Prekindergarten Re-enrollment/School Readiness
Provider Transfer Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 32. VPK Re-enrollment – Assess Transfer Request
P roc es s
To-Be VPK Re-Enrollment/SR Provider Transfer
T rigger
Parent Requests Transfer To Another VPK/SR Provider, Licensing Issues, Out of
Business, External Agency, Disaster
P roc es s S tep
A1 – Assess Transfer Request: VPK Provider Re-enrollment
A c tivities
1. A request for VPK re-enrollment is received by the Family Support Specialist from
the child’s parent or guardian. A notification of VPK re-enrollment is received by the
Family Support Specialist (see Note 3 below). The request may be received using
a variety of communication channels.
2. The Family Support Specialist reviews the re-enrollment request to assess the
reason for re-enrollment and files any required supporting documentation.
3. The Family Support Specialist validates the last date of service with the previous
provider.
4. The Family Support Specialist reconciles the balance of the remaining VPK hours
using the last date of service from the previous provider and the balance of
remaining VPK hours reported for the child in ELIS.
5. The Family Support Specialist and parent complete the re-enrollment application
(AWI-VPK-05 Form). The parent gets a copy of the form, completing the VPK Reenrollment process.
Notes
Note 1: If the reason for request is for good cause: As defined in s.s.1002.71 (4) (a)
and 60BB-8.210 Parent approval is required and written documentation is not
required (as defined in s.s.1002.71 (4) (a) and 60BB-8.210). Some ELCs may
require supporting documentation for good cause
If the reason for request is for extreme hardship:
Supporting documentation is required along with parent approval (as defined
in s.s.1002.71 (4) (b), and 60BB-8.210).
Note 2: If the transfer is between one ELC and another ELC, the parent must go
through the VPK Eligibility and Enrollment process.
Note 3: A. If the transfer is from one class to another class with the same provider
and will not result in the student being reported for more than one FTE
student, the provider is required to notify the ELC with an effective date of
transfer. Parental approval is not required unless the transfer results in a
different schedule. A class transfer is not considers a re-enrollment and is not
subject to the same rules.
B. There is a Rule effective 12/21/2010, 60BB-8-210, regarding requirements
for provider transfer.
C. ELIS checks the enrollment per the requirements against the business
rules before the child is enrolled or transferred to a new provider.
Outc omes
1. Signed VPK Re-Enrollment Application (AWI-VPK 05)
2. Completed VPK Class Transfer (Note 3.A.)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 33. VPK Re-enrollment – Execute and Confirm Transfer
P roc es s
To-Be VPK Re-Enrollment/SR Provider Transfer
T rigger
Completed Transfer Assessment and Re-Enrollment Application
P roc es s S tep
A2 – Execute and Confirm Transfer: VPK Provider Re-enrollment
A c tivities
1. The Family Support Specialist associates the child with the new VPK provider in
ELIS.
2. The Family Support Specialist associates the completed VPK Certificate (AWIVPK-02 form) with the new VPK provider in ELIS.
3. The new VPK provider associates the VPK Certificate (AWI-VPK-02 form) with the
child in ELIS validating that the child is enrolled in their class. The Family Support
Specialist receives notification when this is done, completing the VPK Reenrollment process.
4. The Family Support Specialist documents details of the transfer in ELIS.
Notes
None
Outc omes
1.
2.
3.
4.
Updated Record in ELIS
Completed Child Eligibility and Enrollment Certificate(AWI-VPK-02 Form)
Completed VPK Re-enrollment with New VPK Provider
Denial of Application
Table 34. School Readiness (SR) Provider Transfer – Assess Transfer Request
P roc es s
To-Be VPK Re-Enrollment/SR Provider Transfer
T rigger
Parent Requests Transfer To Another VPK/SR Provider, Licensing Issues, Out of
Business, External Agency, Disaster
P roc es s S tep
A1 – Assess Transfer Request: School Readiness Provider Transfer
A c tivities
1. A request for provider transfer is received and processed by the Family Support
Specialist. The request may be received using a variety of communication
channels.
2. The Family Support Specialist works with the parent/guardian to assess the
reason for transfer and files any supporting documentation.
Note 1: If the purpose of transfer is determined to be:
An incident(s) of abuse – the incident is first reported to the Florida
Department of Children and Families (DCF) Abuse Hotline and then followed
up with the appropriate transfer of the child.
– A licensing issue – the issue is first reported to the appropriate authorities
and then followed up with the appropriate transfer of the child.
Note 2: If the child needs to be removed from the provider’s facility immediately
and does not have a selected provider, the Family Support Specialist works with
the parent/guardian to select a SR provider.
3. The Family Support Specialist contacts the previous provider to validate the status
of the parent co-pay and establishes the last date of care with the previous
–
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
SR/Local provider
Note 3: If the balance of the parent co-pay is up to date, the request for transfer
is approved by the Family Support Specialist.
Note 4: If the balance of the parent co-pay is not current, the Family Support
Specialist will assess the parent’s ability to pay based on a qualifying event or if
the child is at-risk. As defined by 60BB-4.400, the Family Support Specialist
will either waive the fee or assess a minimum fee by approving the transfer.
Note 5: .If the balance of the co-pay is not current, the Family Support Specialist
will document the remaining balance in ELIS
Note 6: If the ELC does not require documentation of the balance of the parent
co-pay fee for transfer go to Step A2 – Confirm and Execute SR Provider
Transfer.
4. The Family Support Specialist may receive documentation of a zero balance from
the parent/provider prior to approval of the transfer.
Notes
Note: Unpaid balances do not prevent a BG1 or BG3R RCG from transferring.
Outc omes
1. Approved SR Provider Transfer
Table 35. School Readiness (SR) Provider Transfer-Confirm and Execute Transfer
P roc es s
To-Be VPK Re-Enrollment/SR Provider Transfer
T rigger
Approved SR Provider Transfer
P roc es s S tep
A2 – Confirm and Execute Transfer: School Readiness Provider Transfer
A c tivities
1. The Family Support Specialist obtains parent signature on the Child Care
Application and Authorization Form in ELIS per ELC option.
2. The Family Support Specialist obtains parent signature on the Child Care Eligibility
and Enrollment Certificate per ELC option.
3. The Parent receives a copy of both forms and the new SR provider receives a
copy of the Child Care Eligibility and Enrollment Certificate completing the transfer
process.
4. The Family Support Specialist updates ELIS (terminates the previous provider and
enrolls the child with the new provider).
5. The Family Support Specialist documents details of the transfer in ELIS.
Notes
None
Outc omes
1. Updated Record in ELIS
2. Signed Child Care Application and Authorization Form
3. Signed Child Care Eligibility and Enrollment Certificate
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 80
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6.4
Voluntary Prekindergarten Re-enrollment/School Readiness Provider Transfer
Detailed Workflows
VPK Provider
Parent/
Guardian
Family Support
Specialist
The following workflow diagrams show the details of the VPK Re-enrollment /SR Provider Transfer process including
actors and activities.
Reviews the
Transfer Request
Request for
VPK
Re-enrollment
received
Requests additional
documentation as
needed
Obtain and Record
Supporting
Documentation
Validate Last Date of
Service with
Previous Provider
Completes VPK
Enrollment Form
Completes
VPK Enrollment
Form with the
Family Support
Specialist
Provide Supporting
Documentatation
Request for
VPK Re-enrollment
Reconcile Balance of
VPK Hours
Request
for Supporting
Documentation
Update Records/
Complete Reenrollment in ELIS
Link to A-2
VPK
Re-enrollment
end
Provide Supporting
Documentatation
Notification of VPK
Re-enrollment
Request
for Supporting
Documentation
End
Figure 30. Assess Transfer Request: VPK Re-enrollment (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 81
HP Enterprise Services
Link from
Assess Transfer
Requestor VPK
Provider
Re-enrollment A-1
Associates Child
with new VPK
Provider
Associates the
Completed VPK
Certificate with the
New VPK Provider
Documents Details
of the Transfer
Notification of
Associated VPK
Re-enrollment Forms
End
VPK Provider
Parent/
Guardian
Family Support
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Notification of
Associated VPK
Re-enrollment Forms
Associates
the Completed VPK
Certificate with the
Child
End
Figure 31. Execute and Confirm Transfer: VPK Re-enrollment (A-2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 82
HP Enterprise Services
SR Provider
Parent/
Guardian
Family Support Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Processes SR
Provider Transfer
Request
Request for
SR Provider
Transfer
Works with Parent/
Guardian to Assess
Reason
Obtain and Record
Supporting
Documentation
Abuse/
Licensing
Issue?
No
Contacts SR
Provider to obtain
Parent Co-Pay and
Last date of care
Update Records
Link to A-2
SR Provider
Transfer
Yes
Referral to
DCF Child Abuse Hotline
or
Referral to Licensing Agency
Works with Family
Support Specialist to
Assess Reason
Request for
SR Provider
Transfer
Notification of
SR Provider Transfer
Optional
Documentation of
zero balance
Provide Supporting
Documentatation
Request
for Parent Co-Pay
and Last Date of Care
Provide Last
Date of care and
Parent Co-Pay
Figure 32. Access Transfer Request: SR Provider Transfer (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 83
HP Enterprise Services
Requests
Signature for Child
Care Application and
Link from A-1 Authorization Form
SR Provider
Transfer
Request for
Signature
Obtain and Record
Signed
Documentation
Requests
Signature for Child
Care Eligibility and
Enrollment
Certificate
Provides
Signed Child Care
Application and
Authorization Form
New SR Provider
Parent/
Guardian
Family Support Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Request for
Signature
Obtain and Record
Signed
Documentation
Provides the
Parent and New
Provider with
Appropriate Forms
Terminates previous
SR Provider and
Enrolls the Child at
the New SR provider
Updates the details
of the SR Transfer
Provides
Child Care Eligibility
and Enrollment
Certificate
Notification of
SR Provider Transfer
Figure 33. Confirm and Execute Transfer: SR Provider Transfer (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 84
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 36. VPK Re-enrollment/SR Provider Transfer Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A, Part
98
Child Care Development
Fund
N/A
2002
60BB- 4.400
(Required Parent Copayment)
Rules regarding the
required parent copayment for SR
February 2, 2005
60BB- 4.401
(Co-payment Collection)
Rules regarding the
required parent Copayment collection
for SR
February 2, 2005
Florida State Statute
Section 1002.53
(VPK Eligibility and
Enrollment)
Rules addressing
VPK eligibility and
enrollment
March 26, 2010
60BB – 8.202(b)
Child Eligibility
Determination and
Enrollment Procedures
ELC procedures for
child registration,
eligibility
determination and
enrollment
May 24, 2007
60BB-8.210
Reenrollment for Good
Cause and Extreme
Hardship in the Voluntary
Prekindergarten Education
Program
Re-enrollment in the
VPK program after
withdrawal or
dismissal from the
program
December 21, 2010
Florida State Statute
Section 1002.71
Funding; financial and
attendance reporting
Enrollment and
Eligibility for VPK
program
July 1, 2009
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 85
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.6.6
Traceability
3.6.6.1 U S E C A S E S
The following Use Cases are associated with the VPK Re-enrollment/SR Provider
Transfer To-Be Business Process Model based on the Requirements Traceability Matrix
(RTM):
•
UC-ELC-09: Submit Provider Transfer Request
•
UC-ELC-10: Manage Provider Transfer Request
•
UC-ELC-11: Submit Request for Guardianship Transfer
•
UC-ELC-12: Manage Request for Guardianship Transfer
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.6.6.2 R E QUIR E ME NT S
The requirements associated with the VPK Re-enrollment/SR Provider Transfer To-Be
Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 86
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.7
3.7.1
BP-07 Guardianship Transfer
Process Overview
Guardianship Transfer is the Business Process and activities that facilitate the legal
transfer of a child from one parent/guardian to another. The Family Support Specialist
ensures that all legal documentation supporting the transfer of the child is in place. The
Family Support Specialist updates the family records for the child for both the previous
parent/guardian and the new parent/guardian and determines eligibility for the new
parent/guardian. If a VPK/SR Provider Transfer is necessary due to the transfer of
guardianship, the Family Support Specialist ensures that all documentation for VPK
and/or child care services with a child care provider are in place for the child to either
continue receiving services with their current provider(s) or successfully complete the
transfer of services from one provider to another. The Family Support Specialist records
and updates all records in ELIS throughout the Guardianship Transfer process.
The following assumptions have been made for the Guardianship Transfer process:
1. Assumes a centralized database with statewide access to ELC Data.
2. Status update is something that impacts the parent’s eligibility and/or fees, but does
not require a full redetermination. Only pertinent documentation is required. Status
update examples include:
•
Guardianship change
•
Income changes (employment or other income)
•
Family size changes (for example, birth, death, marital status)
•
Education/training changes
•
Work schedule change
3.7.1.1 A C T OR S
•
ELC Family Support Specialist
•
SR/VPK Provider
•
Parent
•
External Agency
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.7.2
Guardianship Transfer Process Flow Diagram
The Guardianship Transfer process is depicted in the figure below.
To-Be
Guardianship Transfer
Applicant
Information
Legal
Documents
Guardianship
Transfer
Request
Review Request for
Guardianship Transfer
A1
ELIS
Provider
Transfer
Process
Eligibility
Process
Validated
Guardianship
Transfer
Eligible
Applicant
Process Guardianship
Transfer
A2
Guardianship
Transfer Completed
Documents/
Records Updated
ELIS
Figure 34. Guardianship Transfer Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 88
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.7.3
Guardianship Transfer Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 37. Guardianship Transfer – Review Request for Guardianship Transfer
P roc es s
Guardianship Transfer
T riggers
Guardianship Transfer Requested
P roc es s S tep
A1 – Review Request for Guardianship Transfer
A c tivities
1. The Family Support Specialist receives a request for change of guardianship
of a child. Requests may come in the form of a parent or relative request, or
an Agency notice or referral.
2. The requestor provides appropriate documentation relevant to the
guardianship change (court order, foster care authorization, agency referral,
letters, and so forth).
3. The Family Support Specialist reviews the documentation provided to
determine validity and to make decisions regarding needed activities for
proceeding with the guardianship transfer. The Family Support Specialist
may contact the current guardian to confirm the change in guardianship.
4. Once the guardianship transfer documentation is validated, the Family
Support Specialist certifies eligibility for the child’s early learning services.
A. If the transfer request is the result of an agency referral (court order,
child care authorization), eligibility for early learning services does not
need to be determined. Proceed to A2 of this process.
B. If the transfer request is the result of a parent or relative request; the
Family Support Specialist checks ELIS to determine if the new guardian
has an existing ELIS record:
i) The current parent/guardian will have a status update
ii) If the new parent/guardian is already active in ELIS, they will have a
status update
iii) If the new parent/guardian is not active in ELIS, refer to the Intake
process
Notes
None
Outputs
1. Validated Guardianship Transfer
2. New Guardian Eligibility Determination
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 89
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 38. Guardianship Transfer – Process Guardianship Transfer
P roc es s
Guardianship Transfer
T riggers
Guardianship Transfer Validity Established Applicant is Eligible
P roc es s S tep
A2 – Process Guardianship Transfer
A c tivities
1. For the new parent/guardian, where the provider selection for the child
remains the same:
A. The Family Support Specialist terminates services for parent/current
guardian and child in ELIS.
B. The Family Support Specialist completes the Application and
Authorization Form and Child Care Eligibility and Enrollment Certificate
for the new parent/guardian with the new signature, if eligible.
C. The Family Support Specialist informs the provider of the termination of
services for parent/current guardian. The new parent/guardian will
receive the application and certificate, while the current provider will
receive a copy of the child care certificate.
2. For a new guardian, where the provider selection for the child is changed:
A. The Family Support Specialist terminates services of parent/current
guardian and child in ELIS.
B. The Family Support Specialist sends a termination notice to the
parent/current guardian and the provider to confirm guardianship is no
longer with parent/current guardian and to close out the case.
C. The Family Support Specialist starts the Provider Transfer process for
the child. (See Provider Transfer Process)
Notes
None
Outputs
1.
2.
3.
4.
Guardianship Transfer Completed
Updated Enrollment Documents Completed
Provider Transfer Process
Updated Records in ELIS
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 90
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.7.4
Guardianship Transfer Detailed Workflows
External
Agency
Parent/Guardian
Family Support Specialist
ELC
The following workflow diagrams show the details of the Guardianship Transfer process including actors and activities.
Start
Review
Guardianship
Transfer Request
and Documentation
Request for
Guardianship
Transfer
Documentation
Valid?
Yes
No
Link To
Review Request
For Guardianship
Transfer A-1 Part 2
Request Follow Up
Information
Guardianship
Transfer Request
Start
End
Guardianship
End
Transfer Request
Request for
Additional
Information
Request for
Additional
Information
Provide Additional
Information for
Guardianship
Transfer
Provide Additional
Information for
Guardianship
Transfer
End
End
Figure 35. Review Request for Guardianship Transfer (A1 – Part 1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 91
HP Enterprise Services
Family Support Specialist
Link from
Review Request
For Guardianship
Transfer A
Current Parent/Guardian
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Review New
Guardians
Eligibilty
Contact
Current
Guardian?
No
Validate Guardian
Transfer
Existing Parent/
Guardian Record
Certifies
Eligibility Early
Learning Services.
Referral External
Agency
Yes
Update Current
and New Parent/
Guardian Records
New Guardian
Record
Link to
Process
Guardianship
Transfer A-2
End Guardianship
Transfer process
Contact Current
Guardian
End
Request is
Validated?
Yes
Link to
Process
Guardianship
Transfer A-2
Link to
Eligibility Determination
Enrollment
(Business Process BP-2)
Validate Request
End
Current
Guardian
Contact
No
Invalidate
Request
End
Figure 36. Review Request for Guardianship Transfer (A1 – Part 2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 92
HP Enterprise Services
Family Support Specialist
Link from
Final Review
Request for
Guardianship
Transfer A-1 Part 2
Workflow
Provider
Selection for
Child(ren)
Complete Forms and
Authorizations for
new Parent/
Guardian
Terminate Current
Parent/Guardian
Same
SR/VPK
Provider
Provides
New Parent/
Guardian and
Provider with
Application and
Certificate
Inform Current
Parent/Guardian and
Provider of
terminated services
End
New
Inform Current
Parent/Guardian and
Provider of
terminated services
Terminate Current
Parent/Guardian
Link to SR Provider
Transfer or VPK
Re-enrollment Business Process BP-6
Start
Start
Termination
Notice
Termination
Notice
End
End
New Parent/
Guardian
Current Parent/
Guardian
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Start
Application
and Certificate
Start
Start
Termination
Notice
End
Child Care
Certificate
End
End
Figure 37. Process Guardianship Transfer (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 93
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.7.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 39. Guardianship Transfer Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A,
Part 98
Child Care Development
Fund
N/A
2002
Florida Statutes
Section 411.01
School Readiness Act
Establishes the School
Readiness program and
services
March 26, 2010
Florida Statutes
Section 411.011
Records of Children in
School Readiness
Programs
Identifying which records from
School Readiness Programs
are exempt from Chapter 119
of the Florida State Statute
March 26, 2010
Florida State Statute
Section 1002.72
Records of Children in
the Voluntary PreKindergarten Education
Program
Identifying which records from
the Voluntary Prekindergarten
Program are exempt from
Chapter 119 of the Florida
State Statute
March 26, 2010
ELC Policies and
Procedures
N/A
N/A
N/A
3.7.6
Traceability
3.7.6.1 U S E C A S E S
The following Use Cases are associated with the Guardianship Transfer To-Be Business
Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-ELC-11: Submit Request for Guardianship Transfer
•
UC-ELC-12: Manage Request for Guardianship Transfer
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 94
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.7.6.2 R E QUIR E ME NT S
The requirements associated with the Guardianship Transfer To-Be Business Process
Model can be found in the Business Process to Requirements Traceability Matrix (RTM)
attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 95
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8
3.8.1
BP-08 Provider On-boarding and Management
Process Overview
The Early Learning Coalitions (ELCs) recruit, enroll, and manage providers. Recruitment
activities vary, depending on local need. All legally operating providers must be entered
into ELIS as an active CCR&R provider. School Readiness and Voluntary
Prekindergarten providers must complete an orientation to learn of their roles and
responsibilities. Orientation may be a regularly scheduled group meeting or conducted
on a one-to-one, as needed basis. CCR&R provider records are created once the new
provider's legal status is verified. The provider profile details are entered into ELIS once
the provider completes the CCR&R Provider Update survey and information is updated
as provider circumstances change.
The following assumptions have been made for the Provider On-boarding and
Management process:
1. A Prospective Provider is defined as a CCR&R Provider (legally operating) already in
ELIS.
2. A new provider is defined as in ELIS, but may be pursuing becoming a new SR or
VPK provider.
3. Providers are initially entered as an active CCR&R provider in their service area.
4. An interface will be established with the Department of Children and Families to
provide ELIS child care provider licensure and registration information.
3.8.1.1 A C T OR S
•
SR/VPK Provider
•
Prospective Provider
•
ELC Provider Specialist
•
ELC Executive Director
•
SR/VPK Provider Director/Owner
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 96
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.2
Provider On-boarding and Management Process Flow Diagram
The Provider On-boarding and Management process is depicted in the figure below.
Figure 38. Provider On-boarding and Management Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 97
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.3
Provider On-boarding and Management Detailed Process
Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 40. Provider On-boarding and Management – Prospective/New Provider Contact
P roc es s
Provider On-boarding and Management
T riggers
Provider Seeks Information
P roc es s S tep
A1 – Prospective/New Provider Contact
1. The prospective or new provider contacts the ELC for information about
providing early learning services (CCR&R, School Readiness or VPK).
2. The Provider Specialist gives the prospective or new provider a packet of
helpful information. Materials provided are dependent on the type of services
provision the prospective provider is interested in. Packets may include:
A c tivities
•
Provider/Site Contact Form
•
EFT – No Hassles, Faster Payments Letter
•
Electronic Funds Transfer Authorization
•
Notification of Change Agreement
•
Rilya Wilson Act Absence Reporting Letter
•
Rilya Wilson Act Signature Page
•
Provider Agreement Letter and Provider Agreement
•
Child Care Provider Self Assessment Form
•
Reflective Checklists for: Environment, Daily Program, Activities and
Experiences, Supportive Interactions, and Partnerships with Families
•
W-9 Request for Taxpayer ID Number and Certification
•
Federal Food Program Information (Family Home Child Care Only)
•
New Licensed/Exempt Provider Information Checklist
•
School Readiness Scholarship Provider Curriculum Orientation
Verification Form
•
School Readiness Scholarship Provider Orientation Training Verification
Form
•
Provider Rate Request
•
Provider Approved Rates Procedures
•
Provider Paid Holiday Request Form
•
Owner Information Form
•
Reimbursement Process Information
•
Early Learning and/or CCR&R information
•
CCR&R Provider Update Survey
Notes
None
Outputs
1. Prospective/New Provider Information Packet
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 98
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 41. Provider On-boarding and Management – Conduct Provider Contact
P roc es s
Provider On-boarding and Management
T riggers
Information Packet Provided and Continued SR/VPK Provider Interest
P roc es s S tep
A2 – Conduct SR/VPK Provider Orientation
A c tivities
1. The Provider Specialist arranges for the prospective provider to receive
orientation. SR/VPK orientation may be conducted in a number of ways:
• Regularly scheduled meeting
• One-on-one at the provider site
• Scheduled appointments at the ELC
2. The Provider Specialist conducts the SR/VPK Provider Orientation. Required
paperwork, policies and procedures, and a variety of other topics are
reviewed with the prospective provider. Topics include but are not limited to:
Notes
•
CCR&R
•
Eligibility
•
Reimbursement
•
Curriculum
•
Monitoring
•
Contracts
•
Background Screening
•
Health and Safety
•
Quality of Services and Compliance
•
Professional Development
Note 1: Scheduling and orientation is conducted by various departments within
the ELC or RCMA and may include other local partners such as DCF
for health and safety-related issues.
Note 2: Orientation is not required for CCR&R Providers.
Outputs
1. Complete SR/VPK Orientation
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 99
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 42. Provider On-boarding and Management – Review and Verify Documentation
P roc es s
Provider On-boarding and Management
T riggers
Completed SR/VPK Orientation and Documentation Received
P roc es s S tep
A3 – Review and Verify Documentation
A c tivities
1. The prospective provider completes the required documentation and
submits it to the Provider Specialist for review.
2. The Provider Specialist reviews the documentation and verifies that all
licensing, background, and other requirements are completed.
3. The Provider Specialist creates the provider record/profile.
4. The Owner/Director and ELC Executive Director execute the SR/VPK
Provider Agreement.
Notes
None
Outputs
1. Executed SR/VPK Provider Agreement
2. Provider Record/Profile
Table 43. Provider On-boarding and Management – Maintain Provider Profile
P roc es s
Provider On-boarding and Management
T riggers
Approved Provider and Provider Information Change
P roc es s S tep
A4 – Maintain Provider Profile
A c tivities
1. The Provider Specialist or Provider updates provider records at least
annually, and as provider information changes.
Notes
None
Outputs
1. Updated Provider Record/Profile
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 100
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.4
Provider On-boarding and Management Detailed Workflows
Provider Specialist
Provides Prospective
Provider
Information Packet
Schedules SR/VPK
Provider Orientation
Provides SR/VPK
Provider Orientation
Link to Review
and Verify
Documentation
Prospective Provider
Executive
Director
ELC
The following workflow diagrams show the details of the Provider On-boarding and Management process including
actors and activities.
Request Information
on Becoming a
Provider
Start
Attends SR/VPK
Provider Orientation
Prospective
Provider
Packet
Scheduled Orientation
End
Figure 39. Prospective Provider Contact and Conduct Provider Orientation (A1/A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 101
HP Enterprise Services
Provider Specialist
Reviews required
Documentation
Link from
Prospective
Provider Contact
and
Conduct SR/VPK
Orientation
Provider
Documentation
Complete?
Yes
Create Provider
Record/Profile
Creates Provider
Agreement
Updates Provider
Information
No
Request Additional
Information
Executive
Director
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Prospective Provider
Executes the
Provider
Agreement
Completes Required
Provider
Documentation
Request for
additional information
Completes Provider
Agreement
Provides Updated
Information
Provider
Agreement
Figure 40. Review and Verify Documentation and Maintain Provider Profile (A3/A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 102
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 44. Provider On-boarding and Management Business Rules
R ule
T itle
Des c ription
E ffec tive Date
Florida Statutes Section
411.01
School Readiness Act
Establishes the SR
program and services
March 26, 2010
Florida State Statute Section
1002.55
School-year
Prekindergarten
Program Delivered by
Private Prekindergarten
Providers
Establishes the
requirements to
become a VPK provider
March 26, 2010
Florida State Statute Section
1002.61
Summer
Prekindergarten
delivered by public
school and private
prekindergarten
providers
N/A
March 26, 2010
Florida State Statute Section
1002.63
School year
prekindergarten
program delivered by
public schools.
N/A
March 26, 2010
ELCs Policies and
Procedures
N/A
N/A
N/A
Early Learning Coalition
Plan
N/A
Establishes the onboarding process and
management for the
ELCs
Reviewed BiAnnually
2010 Grant Agreement
N/A
Contract between OEL
and the ELCs for
delivery of early
learning services
July 1, 2010
2010 Early Learning
Coalition Provider
Agreement
VPK Statewide
Provider Agreement
School Readiness
Agreement (which is in
the process of being
standardized statewide)
Contract between
ELCs and SR or VPK
providers for delivery of
early learning services
Varied
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 103
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
Des c ription
E ffec tive Date
Child Care Resource and
Referral Program
Requirements
F.A.C 60 BB 9.300
Child Care Resource
and Referral
A new provider who
does not request a SR
or VPK agreement just
needs to have their
legal status verified and
needs to provide
information about their
program in order to be
entered into ELIS by an
ELC Provider Specialist
August 20, 2010
Table 45. Provider On-boarding Forms
CCR &R
SR
VPK
Provider Update form
License/Registration Certificate
Gold Seal/Accreditation (if
applicable)
Provider Rates form
Holiday Form
Hours of operation/schedule
Additional services provided
Enhanced Services
Meal Options
Transportation (if applicable)
Subsidy Child Care Service
option
Contact information
Staff qualifications
Ages of children served
Facility policies
Annual Service Agreement/Contract
Current License, Registration or
Exempt Status
Curriculum Declaration or Waiver
Curriculum Training Certificate
Protective Service Annual Service
Agreement (if applicable)
Holiday Form
Provider Rate Form
W-9
Copy of Tax ID document for W9
General Liability Insurance
Bank Information & copy of voided
check for EFT
Business Integrity StatementLicensed Exempt programs only
Health & Safety Checklist
(registered/informal only)
Gold Seal Agreement Addendum (if
applicable)
Copy of Gold Seal
Certificate/Accreditation (if
applicable)
COOP Plan
Delegation of Authority statement of
No-Fraud
Health and safety check
(registered/informal only)
COOP Plan
Provider Contract
VPK 10 form
Licensed or Exempt (Exempt
only if accredited)
Coalition Approval Letter
Gold Seal/Accreditation
Certificate
Directors Credential
VPK Directors Endorsement
DCF clearance (within 5 yrs)
FDLE clearance (within 5 yrs)
Local clearance (within 5 yrs)
Copy of Tax ID document for
W9
Provider Profile - website
VPK 11 form
Affidavit of Good Moral
character
5 hr Literacy Training
Certificate/emergent literacy
Certificate for VPK Standards
training
Written Attendance/Absence
Policy
List of Holidays for Classroom
Calendar for VPK classroom
days with holidays marked
W-9
Lead instructor educational
qualifications
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 104
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.8.6
Traceability
3.8.6.1 U S E C A S E S
The following Use Cases are associated with the Provider On-boarding and
Management To-Be Business Process Model based on the Requirements Traceability
Matrix (RTM):
•
UC-COM-02: Request CCR&R
•
UC-COM-14: Provide Technical Assistance
•
UC-ELC-16: Process SR/VPK Provider Application
•
UC-ELC-17: Maintain SR/VPK Provider Information
•
UC-ELC-18: Maintain SR/VPK Instructor Information
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-09: Execute User Login
•
UC-GEN-10: Manage User Profile
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.8.6.2 R E QUIR E ME NT S
The requirements associated with the Provider On-boarding Management To-Be
Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 105
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.9
3.9.1
BP-09 Provider Quality Monitoring and Improvement
Process Overview
ELCs monitor provider activities and attendance records, and provide technical
assistance and training to help providers improve the quality of their services. ELIS helps
track monitoring activities and results. Improvement plans may be created for noncompliant providers or to structure quality improvement efforts. Chronic problems may
result in provider termination from the program. This process includes Low Performing
Providers (LPP) for the Voluntary Pre-Kindergarten Education Program (VPK).
The following assumptions have been made for the To-Be Provider Quality Monitoring
and Improvement process:
1. The LPP list is received from the Department of Education (DOE) on an annual basis
and will be uploaded into ELIS.
2. Quality Program Strategies and Tools include:
a. Technical Assistance
b. Quality Rating Program
c. Coaching and Mentoring
d. Training
e. Provider Agreements
3.9.1.1 A C T OR S
•
SR/VPK Provider
•
ELC Quality Manager
•
ELC Quality Specialist
•
Parents/Guardians
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 106
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.9.2
Provider Quality Monitoring and Improvement Process Flow Diagram
The Provider Quality Monitoring and Improvement process is depicted in the figure below.
Figure 41. Provider Quality Monitoring and Improvement Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 107
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.9.3
Provider Quality Monitoring and Improvement Detailed
Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 46. Provider Quality Monitoring and Improvement – Prepare for Monitoring
P roc es s
Provider Quality Monitoring and Improvement
T riggers
Annual Cycle, Poor Performance, Customer Complaints
P roc es s S tep
A1 – Prepare for Monitoring
A c tivities
1. The Quality Manager selects providers for monitoring per Agency-OEL
guidelines and ELC policies:
•
Provider records and complaint files are continuously monitored and
the ELC Quality Manager is alerted when certain criteria are met to
warrant non-routine monitoring.
•
A pre-defined percentage (up to 100% of providers) is randomly
selected for routine monitoring.
2. The Quality Specialist reviews selected provider records, along with any
supporting documentation such as prior monitoring and self-assessments.
Notes
Note 1: Throughout the provider quality monitoring process, the process status
and results are recorded in ELIS for management and reporting
purposes.
Note 2: One-hundred percent of LLPs are reviewed.
Outputs
1. List of Selected Providers to be Monitored
2. Monitoring Files
Table 47. Provider Quality Monitoring and Improvement – Conduct Monitoring
P roc es s
Provider Quality Monitoring and Improvement
T riggers
Providers Selected for Monitoring
P roc es s S tep
A2 – Conduct Monitoring
A c tivities
1. The Quality Specialist conducts the monitoring per Florida State Statute,
Administrative Code, Agency/OEL and ELC policies and procedures, and
provider agreements and documents the results.
Notes
Note 1: Provider monitoring is conducted by ELC staff, service provider staff, or
a contracted third party.
Note 2: Technical assistance is provided throughout the process.
Note 3: The staff conducting the monitoring may not be the same staff that
provides technical assistance and required training.
Outputs
1. Completed Monitoring
2. Reporting (individual and collective provider results)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 108
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 48. Provider Quality Monitoring and Improvement – Develop Program Improvement Plan
P roc es s
Provider Quality Monitoring and Improvement
T riggers
Monitoring Completed and Results Known
P roc es s S tep
A3 – Develop Program Improvement Plan
A c tivities
The Quality Specialist develops the program improvement/corrective action
plan, per Agency-OEL and ELC guidelines, to address areas needing
improvement. Technical assistance, training, mentoring, coaching and a variety
of other strategies are included in program improvement plans.
Notes
None
Outputs
1. Individual Provider Program Improvement Plan
2. Adjustment to Reimbursement
Table 49. Provider Quality Monitoring and Improvement – Conduct Follow Up
P roc es s
Provider Quality Monitoring and Improvement
T riggers
Program Improvement Plan
P roc es s S tep
A4 – Conduct Follow Up
A c tivities
1. The Quality Specialist conducts site visit(s) and/or other means to
determine compliance with the improvement plan and assess progress
made.
2. The Quality Specialist sends corrective action letters to non-compliant
providers.
3. The Quality Manager initiates the provider agreement termination process
for chronic unresolved issues previously documented in the improvement
plan.
Notes
Note 1: In some cases, funds may be suspended for poor performance without
terminating the provider contract or agreement. However, if the provider
license is revoked, contracts are terminated.
Note 2: The Executive Director, and/or the Board, is typically required to
approve termination actions.
Note 3: Parental notification of pending provider termination is given at or about
the time the provider termination notice is delivered.
Note 4: LPP/VPK provider agreement termination occurs when provider has
been LPP for 4 consecutive years.
Outputs
1.
2.
3.
4.
5.
Other compliance results
Corrective Action Letters
Parental Notification (of provider termination)
Notice of Termination
Notice of Suspension of Funding
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 109
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.9.4
Provider Quality Monitoring and Improvement Detailed Workflows
Selects Providers
for Monitoring
Periodic Quality
Monitoring
Quality Specialist
ELC
Quality Manager
The following workflow diagrams show the details of the Provider Quality Monitoring and Improvement process
including actors and activities.
Conduct SR / VPK
Provider
Monitoring
SR/VPK Provider
Review Selected
SR / VPK Provider
Records
Develop Program
Improvement /
Corrective Action
Plan
Program Improvement /
Corrective Action Plan
Conducts Followup Site
Monitoring
Makes
Improvements/
Corrections
Link to Conduct
Follow Up
Participates in Site
Monitoring
End
Figure 42. Prepare/Conduct Monitoring and Develop Program Improvement Plan (A1/A2/A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 110
HP Enterprise Services
Quality Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Notice of
Termination or
proposed
Termination of SR/
VPK Provider
Terminate or
propose
Termination of SR/
VPK Provider
End
SR/VPK Provider
is Compliant?
Link from
Prepare/
Conduct
Monitoring,
and Develop
Program
Improvement
Plan
No
Conducts Followup Monitoring
Develop Corrective
Action Letters
Continued NonCompliance
No
End
Yes
End
SR/VPK Provider
Quality Specialist
ELC
Yes
Provides Follow up
Information for
Monitoring
End
Parents/
Guardians
Makes
Improvements/
Corrections
Start
End
Figure 43. Conduct Follow Up Process Flow Diagram (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 111
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.9.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 50. Provider Quality Monitoring and Improvement Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A, Parts 74,
92, 98 and 99
Child Care
Development Fund
N/A
2002
Florida State Statute Section
411
Handicap or highrisk condition
prevention and
early childhood
assistance.
N/A
March 26,2010
Florida Statutes Chapter 1002,
Part V
VPK Act
Establishes authority
and requirements for
the Voluntary
Prekindergarten
Education Program
March 26, 2010
F.A.C. 60BB-4
Office of Early
Learning
Regulations for
administering the SR
Program
March 4, 2007
F.A.C. 60BB-8
Voluntary
Prekindergarten
December 21, 2010
CCDF Plan
Child Care
Development Fund
Plan
School Readiness Standard
Eligibility Review Guide
Same
Regulations for
administering the VPK
Education Program
State Plan for use of
Federal CCDF dollars,
and meeting federal
requirements.
Guide to assist in the
review process and
criteria for monitoring
ELCs.
VPK Standard Eligibility Review
Program Guide
Same
Guide to assist in the
review process and
criteria for monitoring
ELCs.
August, 2010
ELC Policies and Procedures
N/A
N/A
N/A
Early Learning Coalition Plan
N/A
Establishes the onboarding process and
management for the
ELCs
Reviewed BiAnnually
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Every Two Years
January 14, 2011
Page 112
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
Des c ription
E ffec tive Date
2010 Grant Agreement
N/A
Contract Between
OEL and the ELCs for
delivery of early
learning services
July 1, 2010
2010 Early Learning Coalition
Provider Agreement
N/A
Contract Between
ELCs and providers
for delivery of early
learning services
N/A
3.9.6
Traceability
3.9.6.1 U S E C A S E S
The following Use Cases are associated with the Provider Quality Monitoring and
Improvement To-Be Business Process Model based on the Requirements Traceability
Matrix (RTM):
•
UC-ELC-13: Initiate Child Developmental Assessment
•
UC-ELC-14: Complete Child developmental Assessment
•
UC-ELC-15: Monitor SR/VPK Provider Quality
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.9.6.2 R E QUIR E ME NT S
The requirements associated with the Provider Quality Monitoring and Improvement ToBe Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 113
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10 BP-10 Attendance Roster Processing
3.10.1
Process Overview
Attendance Roster Processing is the process of gathering attendance and service data
from SR/Local and VPK providers. This process consists of generating a periodic
attendance roster, allowing the SR/Local or VPK provider to modify the attendance
roster based on the service information for the child, submitting the SR/Local or VPK
provider attendance roster, and approving the attendance roster at the ELC. The data
from the attendance roster is entered into ELIS. Once approved, the children’s service
records are revised accordingly. The processing of the attendance roster also drives
period close-out processes and payments to SR/Local and VPK providers.
The following assumptions have been made for the Attendance Roster Processing
process:
1. OEL, the ELCs, and the SR and VPK providers agree on a monthly for roster
submission.
2. Supporting documentation (SR sign-in/sign-out sheets, monthly VPK absence forms,
absence documentation, and so forth) is NOT required to be submitted through the
Attendance Roster Processing process. Local policies may still require the
submission of certain documentation to the ELC, as well as continue to require the
SR or VPK provider to store the supporting documentation locally.
3. Original attendance rosters are not required for submission.
4. Attendance rosters are not required to be physically signed (electronic signature
allowed).
5. Locally funded children are included in Attendance Roster Processing.
3.10.1.1 ACTORS
•
AWI/OEL
•
Early Learning Coalition
•
ELC Reimbursement Specialist
•
ELC Reimbursement Manager
•
SR/VPK Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 114
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10.2
Attendance Roster Processing Process Flow Diagram
The Attendance Roster Processing process is depicted in the figure below.
Figure 44. Attendance Roster Processing Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 115
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10.3
Attendance Roster Processing Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 51. Required Attendance Submission
P roc es s
To-Be Attendance Roster Processing
T riggers
Required Attendance Submission
P roc es s S tep
A0 – Develop Schedule for Attendance Submission
A c tivities
1. Agency staff develops the monthly schedule for attendance submission
based on the Agency Attendance Submission policy.
2. Agency staff provides the attendance schedule to the ELC.
3. The ELC Reimbursement Specialist provides the attendance schedule to
the SR/VPK providers.
Notes
Note 1: The attendance submission schedule contains information pertinent to
roster scheduling, such as roster generation date and roster due date.
Note 2: Based on the attendance submission schedule, the attendance rosters
are generated accordingly (at the ELCs/RCMA).
Note 3: This step is performed by Agency staff to periodically setup the
schedule for attendance submission.
Outputs
1. Developed Roster Schedule
Table 52. Developed Attendance Roster Schedule
P roc es s
To-Be Attendance Roster Processing
T riggers
Developed Attendance Roster Schedule
P roc es s S tep
A1 – Generate Attendance Roster
A c tivities
1. The ELC Reimbursement Specialist generates the attendance roster for
each SR and VPK provider.
2. The ELC Reimbursement Specialist releases the attendance roster to the
each SR and VPK provider.
3. By request, the ELC Reimbursement Specialist may provide additional
attendance rosters to the SR/VPK provider.
Notes
Note 1: The data on the attendance roster will be based on the SR/VPK
provider information, child information, and teacher/classroom
information maintained in ELIS as well as the data required to be
reported through policy.
Note 2: Throughout the month, as enrollments, re-certifications, and
terminations occur, the data on the attendance roster will
change.
Note 3: ELCs can set up local funding that will work under the same rules and
flexibility as SR.
Outputs
1. Incomplete Attendance Roster
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 116
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 53. Generation of a Blank Attendance Roster
P roc es s
To-Be Attendance Roster Processing
T riggers
Generation of Blank Attendance Roster
P roc es s S tep
A2 – Populate Attendance Roster
A c tivities
1. The SR or VPK provider completes the attendance roster (marking the
days/hours the child was absence for service as well as other required
information).
2. The SR or VPK provider submits the completed attendance roster to the
ELC Reimbursement Specialist by the submission date on the schedule.
SR/local provider submits additional documentation of excessive absences
when absences exceed 3 per month (SR/local only) or for emergency
closure.
3. The ELC Reimbursement Specialist enters and verifies (hardcopy) or
verifies (electronic) the attendance data in ELIS.
4. The ELC Reimbursement Specialist rejects the submitted attendance roster
for corrections or the specialist approves the reimbursement once
discrepancies are resolved and enters the roster data into ELIS, the
provider of SR, Local or VPK services may be contacted for clarification.
5. The ELC Reimbursement Specialist scans or stores the attendance roster at
the ELC (if paper-based).
Notes
None
Outputs
1. Submitted Attendance Roster
Table 54. Submitted Attendance Roster
P roc es s
To-Be Attendance Roster Processing
T riggers
Submitted Attendance Roster
P roc es s S tep
A3 – Approve Attendance Roster
A c tivities
1. The ELC Reimbursement Specialist sends the submitted attendance roster
for review
2. The ELC Reimbursement Manager reviews the summary information from
the roster data once the roster has been submitted.
3. The ELC Reimbursement Manager approves and processes the attendance
roster once the review of the attendance roster is complete. Should
discrepancies exist during the review, the SR/VPK provider or ELC
Reimbursement Specialist may be contacted to resolve the discrepancy.
Notes
Note 1: The approval of the attendance roster initiates the revision (or update)
to the child’s attendance records.
Outputs
1. Approved Attendance Roster
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 117
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 55. Approved Attendance Roster
P roc es s
To-Be Attendance Roster Processing
T riggers
Approved Attendance Roster
P roc es s S tep
A4 – Revise Child Attendance Information
A c tivities
1. Once the attendance roster is approved the child’s attendance information
(based on the approved attendance roster) is revised.
Notes
None
Outputs
1. Revised Child Attendance Information
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 118
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10.4
Attendance Roster Processing Detailed Workflows
Develop Schedule
Provide Attendance
Schedule to ELC
End
Required
Attendance
Submission
Receives Attendance
Schedule
SR/VPK Provider
ELC
Reimbursement
Specialist
AWI/OEL
The following workflow diagrams show the details of the Attendance Roster Processing process including actors and
activities.
Provides Attendance
Schedule to
Providers
Generates
Attendance Roster
Receives Attendance
Schedule
Releases Attendance
Roster
End
Receives Attendance
Roster
Link to Populate
Attendance Roster
(A-2)
Figure 45. Develop Schedule/Release Attendance Roster (A0/A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 119
HP Enterprise Services
SR/VPK Provider
ELC Reimbursement Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Start
Verifies the
Attendance Data in
ELIS
Discrepancies
Exist?
Scans or Stores
Paper Based
Attendance Rosters
No
Yes
Link to Approve
Attendance Roster/
Revise Child Attendance
Information (A-3/A-4)
Contacts SR/VPK
Provider for
Clarification
Completes
Attendance Roster
Submits Completed
Attendance Roster
Provides
Clarification
End
Link from
Develop
Schedule
And Release
Attendance Roster
Figure 46. Populate Attendance Roster (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 120
HP Enterprise Services
Reimbursement Manager
Reviews
Summary
Information from
the Roster Data
Discrepancies
Exist?
Approves and
Process Attendance
Roster
No
No
Yes
Contacts
SR/VPK Provider or
Reimbursement
Specialist for
Clarification
Submits Attendance
Roster for Review
Receives
Clarification(s)
Child’s Attendance
Information is
Revised
Yes
Discrepancies
Resolved?
End
Receives Request for
Information
Link from
Populate
Attendance
Roster
A-2
Sends
Requested
Information
SR/VPK Provider
Reimbursement
Specialist
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Provides
Clarification
Request for
Clarification
End
Figure 47. Approve Attendance Roster/Revise Child Attendance Information (A3/A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 121
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 56. Attendance Roster Processing Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A, Part 98
State CCDF Plan
Child Care Development Fund
N/A
2002
FFY 2010-2011
Florida State Statute
Section 1002.71
Funding; financial and
attendance reporting
N/A
March 26, 2010
F.A.C. 60BB – 4.500
General Reimbursement
Provisions
N/A
February 2, 2005
F.A.C. 60BB - 4.501
Emergency Closures
N/A
February 2, 2005
F.A.C. 60BB – 4.502
Records to be Maintained
N/A
February 2, 2005
F.A.C. 60BB – 4.503
Fraud
N/A
February 2, 2005
F.A.C. 60BB – 8.204
Attendance Policy
N/A
September 14, 2009
F.A.C. 60BB – 8.205
Advance Payment and
Reconciliation for the Voluntary
Prekindergarten Education
Program
Recording and Certifying Child
Attendance in the VPK
Program.
N/A
September 14, 2009
N/A
May 24, 2007
F.A.C. 60BB- 8.305
3.10.6
3.10.6.1
Traceability
US E C AS E S
The following Use Cases are associated with the Attendance Roster Processing To-Be
Business Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-05: Manage Slot Availability
•
UC-ELC-09: Submit Provider Transfer Request
•
UC-ELC-10: Manage Provider Transfer Request
•
UC-ELC-19: Execute SR / VPK Attendance Processing
•
UC-ELC-20: Execute ELC Attendance Processing
•
UC-ELC-22: Execute Closeout
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 122
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.10.6.2
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Attendance Roster Processing To-Be Business
Process Model can be found in the Business Process to Requirements Traceability
Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business
Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 123
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.11 BP-11 Prior Period Attendance Adjustments
3.11.1
Process Overview
The discovery of attendance or payment discrepancies may result in adjustments to
existing attendance records. By adjusting the attendance records, the ELC
Reimbursement Specialist corrects the attendance records for the child and corrects the
funds that should have been paid to the SR/VPK provider. Prior period attendance
adjustments processed in the current period are reflected in the current period’s
payment to the SR/VPK provider.
The following assumptions have been made for the Prior Period Attendance
Adjustments process:
1. Supporting documentation (SR sign-in/sign-out sheets, monthly VPK absence forms,
absence documentation, and so forth) is NOT required to be submitted through the
Attendance Roster Processing process. Local policies may still require the
submission of certain documentation to the ELC, as well as continue to require the
SR/VPK provider to store the supporting documentation locally.
2. Locally funded children are included in SR attendance and prior period adjustments.
3.11.1.1
A C T OR S
•
ELC Reimbursement Specialist
•
ELC Reimbursement Manager
•
SR/VPK Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 124
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.11.2
Prior Period Attendance Adjustments Process Flow Diagram
The Prior Period Attendance Adjustments process is depicted in the figure below.
To-Be Prior Period Attendance Adjustments
Figure 48. Prior Period Attendance Adjustments Process Flow
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 125
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.11.3
Prior Period Attendance Adjustments Detailed Process
Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 57. Generate Prior Period Attendance Adjustment
P roc es s
To-Be Prior Period Attendance Adjustments
T riggers
Discovery of Attendance Discrepancy
P roc es s S tep
A1 – Generate Prior Period Attendance Adjustment
A c tivities
1. The ELC Reimbursement Specialist initiates the investigation of the
attendance issue.
2. If supporting documentation is needed to review the attendance issue, the
ELC Reimbursement Specialist requests the supporting documentation from
the SR/VPK provider. This may include original attendance rosters, original
SR sign-in/sign-out forms VPK Certification of Attendance Long or Short
Form (AWI-VPK Form 03L or 03S) for SR inquires, and/or documentation
submitted to support absence or emergency closure and original SR/Local
monthly absence reason forms.
3. If a prior period attendance adjustment is determined to be needed, the ELC
Reimbursement Specialist generates a prior period attendance adjustment
and documents the reason for the prior period attendance adjustment.
4. Reimbursement Specialist submits attendance adjustment for review
Notes
Note 1: The prior period attendance adjustment may be based on:
•
SR or VPK Attendance Audit finding a need for an attendance
adjustment
•
Reimbursement Specialist identifies an error during the attendance
entry (actual attendance issue, incorrect child age, etc.)
•
Potential fraud
•
Request from another ELC department
•
SR/VPK provider call or notice
•
Client call
• Other processing
Note 2: If fraud is suspected, the fraud case will be investigated as described by
the ELC’s fraud policy.
Outputs
1. Pending Prior Period Attendance Adjustment
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 126
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 58. Approve Prior Period Adjustment
P roc es s
To-Be Prior Period Attendance Adjustments
T riggers
Pending Prior Attendance Adjustment
P roc es s S tep
A2 – Approve Prior Period Attendance Adjustment
A c tivities
1. The Reimbursement Manager reviews the original entry, the adjustment
entry, reason for adjustment, and supporting documentation related to the
adjustment.
•
If the prior period attendance adjustment is needed, the ELC
Reimbursement Manager approves and processes the prior period
attendance adjustment.
•
If the prior period attendance adjustment is not needed or requires
additional information, the ELC Reimbursement Manager rejects the
prior period attendance adjustment and sends it back to the ELC
Reimbursement Specialist (go to A-1).
Notes
Note 1: Approved prior period attendance adjustments are reflected in the
period’s closeout and period’s payment to the SR/VPK provider (refer to
Closeout Process).
Note 2: The approval of the prior period attendance adjustment initiates the
revision (or update) to the child’s attendance records.
Outputs
1. Approved Prior Period Attendance Adjustment
2. Rejected Prior Period Attendance Adjustment
Table 59. Revise Child Information
P roc es s
To-Be Prior Period Attendance Adjustments
T riggers
Approved Prior Attendance Adjustment
P roc es s S tep
A3 – Revise Child Information
A c tivities
1. Once a prior period attendance adjustment is approved, the ELC
Reimbursement Manager revises the child’s attendance information (based
on the approved prior period attendance adjustment).
Notes
Note 1: ELIS revises the attendance information.
Note 2: Revising attendance may also revise payment.
Outputs
1. Revised Child Attendance Information
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 127
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.11.4
Prior Period Attendance Adjustments Detailed Workflows
Reimbursement Specialist
Initiates the
Investigation
of the Attendance
Issue
SP/VPK Provider
Early Learning Coalition
The following workflow diagrams show the details of the Prior Period Attendance Adjustments process including actors
and activities.
Supporting
Documentation
Requested
No
Attendance
Adjustment
Needed
No
End
Yes
Yes
Request Supporting
Documentation
Supporting
Documentation
Received
Generate a Prior
Period Adjustment
Documents Reason
for Prior Period
Adjustment
Submits Pending
Prior Period
Adjustment
Link to Approve
Prior
Period
Adjustment
(A-2/A-3)
Provides Supporting
Documentation
Request for Supporting
Documentation
End
Figure 49. Generate Prior Period Attendance Adjustment (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 128
HP Enterprise Services
ELC Reimbursement Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Approves Prior
Period Adjustment?
Link from Prior Period
Attendance Adjustment
(A-1)
Yes
Processes Prior
Period Adjustment
Revises Child
Attendance
Information
End
No
Rejects Prior Period
Adjustment
Go to back to A-1
To generate corrected
prior period adjustment
Figure 50. Approve Prior Period Attendance Adjustment, Revise Child Information (A2, A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 129
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.11.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 60. Prior Period Attendance Adjustments Business Rules
R ule
T itle
Des c ription
E ffec tive Date
ELC Fraud Policy
N/A
N/A
N/A
FAC 60BB-8.305
Recording and
Certifying Child
Attendance in the
VPK Program
Records to be
Maintained and
Monitoring for
Reimbursements.
N/A
May 24, 2007
N/A
February 2, 2005
FAC 60BB-4.502
3.11.6
Traceability
3.11.6.1 U S E C A S E S
The following Use Cases are associated with the Prior Period Attendance Adjustments
To-Be Business Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-05: Manage Slot Availability
•
UC-ELC-21: Execute Prior Period Attendance Adjustment
•
UC-ELC-22: Execute Closeout
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.11.6.2 R E QUIR E ME NT S
The requirements associated with the Prior Period Attendance Adjustments To-Be
Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 130
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12 BP-12 Closeout
3.12.1
Process Overview
On a periodic basis, the ELC performs a reconciliation, review and "closeout" of the
direct service expenditures (including VPK provider advance payment), non-direct
expenditures, administrative expenditures, quality expenditures, and match data. Once
the closeout has occurred for the period, the ELC submits the request for reimbursement
of funds to the Office of Early Learning (OEL), and issues payment, for the direct service
expenditures, to the SR/VPK providers based on ELC preference and is subject to
change without OEL involvement. The reimbursement data is entered into ELIS through
the FLAIR interface or manually if the interface is not available.
The following assumptions have been made for the Closeout process:
1. The OEL, ELCs, and SR/VPK providers agree on a monthly schedule for the period.
2. Authorized ELC staff does not need to sign the reimbursement request to OEL.
Electronic Signature or approval replaces the need for a physical signature. The
reimbursement request is submitted through ELIS.
3. ELC Staff are trained on the ELC accounting software.
4. There will be closeout of ELIS (direct services) and a close out of Local Accounting
System (all other data)
3.12.1.1
A C T OR S
•
Agency Staff
•
ELC Finance Director
•
ELC Fiscal Manager
•
ELC Fiscal Specialist
•
ELC Reimbursement Manager
•
Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 131
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.2
Closeout Process Flow Diagram
The Closeout process is depicted in the figure below.
To-Be Closeout
Closeout
Policy
Required
Periodic
Closeout
Develop Schedule for
Closeout
Funds
Developed
Closeout
Schedule
Reviewed
Closeout
Approved
Closeout
Review Closeout for
Period
Approve Closeout for
Period
A1
A2
A0
Issue SR /Local/ VPK
Provider Payment
SR/VPK
Provider
Payment
A3
Issue
Resolution
ELIS
Accounting
Software
Accounting
Software
ELIS
Submit
Reimbursement
Request to OEL
ELIS
Reimbursement
of Funds
Reimbursement
Request
A4
Accounting
Software
Accounting
Software
ELIS
Receive
Reimbursement
A5
Accounting
Software
Figure 51. Closeout Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 132
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.3
Closeout Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 61. Closeout – Develop Schedule for Closeout
P roc es s
To-Be Closeout
T riggers
Required Periodic Closeout
P roc es s S tep
A0 – Develop Schedule for Closeout
A c tivities
1. Agency staff develops the schedule for closeout based on the Agency
Closeout Submission policy. The schedule is user-defined and will be set to
monthly.
2. Agency staff provides the closeout schedule to the ELC.
Notes
Note 1: The schedule contains information pertinent to the closeout – such as
Period date, Agency submission date, etc.
Note 2: This is a periodic step in the process. This step is performed by Agency
staff to setup the closeout schedule.
Outputs
1. Develop Closeout Schedule
Table 62. Closeout – Review Closeout for Period
P roc es s
To-Be Closeout
T riggers
Develop Closeout Schedule
P roc es s S tep
A1 – Review Closeout for Period
A c tivities
1. Based on the Closeout Schedule, the ELC Reimbursement Manager
reviews the following data (by Grant):
• Direct Service Expenditures (including VPK provider advance payment)
• Match Data (Direct Services)
2. The ELC Fiscal Manager reviews the data from the ELC accounting
software.
• Non-Direct Service Expenditures
• Administrative Expenditures
• Quality Expenditures
• Match Data (Excluding Direct Services)
3. The ELC Reimbursement Manager resolves discrepancies in ELIS and reanalyzes the figures.
4. Once the ELIS figures are accurate, the ELC Reimbursement Manager
routes the ELIS closeout information to the ELC Finance Director for
approval.
5. Once the ELC accounting software is verified, the ELC Fiscal Manager
routes the ELC accounting software closeout information to the ELC
Finance Director for approval.
Notes
None
Outputs
1. Reviewed ELIS Closeout Data
2. Reviewed ELC Accounting Software Closeout Data
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 133
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 63. Closeout – Approve Closeout
P roc es s
To-Be Closeout
T riggers
Reviewed Closeout
P roc es s S tep
A2 – Approve Closeout
A c tivities
1. The ELC Finance Director reviews the period’s closeout figures (both ELIS
and ELC accounting software).
2. If the ELC Finance Director agrees with the closeout figures, the following
occurs:
A. Direct service data is entered into the ELC’s accounting software.
B. Budget spending data is defined.
C. The period’s closeout is approved.
3. If the ELC Finance Director does not agree with the closeout figures, the
ELC Finance Director determines the discrepancy and requests that the
ELC Reimbursement Manager or ELC Fiscal Manager corrects the issue.
Notes
None
Outputs
1. Approved Closeout
2. Unapproved Closeout
Table 64. Closeout – Issue School Readiness/Voluntary Prekindergarten Provider Payments
P roc es s
To-Be Closeout
T riggers
Approved Closeout
P roc es s S tep
A3 – Issue SR/VPK Provider Payments
A c tivities
1. Once the period’s closeout has been approved, the ELC Finance Director
creates the payments to the SR/VPK providers.
2. The ELC Finance Director prints the physical checks and/or initiates the
electronic payment.
3. The ELC Finance Specialist provides a “Payment Package” to the SR/VPK
provider:
4. The ELC Finance Specialist stores backup copies of the Payment Package
at the ELC.
Notes
Note 1: The Payment Package consists of:
Outputs
•
If the SR/VPK provider receives a paper check:
– Actual paper check
– A copy of the direct service expenditures included in payment
•
If the SR/VPK provider receives a direct deposit payment:
– Direct deposit stub
– A copy of the direct service expenditures included in payment
1. SR/VPK Provider Payment
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 134
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 65. Closeout – Submit Reimbursement Request to OEL
P roc es s
To-Be Closeout
T riggers
Approved Closeout
P roc es s S tep
A4 – Submit Reimbursement Request to OEL
A c tivities
1. Once the period’s closeout has been approved, the ELC Finance Director
submits the closeout data to OEL Financial Administration and Budget
Services (BP 16 Process ELC Invoice). The reimbursement data/invoice
includes (categorized by each grant):
•
•
•
•
•
•
Notes
Outputs
Direct service expenditures
Administrative expenditures
Quality expenditures
Non-direct and other allowable expenditures
Prior Period Adjustments
Coalition Advance/VPK Provider Advance requests
Note 1:
School Readiness: See cash management guidance, 240.01
•
SR: The ELC may request and receive an initial cash advance of SR
funds on the projected need to cover the ELC’s immediate cash
requirements not to exceed the anticipated expenses of a 30 day
period. An initial cash advance may not exceed the ELC’s highest
invoice month from the previous fiscal year unless an exception is
granted with justification granted by OEL. The ELC must complete a
monthly reconciliation, including projections for future cash needs.
•
VPK Coalition Advance: The ELC may request and receive a VPK
coalition advance payment calculated in accordance with the formula in
Rule 60BB-8.205, F.A.C. The ELC must reconcile the advance
payment to the ELC’s immediate cash needs.
•
VPK Provider Advance: Each ELC shall calculate and reconcile
advance payments to private providers and public schools in the VPK
program in accordance with Rule 60BB-8.205, F.A.C. The ELC shall
address provider advance overpayments in accordance with Rule
60BB-8.205, Florida Administrative Code. If an ELC is owed money by
a provider at the end of the fiscal year due to unrecovered provider
overpayments, the ELC may invoice the Agency on the final (13th)
invoice for the delinquent amount. (See 240.03 Collection of delinquent
accounts (VPK, SR, all other contractors receiving state funds)
1. Reimbursement Request
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 135
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 66. Closeout – Receive Reimbursement
P roc es s
To-Be Closeout
T riggers
Reimbursement Request
P roc es s S tep
A5 – Receive Reimbursement
A c tivities
1. The reimbursement of funds is sent to the ELC from the Department of
Financial Services (from BP 16 Process ELC Invoice- See Note 1).
2. The Financial Specialist enters the reimbursement data into the ELC
accounting system or is imported through the local accounting system
interface.
Notes
Note 1. See BP 16- Process ELC invoice for details of approvals and process
steps that occur between the request for reimbursement of funds and
the actual reimbursement.
Outputs
1. Reimbursement of Funds
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 136
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.4
Closeout Detailed Workflows
Periodic Monthly
Schedule
Develops the
schedule for
closeout
ELC
AWI Staff
The following workflow diagrams show the details of the Closeout process including actors and activities.
Provides schedule to
the ELC
Review Closeout
for Period (A-1)
Closeout
Schedule
Review Closeout
Figure 52. Develop Schedule for Closeout (A0)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 137
HP Enterprise Services
Fiscal Manager
Reviews Grant Data
Periodic Monthly
Closeout
Schedule
Monthly
Closeout
Resolves
Discrepancies/
Reanalyzes Figures
Sends for Approval
End
Sends ELC
Accounting Software
Closeout for
Approval
Reviews And Verifies
Data from
Accounting Software
Finance Director
ELC
Reimbursement
Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Monthly
Closeout
Monthly
Closeout
Link to Approve
Closeout (A-2)
Figure 53. Review Closeout for Period (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 138
HP Enterprise Services
Reimbursement Manager/
Fiscal Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Finance Director
ELC
Resolves
Discrepancies
Review Closeout
Figures
(ELIS and Accounting
Software)
Agrees with
Closeout
Figures?
No
Link from Review
Closeout
for Period (A-1)
Yes
Send for Approval
Determines
Discrepancies and
Returns for
corrections
Approves Period
Closeout
Link to Issue
SR/VPK Provider
Payments (A-3)
Figure 54. Approve Closeout (A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 139
HP Enterprise Services
Finance Director
Creates payments to
providers
Link from
Closeout
Approved (A-2)
Prints Checks/
Initiates Electronic
Payment
Finance
Specialist
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Provider
Provides a Payment
Package to the SR/
VPK provider
Start
Payment Package
Stores Copy of
Payment Package
Provider Payment
Completed
End
Figure 55. Issue SR/VPK Provider Payments (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 140
HP Enterprise Services
ELC Finance Director
ELC
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Submits Closeout
Data
Link from
Closeout
Approved (A-2)
Link from
Link to BP 16
Reimbursement
BP 16
Process ELC Invoice A-1
Received
Process ELC Invoice
Enters
Reimbursement
Data into ELC
Accounting Systems
Reimbursement
Complete
Figure 56. Submit Reimbursement Request; Receive Reimbursement (A4, A5)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 141
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 67. Closeout Business Rules
R ule
T itle
Des c ription
E ffec tive Date
The ELC's contract with the SR
/VPK provider outlines the
payment schedule and method
of payment
N/A
N/A
Various
Reimbursement invoices are
required to be submitted to OEL
by the 25th of the month.
N/A
Per the ELC Grant
Agreement
Annual
Match data is required to be
submitted to OEL by the 20th of
the month.
N/A
Per the ELC Grant
Agreement
Annual
VPK provider/ELC advance
payments are sometimes
submitted separately. It is
permissible to submit direct
service invoices separately (this
is done on an exception basis
by some and routinely by other
ELCs.
N/A
N/A
N/A
For the Teenage Parent
Program (TAPP), a report must
accompany the school
readiness invoice.
N/A
N/A
N/A
Advances are subject to
adjustment at any time due to
cash flow and enrollment
changes.
N/A
N/A
N/A
AWI Fiscal Guidance 240.01
OEL-FG-0042-07:
Cash
Management
Guidance
•
The ELC may request
and receive an initial
cash advance of SR
funds on the projected
need to cover the ELC’s
immediate cash
requirements not to
exceed the anticipated
expenses of a 30-day
period.
•
An initial cash advance
may not exceed the
ELC’s highest invoice
month from the previous
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
September 22,
2008
Page 142
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
F.A.C 60BB-8.205:
AWI Fiscal Guidance 240.03
OEL-FG-0042-07
T itle
Advance Payment
and Reconciliation
for the Voluntary
Prekindergarten
Education
Program
Collection of a
Delinquent
Account
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Des c ription
fiscal year.
E ffec tive Date
•
The ELC must complete
a monthly reconciliation,
including projections for
future cash needs.
•
The ELC may request
and receive a VPK ELC
advance payment
calculated in
accordance with the
formula in Rule 60BB8.205, F.A.C.
•
The ELC must reconcile
the advance payment to
the ELC’s immediate
cash needs.
•
VPK Provider Advance:
Each ELC shall
calculate and reconcile
advance payments to
private providers and
public schools in the
VPK program in
accordance with Rule
60BB-8.205, F.A.C.
•
The ELC shall address
provider overpayments
in accordance with Rule
60BB-8.205, Florida
Administrative Code.
•
If an ELC is owed
money by a provider at
the end of the fiscal
year due to
unrecovered provider
overpayments, the ELC
may invoice the Agency
on the final (13th)
invoice for the
delinquent amount.
•
An ELC may request
that the Agency report a
delinquent account to
the Department of
Financial Services
(DFS) for collection
after the ELC has
exercised due diligence
September 14,
2009
April 18, 2007
Page 143
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
3.12.6
3.12.6.1
Des c ription
and is yet unsuccessful
in collecting on the
account.
E ffec tive Date
•
The ELCs’ collection
efforts should include
approving a repayment
schedule, offsetting a
debt with state or
federal funds due to the
debtor, and issuing
letters demanding
repayment
•
If the Agency denies the
ELC request, the
Agency may deduct the
amount the debtor owes
from state or federal
funds due to the ELC.
Traceability
US E C AS E S
The following Use Cases are associated with the Closeout To-Be Business Process
Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-05: Manage Slot Availability
•
UC-COM-06: Manage Reimbursements
•
UC-COM-07: Initiate Payment
•
UC-COM-09: Manage Receivable
•
UC-ELC-22: Execute Closeout
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 144
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.12.6.2
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Closeout To-Be Business Process Model can be
found in the Business Process to Requirements Traceability Matrix (RTM) attached as
HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 145
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.13 BP-13 Collections
3.13.1
Process Overview
When a questioned cost is discovered, it may be determined to be a recoverable item.
Based on the type of recoverable item, the ELC may use one of a variety of methods to
attempt to collect the recoverable cost. Should fraud be suspected, the ELC refers the
case to the Department of Financial Services (DFS) who performs the investigation. All
other action is stopped until the fraud referral is resolved.
The following assumptions have been made for the Collections process:
1. The collection policy is standard across ELCs.
2. Unrecoverable, non-fraud costs may be referred to the Department of Financial
Services (DFS) collections.
3. In the case of collections of funding, the collection may be escalated to the state
attorney of jurisdiction based on where the fraud occurred.
3.13.1.1
A C T OR S
•
ELC Finance Specialist
•
Debtor
•
Department of Financial Services
•
Agency
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 146
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.13.2
Collections Process Flow Diagram
The Collections process is depicted in the figure below.
To-Be Collections
AWI Delinquent
Account Policy
Demand Letters
Not Suspected
Fraud Costs
Initiate Recovery
Delinquent
Recovery
Details
Payment
Request
Request Repayment
of Delinquent Account
A2
Questioned
Cost
ELIS
Questioned Cost
Determination
Resolved
Recovery
Recovery Resolution
A3
A4
ELIS
ELIS
A1
Non-Delinquent
Recovery Details
ELIS
Suspected Fraud
Referral
Suspected
Fraud Costs
Referral to
DFS
A5
Fraud Referral
Database
Figure 57. Collections Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 147
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.13.3
Collections Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 68. Collections – Questioned Cost Determination
P roc es s
To-Be Collections
T riggers
Discovery of Questioned Cost
P roc es s S tep
A1 – Questioned Cost Determination
A c tivities
1. The ELC Finance Specialist becomes aware certain costs by the VPK/SR
provider, parents or guardian that require further investigation.
2. The ELC Finance Specialist stores the details regarding the questioned cost
and the action taken, referencing the guardian or SR/VPK provider.
Notes
Note 1: Questioned costs may occur, or be discovered, for a number of
reasons:
– Disallowed payment (attendance adjustments)
– Improper payment occurred
– Improper benefit received
– Overpayment
– Reconciliation of VPK advance payment (results in deficiency at the
end of the fiscal year)
– Unexpected funds remaining at the end of the fiscal year
– Suspected fraud
– Attorney General audit
– OEL audit
– County differentials
Note 2: In the event a VPK provider ceases doing business, the ELC will
attempt to recover provider advance payments the provider received.
Outputs
1. Recoverable Item
2. Suspected Fraud
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 148
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 69. Collections – Initiate Recovery
P roc es s
To-Be Collections
T riggers
Instruction to Recover Questioned Cost
P roc es s S tep
A2 – Initiate Recovery
A c tivities
1. The ELC’s Finance Specialist initiates the recovery of the cost when the
questioned cost is determined to be a recoverable item (not including cases
of fraud), and determines the method of recovery.
2. The ELC’s Finance Specialist records the details about the recoverable item
for tracking purposes.
Notes
Note 1: The ELC may perform one or more of the following methods for
recovery:
Outputs
•
Request Repayment in Full – The ELC’s Finance Director will request a
full repayment of funds immediately, providing the cost and reason for
requesting the repayment.
•
Establishing a Repayment Schedule – The ELC’s Finance Director will
work with the debtor to establish a repayment schedule, paying the debt
in partial payments over a period of time.
•
Create an Offsetting Payment (SR/VPK provider only) – The ELC’s
Finance Director will create an offsetting payment from funds from other
programs paid to the SR/VPK provider, or may offset the funds provided
to the SR/VPK provider for the next payment year.
•
Create an Offsetting Payment Vendors/Sub-recipients – The ELC’s
Finance Director will create an offsetting payment from funds from other
programs paid to the vendors/sub-recipients, or may offset the funds
provided to the vendors/sub-recipients for the next payment year.
•
Attendance Adjustment (SR/VPK provider only) – The ELC’s
Reimbursement Manager determines an attendance adjustment will
recover the cost (see Attendance Adjustment process).
1. Recovery Details and Action
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 149
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 70. Collections- Request Repayment of Delinquent Account
P roc es s
To-Be Collections
T riggers
Receive Recovery Details
P roc es s S tep
A3 – Request Repayment of Delinquent Account
A c tivities
1. The ELC Finance Specialist generates the first Demand Letter and sends
the letter through certified mail.
2. If the account remains delinquent, the ELC Finance Specialist generates a
second (and final) Demand Letter and sends the letter through certified mail.
Notes
Note 1: The text of the Demand Letters is standard from the Agency/OEL, but
the ELC customizes portions of the text.
Note 2: The first Demand Letter informs the debtor for repayment. The letter
must be issued within 10 calendar days after the account has become
delinquent. This demand letter includes:
– Amount of debt owed
– Reason for delinquency
– Demand for repayment of full amount within 30 calendar days after
issuance of the letter
– Debtor’s rights to dispute (which must be received in writing within
30 calendar days after issuance of the letter)
– Description of the ELC’s collection efforts used if the account
remains delinquent
Note 3: The second Demand Letter informs the debtor repayment is required
within 10 days. This demand letter includes:
– Amount of debt owed
– Reason for delinquency
– Demand for repayment of full amount within 10 calendar days after
issuance of the second letter
– Debtor’s rights to dispute (which must be received in writing within
10 calendar days after issuance of the letter)
– Description of the ELC’s collection efforts used if the account
remains delinquent
– Notice the debtor may not receive further state or federal funds until
the delinquent account is paid in full
– Notice Agency may initiate collection of the funds through DFS.
Outputs
1. Payment Request
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 150
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 71. Collections- Resolved Recovery
P roc es s
To-Be Collections
T riggers
Recovered Cost, Other Resolution
P roc es s S tep
A4 – Recovery Resolution
A c tivities
1. If payment is made, the ELC Finance Specialist updates the account based
on the funds received. The account moves back into “good standing” once
the debt is being paid successfully or has been paid in full.
2. At the time payment is received by the ELC, the ELC Finance Specialist
deposits the funds into the appropriate account.
3. If the debt is from a SR/VPK provider, and remains delinquent after attempts
have been made by the ELC to collect the repayment, the ELC Specialist
may refer the delinquent account to the Agency.
A. Agency staff will review the delinquent account information and may
refer the account to DFS for collection. Note: The Agency may also
deny the ELC’s request to have DFS recover the delinquent account.
B. If the request to the Agency is denied, the ELC Finance Specialist
makes the appropriate entries into their financial records to account for
and clarify the discrepancy.
4. The ELC Finance Specialist stores the documentation used in the
collections process for reference.
Notes
Note 1: If a payment schedule is set up, the debtor must repay the funds
according to the terms of the payment schedule. The partial payments
follow the same process outlined in A2 (above). Recovery is not
resolved until all payments are received
Note 2: Could go to DFS collections if unable to collect (non fraud)
Outputs
1. Resolved Recovery
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 151
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 72. Collections- Suspected Fraud Referral
P roc es s
To-Be Collections
T riggers
Reason is Suspected Fraud
P roc es s S tep
A5 – Suspected Fraud Referral
A c tivities
1. In cases of suspected fraud of a questioned cost, the ELC Finance
Specialist will enter the referral to the referral database.
2. Suspected fraud referral data is sent to DFS in the form of the Suspected
Fraud Referral document.
3. DFS will send updated data on the status of suspected fraud referrals from
initial referral to resolution and closure or collections.
Notes
Note 1: DFS as of January 1, 2011, OEL and AWI Inspector General’s Office
will receive notification a suspected fraud case has been initiated by the
ELC.
Note 2: No other action is taken until the fraud referral is resolved.
Note 3: Could go to DFS collections if unable to collect (non fraud).
Note 4: The suspected fraud referrals are sent via an interface. This interface
will also receive the State Attorney’s action and related data, if available
from DFS.
Outputs
1. Fraud Referral to Referral Database
2. Updated Status of Suspected Fraud Referrals
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 152
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.13.4
Collections Detailed Workflows
The following workflow diagrams show the details of the Collections process including actors and activities.
ELC Finance Specialist
Link from Suspected
Fraud Referral (A-5)
Questioned
Cost
Records the Details
Regarding the
Question Cost and
Action Taken
Fraud
Suspected?
Yes
No
Initiates Recovery of
Cost and Method of
Recovery
Records the Details
of Recovery Item
Request
Repayment of
Delinquent
Account/Resolved Recovery
(A-3/A-4)
Link to Suspected
Fraud
Process (A-5)
Figure 58. Questioned Cost, Initiate Recovery (A1, A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 153
HP Enterprise Services
Debtor
ELC Finance Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Generates Demand
Letter
Link from
Questioned Cost/
Initiate Recovery
(A-1/A-2)
Account
Remains
Delinquent?
Payment Received
Yes
Receive
Demand
Letter
Updates Account
and Deposits Funds
No
Recovery Resolved
Makes Referral to
AWI to Recover
Delinquent Account
Generate Second
Demand Letter
Account
Remains
Delinquent?
Stores
Documentation for
Reference
Yes
Receive
Demand
Letter
No
End
Payment Made
End
AWI
Reviews Referral for
Delinquent Account
Start
Approves
referral?
Yes
Makes Referral to
DFS to recover
Delinquent Account
End
DFS
No
Start
End
Figure 59. Request Repayment of Delinquent Account/ Resolved Recovery (A3, A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 154
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Discovery of
Questioned
Cost (A-1)
Receives Updates on
Suspected Fraud
Referrals
Suspected Fraud
Referral is sent to
DFS
Open Suspected
Fraud?
No
Link to (A-1/A-2)
Yes
Initiates Fraud
Referral Process
DFS
ELC Finance Specialist
Enters Suspected
Fraud into ELIS
Sends
Periodic Updates to
Suspected Fraud
Referral
End
Figure 60. Suspected Fraud Referral (A5)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 155
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.13.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 73. Collection Business Rules
R ule
T itle
S ummary
E ffec tive Date
AWI Fiscal Guidance
240.03
OEL-FG-0042-07
Collection of a
Delinquent
Account
•
An ELC may request that the
Agency report a delinquent
account to the Department of
Financial Services (DFS) for
collection after the ELC has
exercised due diligence and
is yet unsuccessful in
collecting on the account.
April 18, 2007
•
The ELCs collection efforts
should include approving a
repayment schedule,
offsetting a debt with state or
federal funds due to the
debtor, and issuing letters
demanding repayment.
•
If the Agency denies the ELC
request, the Agency may
deduct the amount the
debtor owes from state or
federal funds due to the
ELC.
AWI Fiscal Guidance
240.01
OEL-FG-0042-07
(45 CFR§74.22)
Cash
Management
Procedures
Advises ELCs and other sub
recipients that receive early
learning funding from the
Agency on procedures
governing changes to:
•
Electronic funds
transfers
•
Advanced payments
September 22, 2008
•
Final and supplemental
invoices
Interest earned on payments
through ELC grant
agreements and statewide
contracts
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
•
Audit disallowances
•
Current and prior year
refunds
Page 156
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
S ummary
FAC-69I-21.003
Procedure for
Processing
Delinquent
A/R
Regulated referral to DFS for
collection on a delinquent
account within 6 months for
collections.
ELC Annual Plans
3.13.6
3.13.6.1
Collection policies of the ELCs
are contained within the Annual
Plans
E ffec tive Date
July 1, 2010
Traceability
US E C AS E S
The following Use Cases are associated with the Collections To-Be Business Process
Model based on the Requirements Traceability Matrix (RTM):
3.13.6.2
•
UC-COM-07: Initiate Payment
•
UC-COM-08: Process Payment
•
UC-COM-09: Manage Receivable
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Collections To-Be Business Process Model can
be found in the Business Process to Requirements Traceability Matrix (RTM) attached
as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 157
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14 BP-14 Slot Management
3.14.1
Process Overview
Slot Management is the Business Process of the ELC managing the expenditure of
dollars to maximize children served. This process is executed on an on-going basis and
may result in the development and execution of a number of slot management strategies
aimed at maximizing slot utilization. Overall slot management strategy is set by the
ELC’s Board of Directors and is documented in the ELC’s plan.
The following assumptions have been made for the Slot Management process:
1. The ELC slot management strategies and enrollment strategies, driven by service
priorities, are included in the ELC plan submitted to OEL.
3.14.1.1 A C T OR S
•
ELC Finance Director
•
ELC Executive Director
•
ELC Board of Directors
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 158
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14.2
Slot Management Process Flow Diagram
The To-Be Slot Management process is depicted in the figure below.
Figure 61. Slot Management Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 159
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14.3
Slot Management Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 74. Slot Management – Analyze Slot Usage and Develop Slot Strategy
P roc es s
Slot Management
T riggers
Periodic Review of Slot Usage
P roc es s S tep
A1 – Analyze Slot Usage and Develop Slot Strategy
A c tivities
1. The ELC Finance Director periodically (daily, weekly, monthly, and so forth)
reviews funding reports (expenditures, current budget, utilization and
seasonal variance), enrollment data (see Enrollment Process), eligibility,
wait list and termination data.
2. The ELC Finance Director and ELC Executive Director review the analysis
and develop slot management strategies and recommendations which could
include:
•
Increased/decreased enrollments
•
Replacement enrollments
•
Stop placements
•
Limited enrollment strategies
•
Movement of children among billing groups
•
Parent fee increases/decreases
•
Provider rate reductions/increases
•
Accelerated redeterminations
•
Disenrollment
Notes
None
Outputs
1. Slot Management Strategy
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 160
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 75. Slot Management – Implement Slot Strategy
P roc es s
Slot Management
T riggers
Developed Slot Management Strategy
P roc es s S tep
A2 – Implement Slot Strategy
A c tivities
1. The ELC Executive Director informs the ELC Board of the strategy options
to be implemented.
2. In the event the analysis supports a strategy which may be viewed as
negative (for example, increasing parent fees, disenrollment, and so forth);
the ELC Board may take action to attempt to mitigate the slot usage issues.
3. Any change in enrollment priorities, parent fees, provider rates, or
disenrollment is submitted to the OEL as a plan amendment.
4. The ELC Executive Director implements the selected strategy.
Notes
Note 1: In the case of disenrollment, additional reviews may be conducted by
the ELC Board and/or OEL. The ELC Board may seek additional
funding from the community prior to disenrollment.
Note 2: The strategy implemented may result in updating the Wait List.
Note 3. VPK is an entitlement program. If any forecasts reflect a deficit in a
coalition’s VPK budget, the coalition should continue enrolling children
into VPK as the state will assure the coalition (and providers) are paid
for these services. If a VPK deficit happens a coalition should request a
re-obligation or de-obligation of funds from OEL.
Outputs
1. Revised Enrollment Practices
2. Analysis Report
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 161
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14.4
Slot Management Detailed Workflows
The following workflow diagrams show the details of the Slot Management process including actors and activities.
Review Plan
Admendment
AWI/OEL
Provide
Feedback?
No
Provides
Letter of
Amended Plan
End
Yes
Provide Feedback
on Plan
Amendment
Approve
Selected
Strategy?
No
Provide Mitigation
Strategies
Yes
Provides ELC Plan
Amendment
Yes
Executive Director
Finance
Director
ELC
Board of
Directors
Reviews Selected
Strategy
Review the
Analysis of Data
Develop Slot
Management
Strategies and
Recommendations
Selects and
Presents
Strategy to be
Implemented
Amendment
Required?
No
Implements
Selected Strategy
End
Start
Reviews
Funding,
Enrollment, and
Termination
Data
Review the
Analysis of Data
Develop Slot
Management
Strategies and
Recommendations
End
Figure 62. Analyze Slot Usage, Develop and Implement Slot Strategy (A1/A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 162
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 76. Slot Management Business Rules
R ule
T itle
Des c ription
E ffec tive Date
Florida Statutes
Section 411.01
(5)(d)(4)(d) and (6)
School Readiness
Act
The establishment of priorities
for the ELC’s county or multicounty region in accordance
with the program eligibility
priorities.
March 26, 2010
Florida Statutes
Section 1002.53
VPK education
program eligibility
and enrollment
N/A
March 26, 2010
F.A.C. 60BB-4
Office of Early
Learning
Regulations for administering
the SR Program
March 4, 2007
F.A.C. 60BB-8
Voluntary
Prekindergarten
Regulations for administering
the VPK Education Program
December 21, 2010
Early Learning
Coalition Plan
N/A
The plan submitted by an ELC
to the OEL describing:
Reviewed Bi-Annually
•
ELC Policies and
Procedures
•
Service Priority
Policies
•
Enrollment
Policies
•
ELC Governance
•
Program Elements
N/A
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Community Plan
N/A
Page 163
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.14.6
3.14.6.1
Traceability
US E C AS E S
The following Use Cases are associated with the Slot Management To-Be Business
Process Model based on the Requirements Traceability Matrix (RTM):
3.14.6.2
•
UC-COM-05: Manage Slot Availability
•
UC-ELC-05: Complete SR Enrollment
•
UC-ELC-06: Complete VPK Enrollment
•
UC-ELC-07: Manage Waitlist
•
UC-ELC-11: Submit Request for Guardianship Transfer
•
UC-ELC-12: Manage Request for Guardianship Transfer
•
UC-ELC-18: Manage SR/VPK Instructor Information
•
UC-ELC-19: Manage SR/VPK Attendance Processing
•
UC-ELC-22: Execute Closeout
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Slot Management To-Be Business Process Model
can be found in the Business Process to Requirements Traceability Matrix (RTM)
attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 164
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15 BP-15 Develop Policy and Manage Programs
3.15.1
Process Overview
The Agency/OEL develops or updates policies and procedures when statutes change,
customer needs change, or when program performance results or outcomes indicate a
need for changes. Program performance results and outcomes and customer feedback
are monitored on an ongoing basis to help gauge the need for policy or procedure
development or change. Changes are communicated to customers and training and
technical assistance are provided as needed.
The following assumptions have been made about the Develop Policy and Manage
Programs Business process:
1. Generic rolls are used in place of specific organizational names or titles.
2. Customers may provide a feedback/survey at anytime, outside of this Business
Process.
3.15.1.1
A C T OR S
•
OEL Programs and Policy Specialist
•
OEL Programs and Policy Manager
•
Director of the OEL
•
Customers include, but are not limited to:
•
Agency/OEL Staff
•
ELC Staff
•
Parents/Guardians
•
Providers
•
Teachers
•
Other State Agencies
•
Community Agencies
•
Community Business Partners
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 165
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.2
Develop Policy and Manage Programs Process Flow Diagram
The Develop Policy and Manage Programs process is depicted in the figure below.
Develop Policy and Manage Programs
OEL Administrative Rules
Statutes
Federal Regulations
Early Learning Best Practices
CCR&R Program
Requirements (2009)
Customer
Needs
Statutes
Develop/Update
Program Policies and
Best Practices
Program
Performance
A1
Policies,
Procedures
Forms
Best
Practices
ELIS
OEL Administrative Rules
Statutes
Federal Regulations
Early Learning Best Practices
CCR&R Program
Requirements (2009)
Customer Feedback Surveys
Complaint Records
Technical
Assistance
A2
Collect and Analyze
Programmatic Data
and Customer
Feedback
A3
ELIS
Email
Website
CCR&R Call Center
Email
Website
CCR&R Call Center
Manage Programs
Training
Updated
Programs and
Policies
Reports
Figure 63. Develop Policy and Manage Programs Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 166
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.3
Develop Policy and Manage Programs Detailed Process
Narrative
The following process narrative describes the work activities and other associated
process notes for each process step in the process flow diagram above.
Table 77. Develop Policy and Manage Programs – Develop Program Policies and Best Practices
P roc es s
Develop Policy and Manage Programs
T riggers
Statutory Change; Program/Performance Improvement Needs, Customer
Needs
P roc es s S tep
A1 – Develop Program Policies and Best Practices
A c tivities
1. The Programs and Policy Manager analyzes the need for policy or
procedural changes based on statutory changes, program/performance
improvement needs and feedback from customers. In addition, the need for
policy guidance memos or responses to policy questions may be included.
2. The Programs and Policy Manager drafts the proposed policy, procedure,
guidance, or best practice and routes it to the Director of the OEL for
approval.
3. The Director of the OEL reviews and approves, denies, or returns the
proposed policy, procedure, forms, guidance, or best practice for revision.
Notes
Note 1: The governance process involves stakeholders in the development and
implementation of policies and procedures. Guidance and input may be
solicited from the Director of the OEL, other Agency/OEL leadership,
the Policy/Data Quality Unit, the CCR&R Network Unit, ELC staff and
leadership, the Child Care Executive Partnership (CCEP) Board of
Directors, and other appropriate stakeholders.
Note 2: Customers include, but are not limited to:
–
Agency/OEL staff
–
ELC staff
–
Parents/guardians
–
Providers
–
Teachers
–
Other State agencies
–
Community agencies
–
Community business partners
Note 3: As appropriate, the CCEP Board of Directors review and approve draft
policies, procedures, and best practices.
Note 4: Input is also received from but not limited to OEL Questions, the VPK
Inquiry box, and regularly occurring monitoring findings.
Outputs
Policies, Procedures, Forms, Guidance or Best Practices
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 167
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 78. Develop Policy and Manage Programs – Manage Programs
P roc es s
Develop Policy and Manage Programs
T riggers
New Policies, procedures, and best practices
P roc es s S tep
A2 – Manage Programs
A c tivities
1. The Programs and Policy Specialist disseminates policy, procedure, and
other early learning programmatic information to internal and external
customers via the website, conference calls, web meetings, the telephone,
mail, and email, making referrals to other agencies and resources as
appropriate.
2. The Programs and Policy Specialist provides programmatic guidance,
training, and technical assistance to customers as needed.
Notes
Note 1: CCR&R Call Center staff is also referred to as Program and Policy
Specialists.
Note 2: Information provided by Programs and Policy Specialists may include,
but is not limited to:
– Provider referral information
– ELC information, governance, business and fiscal practices
– Community resource information
– Programmatic information (e.g., VPK, SR, Inclusion, CCR&R, and
CCEP)
– Other quality childcare and early learning information (for example,
Head Start, Early Start, Kid Care)
Note 3: Programs managed include: CCR&R, Inclusion, SR, VPK, and CCEP.
Outputs
1.
2.
3.
4.
Information Packets for Parents, Providers, and Others
Telephone Logs of Incoming Calls and Information/Referrals Completed
Referrals to Other Agencies or to ELCs
Training or Technical Assistance Pertaining to Policies, Procedures, and
Best Practices
5. CCEP Marketing Materials to Prospective Business Partners
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 168
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 79. Develop Policy and Manage Programs – Collect and Analyze Programmatic Data and
Customer Feedback
P roc es s
Develop Policy and Manage Programs
T riggers
Information, Training, or Technical Assistance Provided
P roc es s S tep
A3 – Collect and Analyze Programmatic Data and Customer Feedback
A c tivities
1. Customers complete feedback surveys or file a complaint with the Programs
and Policy Office.
2. The Programs and Policy Specialist records customer feedback and
complaint information.
3. The Programs and Policy Specialist reviews customer survey and complaint
records and refers actionable issues to the appropriate parties for resolution.
4. The Programs and Policy Manager reviews cumulative customer feedback,
complaint information, and programmatic performance data and uses this to
inform policy, procedure, and programmatic changes.
Notes
None
Outputs
1. Customer Feedback Results (individual and aggregate)
2. Updated Policies and Procedures
3. Programmatic Changes
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 169
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.4
Develop Policy and Manage Programs Detailed Workflows
Review need for
Policy or
Proceedure
Director of OEL
Identified need
for
Policy or
Procedure
Customers
Programs & Policy Specialist
AWI/OEL
Programs and
Policy Manager
The following workflow diagram shows the details of the Develop Policy and Manage Programs process including
actors and activities
Draft Proposed
Policy of
Procedure
Draft Policy
Reviews
Cumulative
Feedback and
Data
Revisions
needed
Approve?
End
No
End
Yes
Disseminate
Policy or
Proceedure
Provide Technical
Assistance and/or
Training
Actionable
Item?
Record and Review
Feedback
Yes
Refer Actionable
Item
End
No
End
Policy Recieved
Receive Technical
Assistance and/or
Training
Actionable item is referred
to external or internal parties
for resolution
Provide Customer
Feedback/Survey
End
Figure 64. Develop Program Policies and Best Practices/Manage Programs/Collect and Analyze Programmatic Data and
Customer Feedback Process (A1/A2/A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 170
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 80. Develop Policy and Manage Programs Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A,
Parts 74, 92, 98 and 99
Child Care
Development Fund
N/A
2002
Florida State Statute
Section 411.0101
Child Care and Early
Childhood Resource
and Referral
Provides Statutory
authority regarding
establishment of
statewide CCR&R
responsibilities and
services
March 26,2010
Florida Statutes Section
215.97
Florida Single Audit
Act
Establish uniform state
audit requirements for
state financial
assistance provided by
state agencies to nonstate entities to carry out
state projects.
Florida Administrative
Code Chapter 60 BB 9.300
Child Care Resource
and Referral
Establishes the
statewide responsibilities
and CCRR Services,
which include:
•
Early learning
referrals
•
Consumer education
resources
•
Information
regarding community
resources
August 10, 2009
Office of Management
and Budget (OMB)
Circulars A-87, A-110,
A-122, A-133
N/A
N/A
N/A
Temporary Assistance
for Needy Families, 42
USC § 601 et seq.
N/A
N/A
N/A
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 171
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.15.6
3.15.6.1
Traceability
US E C AS E S
The following Use Cases are associated with the Develop Policy and Program
Management To-Be Business Process Model based on the Requirements Traceability
Matrix (RTM):
3.15.6.2
•
UC-COM-14: Provide Technical Assistance
•
UC-OEL-01: Manage Policy Development
•
UC-OEL-02: Manage CCDF Plan
•
UC-ELC-13: Initiate Child Developmental Assessment
•
UC-ELC-14: Complete Child Developmental Assessment
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Development Policy and Manage Programs To-Be
Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 172
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16 BP-16 Process ELC Invoice
3.16.1
Process Overview
On a periodic basis, the ELCs request a reimbursement, or advance, of funds through a
request to the OEL. The request may contain direct service expenditures (including VPK
provider advance payments), non-direct service expenditures, administrative costs, and
advance or provider advance payment requests. The invoice is reviewed at the OEL and
the Agency. Once approved, the payment request is submitted by the Agency to the
Department of Financial Services (DFS) for payment to the ELC.
The following assumptions have been made for the Process ELC Invoice process:
1. OEL, the ELCs, and the SR and VPK providers agree on a schedule for period
closeout.
2. Authorized ELC staff does not need to physically sign the invoice to OEL.
3. This to-be process is related to the ELC To-Be Closeout process.
3.16.1.1
A C T OR S
•
ELC Finance Director
•
ELC Staff
•
Agency Reimbursement Specialist
•
Agency Reimbursement Manager
•
Agency Finance and Accounting Disbursement Unit
•
Agency Finance and Accounting Revenue Unit
•
Agency Grants Manager
•
DFS
•
Provider
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 173
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16.2
Process ELC Invoice Process Flow Diagram
The To-Be Process ELC Invoice process is depicted in the figure below.
To-Be Process ELC Invoice
Figure 65. Process ELC Invoice Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 174
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16.3
Process ELC Invoice Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 81. Process ELC Invoice – Develop Schedule for Closeout
P roc es s
To-Be Process ELC Invoice
T riggers
Required Periodic Closeout
P roc es s S tep
A0 – Develop Schedule for Closeout
A c tivities
1. Agency staff works with the ELC to develop the schedule for closeout based
on the Agency Closeout Submission policy. The schedule is user-defined –
to be set to a monthly closeout schedule.
2. Agency staff provides the closeout schedule to the ELC.
Notes
Note 1: This is the same step as the A0 step in the ELC To-Be Closeout
Process.
Note 2: Prior year refund must be sent separately with a check
Note 3: Match must be done by the 20th of the month (per current grant
agreement)
Note 4: Currently, (per current grant agreement) the invoice is due no later than
the 25th
Outputs
1. Developed Closeout Schedule
Table 82. Process ELC Invoice – Receive ELC Invoice
Process
To-Be Process ELC Invoice
Triggers
Developed Closeout Schedule
Process Step
A1 – Receive ELC Invoice
Activities
1. Using Agency guidelines and instructions, the ELC Finance Director creates
and submits the ELC invoice to the Agency.
2. The Agency Reimbursement Specialist receives the ELC invoice.
Notes
Note 1: The ELC Invoice shall contain:
•
Direct service expenditures
•
Administrative expenditures
•
Quality expenditures
•
Non-direct and other allowable expenditures
•
Prior Period Adjustments
• Coalition Advance/VPK Provider Advance requests
Note 2: The ELC Invoice contains expenditures) for VPK, SR, and Outreach
Awareness and Monitoring (OAM).
Note 3: The following can be submitted separately:
• Direct and non-direct costs
• Match
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 175
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
•
Outputs
Advance
– VPK Provider Advance
– Coalition Advance
1. Submitted ELC Invoice
Table 83. Process ELC Invoice – Review ELC Invoice
P roc es s
To-Be Process ELC Invoice
T riggers
Submitted ELC Invoice
P roc es s S tep
A2 – Review ELC Invoice
A c tivities
1. Agency Reimbursement Specialist reviews the ELC invoice and identifies
any discrepancies
A. If discrepancies exist, the Agency Reimbursement Specialist
communicates the issues with the ELC to determine the appropriate
resolution.
2. Once correct the Agency Reimbursement Specialist routes the ELC invoice
to the Agency Reimbursement Manager for approval.
Notes
Note 1: The ELC Invoice Review process involves comparing direct service
expenditures reported on the invoice to supporting documentation,
comparing year to date expenditures of the ELC by Other Cost
Accumulators (OCA) with the OCA budget allocation, verifying the
administrative service expenditures and non-direct service expenditures
are accounted accurately, and review of the restricted revenues
allocation (at that point in the year) to mitigate overspending or under
spending.
Note 2: If the ELC is out of OCA alignment, the ELC invoice cannot be
processed until it has been reconciled.
Note 3: If a county is out of OCA alignment, in a multi-county ELC, the ELC
invoice may be processed, but the ELC must be contacted for
resolution.
Note 4: This process is iterative until the ELC Invoice has been reconciled.
Outputs
1. Reviewed ELC Invoice
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 176
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 84. Process ELC Invoice – Approve ELC Invoice
P roc es s
To-Be Process ELC Invoice
T riggers
Reviewed ELC Invoice
P roc es s S tep
A3 – Approve ELC Invoice
A c tivities
1. Financial Administration and Budget verifies the reviewed ELC invoice (sent
by the Agency Reimbursement Manager).
2. If Financial Administration and Budget agrees with the figures from the
reviewed ELC invoice, the following occurs:
A. Approves the ELC invoice for payment.
B. Routes the ELC invoice to a Finance and Accounting Disbursement Unit
for further payment processing.
3. If Financial Administration and Budget does not agree with the figures from
the reviewed ELC invoice or determines another correction is needed (for
example, ELC change of address, missing organization code, etc.); the ELC
invoice is routed, through the OEL, to the ELC Reimbursement Specialist for
corrections.
Notes
Note 1: Following the approval of the ELC Invoice, the information contained on
the ELC invoice is available to the other Agency/OEL business units.
Outputs
1. Approved ELC Invoice
Table 85. Process ELC Invoice – Initiate ELC Payment
P roc es s
To-Be Process ELC Invoice
T riggers
Approved ELC Invoice
P roc es s S tep
A4 – Initiate ELC Payment
A c tivities
1. The Finance and Accounting Disbursement Unit initiates the entry of the
ELC invoice information into Florida Accounting and Information Resource
(FLAIR) to the appropriate grant and OCA.
2. The Finance and Accounting Revenue Unit initiates the federal payment
drawdown (as necessary). This process is outside of ELIS
3 Based on the payment information in FLAIR, the Department of Financial
Services (DFS) authorizes the payment (electronic payment or paper
warrant) to the ELC.
4. The Grants Manager monitors payment (via the FLAIR interface with ELIS)
and initiates the update of the payment information (based on confirmation
the payment has been transmitted or mailed).
Notes
Note 1: See Process Cash Receipts to review how payments received are
processed by the Agency (for example, fraud restitution payments,
negative adjustments, etc.).
Note 2: If the ELC does not receive payment (for example, a lost warrant),
payment is reissued per DFS policy.
Note 3: The Finance Specialist who enters information into FLAIR cannot be the
same person who initiates the federal drawdown.
Outputs
1. Initiated ELC Payment
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 177
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16.4
Process ELC Invoice Detailed Workflows
Develops the
schedule for closeout
Provides schedule to
the ELC
Periodic Monthly
Schedule
ELC
AWI Staff
The following workflow diagrams show the details of the Process ELC Invoice process including actors and activities.
Schedule Developed
Closeout
Schedule
Review Closeout
Figure 66. Develop Schedule for Closeout (A0)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 178
HP Enterprise Services
Creates ELC Invoice
Responds with
resolutions to any
Discrepancies
Submits ELC Invoice
Reimbursement Specialist
Start
Reviews ELC Invoice
ELC Invoice
Discrepancies
Identified
Yes
Communicates
Discrepancies to ELC
for Resolution
Receives
End
Sends Updated ELC
Invoice for Approval
End
No
Reimbursement
Manager
AWI
ELC Finance
Director
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Receives ELC Invoice
Link to
Approve
ELC Invoice
A-3
Figure 67. Receive and Review ELC Invoice (A1, A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 179
HP Enterprise Services
Link from
Review ELC
Invoice A-2
Sends Reviewed
Invoice to the
Grants Manager
Grants Manager
AWI
Reimbursement
Specialist
Reimbursement
Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Makes Updates or
Corrections
Verifies Reviewed
ELC Invoice
Agrees with
Figures in ELC
Invoice?
No
ELC Invoice is
Routed for
Corrections
ELC or
Reimbursement
Specialist?
Yes
ELC
Approves ELC
Invoice for Payment
Sent to ELC
OEL Reimb
Spec
Routes corrected
ELC Invoice to
Grants Manager
Routed to
Reimbursement
Specialist
Link to
Initiate
ELC Payment
Makes Updates or
Corrections
ELC
Finance and
Accounting
Disbursement
Unit
End
ELC Invoice
to be Corrected
End
Figure 68. Approve ELC Invoice (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 180
HP Enterprise Services
Receives ELC Invoice
Receives Paper
Warrant or EFT
receipt
Entry of the ELC
Invoice into FLAIR
Link from
Approve ELC
Invoice (A-3)
Initiates the Federal
Draw Down
(as necessary)
Mails paper
warrant or EFT
receipt to ELCs
DFS
End
End
Grants Manager
Finance and
Accounting
Revenue Unit
AWI
Finance and
Accounting
Disbursement
Unit
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Confirmation of
Payment
Based on
Information in FLAIR
Authorizes Payment
Issues EFT to ELCc or
Paper Warrant to
OEL
Monitors FLAIR and
Updates Payment
information
End
Confirms Payment
has been Made
End
ELC
EFT
Start
ELC Payment
Electronic or Paper
End
Figure 69. Initiate Payment (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 181
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 86. Process ELC Invoice Business Rules
R ule
T itle
Des c ription
E ffec tive Date
The ELC is required to submit
invoices per the terms and
conditions of the grant agreement
N/A
N/A
July 1, 2010
ELC monthly reimbursement
invoices are due at OEL by the 25th
of each month (at the time of this
writing)
N/A
N/A
July1, 2010
60BB- 8.205
Advance Payment
and Reconciliation
for the Voluntary
Prekindergarten
Education
Program
N/A
September 14,
2009
3.16.6
3.16.6.1
Traceability
US E
CAS E S
The following Use Cases are associated with the Process ELC Invoice To-Be Business
Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-06: Manage Reimbursements
•
UC-COM-07: Initiate Payment
•
UC-COM-08: Process Payment
•
UC-COM-09: Manage Receivable
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 182
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.16.6.2
•
UC-GEN-11: Maintain Notes
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Prior Process ELC Invoice To-Be Business
Process Model can be found in the Business Process to Requirements Traceability
Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business
Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 183
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.17 BP-17 Monitor and Reconcile ELC Grant Utilization
3.17.1
Process Overview
The OEL periodically and routinely reviews ELC spending to monitor the utilization of
their allocated grant funds. Direct service expenditures, captured in ELIS and reported to
OEL through the ELC Invoice Reimbursement process, are reconciled with the Florida
Accounting and Information Resource (FLAIR) record of the ELC’s expenditures to
ensure the accuracy of the expenditure data and the appropriate use of allocated funds.
Audits of non-direct and quality expenditures are periodically conducted to ensure the
accurate and appropriate use of administrative and other non-direct funds. The OEL
works with the ELCs and other stakeholders to make recommendations on current and
future utilization of grant funds, resolve discrepancies, and follow up to provide
assistance and ensure grant utilization is compliant and sustainable through the end of
the current fiscal year.
The following assumptions have been made for the Monitor and Reconcile ELC Grant
Utilization process:
1. OEL, the ELCs, and the SR and VPK providers agree on a schedule for period
closeout (See BP-12 Closeout).
2. ELCs have the authority to transfer funds across their OCA allocations within the
terms and conditions of their grant agreement and notice of grant award as long as
the net transfers do not exceed the total amount of the grant award.
3.17.1.1 A C T OR S
•
OEL Financial Administration and Budget Services Unit
•
OEL Financial Administration Analyst(within Financial Administration and Budget)
•
ELC/RCMA
•
Department of Financial Services (DFS) Budget Services
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 184
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.17.2
Monitor and Reconcile ELC Grant Utilization Process Flow Diagram
The process is depicted in the figure below.
To-Be Monitor and Reconcile ELC Grant Utilization
Figure 70. Monitor and Reconcile ELC Grant Utilization Process Flow
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 185
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.17.3
Monitor and Reconcile ELC Grant Utilization Detailed Process
Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 87. Create ELC Annual Spending Plan
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
Annual Budgeting Cycle – Notice of Grant Award
P roc es s S tep
A0 – Create ELC Annual Spending Plan
A c tivities
1. The Finance and Accounting Analyst receives notification that the ELC has
created their annual ELC Spending Plan in ELIS.
2. The Finance and Accounting Analyst reviews the ELC Spending Plan and
based on utilization trend reports and the terms and conditions of the Grant
Agreement and the Notice of Grant Award, reviews the ELC Spending Plan.
The Finance and Accounting Analyst may follow up with the ELC to discuss
any concerns with the Spending Plan.
3. If concerns remain unresolved, the Finance and Accounting Analyst may
involve the Finance and Accounting Manager. The Finance and Accounting
Manager may follow-up with the ELC to assist in the resolution of the
concern.
Notes
None
Outputs
1. ELC Annual Spending Plan
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 186
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 88. Monitor and Reconcile – Review Expenditures
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
Notification of Updates to an ELC Spending Plan, Periodic Review of ELC Grant
Utilization, ELC Requests for Grant Reallocation, or Revised ELC Notice of
Grant Award.
P roc es s S tep
A1 – Review Expenditures – Page 1
A c tivities
1. The Finance Administration and Budget unit reconciles the direct and nondirect services expenditures with the ELC payments in FLAIR.
A. Refer any discrepancies to:
i. Budget Services (OEL) if the issue is with FLAIR.
ii. If an OCA realignment or an invoice is needed to correct the
discrepancy, then it is coordinated with the OEL Financial
Administration Analyst who escalates it back to the ELC for
resolution.
iii. The period closeout data is posted in ELIS and made available to the
Agency/OEL and the ELCs.
2. The OEL Financial Administration Analyst reviews ELC expenditures
periodically and on an ongoing basis, and in addition receives notifications
that review and reconciliation of an ELC budget is necessary.
Note: Notifications may be any of the following, but are not limited to:
•
A request for approval of an ELC grant reallocation or notification of an
updated spend plan due to an OCA realignment.
•
Notification of an updated Notice of Grant Award.
•
Submission of an ELC invoice as part of the monthly Reimburse ELC
Invoice process.
•
Notification of a periodic review based on the terms and conditions of
the grant agreement.
•
Payment adjustment request against submitted and/or posted
expenditures.
3. The OEL Financial Administration Analyst reviews the ELC grant utilization
in ELIS to ensure that ELC spending is in accordance with the ELC’s
approved budget and the terms and conditions of the ELC Notice of Grant
Award.
4. The OEL Financial Administration Analyst reviews the year-to-date balance
of ELC expenditures against each Other Cost Accumulator (OCA) budget
allocation to:
A. Ensure that ELCs will not over spend or under spend, as appropriate
within each of their OCA budget allocations.
B. Monitor the utilization of targeted funds or the “burn” rate of ELC
spending to ensure that ELCs are spending their OCA allocations as
defined in the ELC Notice of Grant Award.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 187
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 89. Monitor and Reconcile – Review Expenditures
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
ELC Incurring Expenditures, ELC Reimbursement, Periodic Review of ELC
Grant Utilization, ELC requests for Grant Reallocation, or Revised ELC Notice
of Grant Award.
P roc es s S tep
A1 – Review Expenditures – Page 2
A c tivities
5. The OEL Financial Administration Analyst conducts desk reviews of the ELC
expenditures periodically.
A. The Finance and Accounting Analyst contacts the ELC and requests
copies of the ELC General Ledger or other accounting documentation
as needed.
B. The OEL Financial Administration Analyst pulls a random sample of
submitted ELC expenditures.
C. The OEL Financial Administration Analyst requests supporting
documentation for the selected ELC expenditures.
D. The OEL Financial Administration Analyst reconciles the ELC invoice
sample and supporting documentation with the ELC General Ledger. If
discrepancies exist then it is escalated to the ELC for resolution.
6. The OEL Financial Administration Analyst identifies those ELCs that have
utilization issues with either their current month’s balance or their year-todate utilization.
Notes
None
Outputs
1. Completed ELC Utilization Review
2. Management Reports on Utilization
3. Completed Desk Review of Non-Direct Service Expenditures
Table 90. Monitor and Reconcile – Communicate Utilization and Other Issues
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
Completed Review of ELC Grant Utilization Documentation
P roc es s S tep
A2 – Communicate Utilization and Other Issues
A c tivities
1. The Finance and Accounting Analyst contacts their ELC point of contact to
make them aware of utilization issues, question a cost, request supporting
documentation to approve, make changes or adjustments to expenditures,
and/or request a waiver and corrective action plan and/or supporting
documentation when utilization appears or may be out of compliance with
the terms and conditions of the ELC grant agreement. This response may
be in the form of an email, telephone call, or letter to the ELC.
Notes
Note 1: For CCEP, the Finance and Accounting Analyst submits a quarterly
report to the CCEP Board for review.
Outputs
1. Notification of Utilization and Other Issues
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 188
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 91. Monitor and Reconcile – Resolve Utilization and Other Issues (Part 1)
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
Notice of Findings
P roc es s S tep
A3 – Resolve Utilization and Other Issues – Page 1
A c tivities
1. The OEL Financial Administration Analyst reviews all information, requests,
and supporting documentation submitted by the ELCs.
2. Based on the findings of the grants utilization and reconciliation review, the
Finance and Accounting Analyst may take the following actions:
•
The OEL Financial Administration Analyst will contact the ELC if the
targeted percentage of the ELC administrative cost utilization is out of
proportion to the percentage of direct services utilization, to understand
the additional administrative costs, and confirm the ELC is aware of the
risk to the annualized budget and has a plan for managing the
remaining funds.
•
The OEL Finance and Administration Unit (Budget Services), at end of
year closeout, will adjust final invoice(s), if necessary, to ensure ELCs
adhere to targeted funds and restrictions in the Notice of the Grant
Award.
•
The OEL Finance and Administration Unit may recommend an
adjustment if either the direct or non-direct service costs from ELIS do
not match either the ELC supporting documentation and/or the FLAIR
financial reports. The request for adjustment is routed to the Financial
Manager for approval and then to the Financial Specialist for
processing.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 189
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 92. Monitor and Reconcile – Resolve Utilization and Other Issues (Part 2)
P roc es s
To-Be Monitor and Reconcile ELC Grant Utilization
T riggers
Notice of Findings
P roc es s S tep
A3 – Resolve Utilization and Other Issues – Page 2
A c tivities
(continued from previous page)
3. If the utilization of funds requires a grant re-obligation or de-obligation to
cover expenditures and sustain funding for the remainder of the fiscal year,
the ELC Board Chair must submit a request to OEL Director (Fiscal Policy
240.04), who routes to Financial Administration and Business Unit for
analysis.
A. The Financial Administration and Budget Services Manager reviews and
routes the ELC requests for grant reallocation back to the OEL Director
for approval.
B. The OEL Director then routes the approved Re-obligation or Deobligation Plan to the Financial Administration and Budget Unit.
Note: The CCEP Board reviews and approves recommendations for
CCEP funds before changes in allocations can be made.
C. The Financial Administration and Budget Unit de-obligates and reobligates grant funds based on the approved ELC reallocation requests
and updates the impacted ELC Notice of Grant Awards.
D. The Amended Notice of Grant Awards are posted and sent to the ELCs.
E. The ELC point of contact ensures the ELC Spending Plan is updated,
realigns the additional or remaining funds across the appropriate OCAs,
and submits to the OEL Financial Administration Analyst.
F. The Financial Administration and Budget Unit receives notification that
the ELC Spending Plan has been updated in ELIS.
4. If, after desk review, the OEL Financial Administration and Budget Unit
cannot resolve a utilization/expenditure issue, the issue may be referred to
the Inspector General’s Office for final decision on any outstanding issue(s).
Notes
Outputs
1.
AWI Grants Management performs reconciliation of the payments in
FLAIR.
2. OEL Budget Services Concurrently reconciles information payment
information at the OCA detail level.
1.
2.
3.
4.
Resolved Utilization/Expenditure Issues
Updated ELC Spending Plan
Updated Notice of Grant Award
Notification to Inspector General of Questioned Cost
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 190
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.17.4
Monitor and Reconcile ELC Grant Utilization Detailed Process Workflows
Finance and Accounting Specialist
Reviews the ELC
Spending Plan
Requires follow
up with ELC?
No
Spending Plan
Created
End
Yes
Contact ELC
Yes
Resolved?
No
Early Learning Coalitions (ELC)
End
Refer to Finance and
Accounting
Manager
Finance and
Accounting
Manager
AWI
The following workflow diagrams show the details of the Monitor and Reconcile ELC Grant Utilization process
including actors and activities.
Contacts ELCs
Resolution
End
Provide Information
End
Provide Information
End
Start
ELC creates their
Annual Spending
Plan
End
Figure 71. Create ELC Annual Spending Plan (A0)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 191
HP Enterprise Services
Financial Administration Analyst
Finance and
Accounting
Management
Unit
Notice to Review
Reviews ELC
Expenditures
Reviews the ELC
grant utilization in
ELIS
Reviews the Year-toDate Balance
Against OCA
Allocation
Conduct Desk
Review of ELC
Expenditures
Periodically
Periodic Review
Monthly Reconciliation
Identifies ELCs with
Utilization Issues
Resolution
Update
Or Referral to
Inspector General
Early Learning
Coalitions
Office of Early Learning
Agency for Workforce Innovation
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figure 72. Review Expenditures (A1 Page 1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 192
HP Enterprise Services
Early Learning Coalition
(ELC)
Financial Administration Analyst
Office of Early Learning
Agency for Workforce
Innovation
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Pulls Random
Sample of
Submitted
Expenditures
Contacts ELC
Periodic Desk
Review Due
Reviews the Invoice
Sample and
supporting
Documentation
Request Supporting
Documentation
Discrepancies
Exist?
No
End
Yes
Escalate to ELC for
Resolution
Request for
Accounting
Documentation
Provide General
Ledger Accounting
Documentation
End
Provide Supporting
Documentation
Request for
Supporting
Documentation
End
End
Figure 73. Review Expenditures (A1 Page 2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 193
HP Enterprise Services
Financial Administration Unit
Financial Administration
Analyst
Early Learning
Coalition (ELCs)
Office of Early Learning
Agency for Workforce Innovation
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Reviews Findings
Determines and
Executes Resolution
Resolved?
Yes
No
Disallow payment of
the reimbursement
request; Notify
Inspector General’s
Office
Communicate
Utilization and other
Issues
Utilization and
other issues
Reviews all ELC
submitted
information
Submits additional
information as
requested
End
Send findings to
Financial
Administration Unit
Utilization issue
Requires Reobligation/Deobligation
Yes
ELC Submits
Request
End
No
Figure 74. Communicate and Resolve Utilization and Other Issues (A2/A3 Part 1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 194
HP Enterprise Services
Reconciles
expenditures with
ELC payments in
FLAIR
Discrepancies?
No
Expenditures
Reviewed
Yes
Is Issue with
Flair?
Refer to OEL
Financial
Administration
Analyst
No
Post Close out data
in ELIS
End
Yes
OEL/AWI
AWI Grants Management
OEL Budget Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Refer to F&A
Financial
Administration
Analyst
End
Escalate to ELC for
Resolution
AWI Finance and
Admnistration
Issue with Expenditure
End
Early Learning
Coalition(ELC)
Redlands Christian
Migrant Association
(RCMA)
FLAIR Issue
Monitor and Reconcile
Expenditures
Resolve Issue
Issue with
Expenditure
End
Figure 75. Resolve Utilization and Other Issues (A3 Part 2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 195
HP Enterprise Services
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Early Learning Information System (ELIS)
3.17.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 93. Resolve Utilization and Other Issues
R ule
T itle
Des c ription
E ffec tive Date
Early Learning Coalition
Grant Agreement
N/A
•
The ELC is required to
spend a minimum
percentage of their
allocated grant funds as
defined in the terms and
conditions of the grant
agreement and Notice of
Grant Award.
July 1, 2010
•
Recommendations for
changes to CCEP grant
funds must be approved
by the CCEP Board.
•
Recommendations for
changes to ELC Grant
•
Not all costs can be
adjusted at the end of
year.
•
Allocations must be
approved by the OEL,
under spending in quality
is not allowed
OEL Fiscal Policy 240.04
Notice of Award and OAMS
Terms and Conditions
CCDF Plan
School
Readiness
Funds
Management
Notice of
Award and
OAMS Terms
and
Conditions
Child Care
Development
Fund Plan
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Provides guidance for
tracking of SR funds
July 30, 2010
Provides allocations and
terms for Agency-granted
funding to the ELCs
Annual (July 1)
and amended
when necessary
during the year
State Plan for use of Federal
CCDF dollars, and meeting
federal requirements.
Every Two Years
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Early Learning Information System (ELIS)
3.17.6
Traceability
3.17.6.1 U S E C A S E S
The following Use Cases are associated with the Monitor and Reconcile ELC Grant
Utilization To-Be Business Process Model based on the Requirements Traceability
Matrix (RTM):
•
UC-GEN-01: Execute Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.17.6.2 R E QUIR E ME NT S
The requirements associated with the Monitor and Reconcile ELC Grant Utilization ToBe Business Process Model can be found in the Business Process to Requirements
Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with
Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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Early Learning Information System (ELIS)
3.18 BP-18 Monitor Program and Instructor Eligibility
3.18.1
Process Overview
OEL conducts an eligibility determination review for each ELC and Redlands Christian
Migrant Association (RCMA) annually. The purpose of the review is to verify that ELC
and RCMA have correctly determined child eligibility for SR, VPK, and Home
Instructional Program for Preschool Youth (HIPPY) programs and for VPK instructor
qualifications. An OEL/ELC team reviews ELIS data and may conduct an onsite review
at the ELC and/or subcontractor. The findings of the review are included in a formal
report and submitted to the ELC. If the ELC provides clarification of the findings listed in
the report, the report is updated accordingly.
The following Assumptions have been made for the Monitor Program and Instructor
Quality process:
1. ELIS will track monitoring activities and findings.
2. Generic roles are used in place of specific organization names or job titles.
3. The Accountability Review staff has access to ELIS to obtain needed samples and
case information.
4. The ELC can also use this process monitor sub-contractor performance.
3.18.1.1 A C T OR S
•
OEL Accountability Review Specialist
•
OEL Accountability Review Manager
•
ELC
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.18.2
Monitor Program Eligibility and Instructor Qualifications Process Flow Diagram
The Monitor Program Eligibility and Instructor Qualifications process is depicted in the figure below.
Figure 76. Monitor Program Eligibility and Instructor Qualifications Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
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Early Learning Information System (ELIS)
3.18.3
Monitor Program Eligibility and Instructor Qualifications
Detailed Process Narrative
The following process narrative describes the work activities and other associated
process notes for each process step in the process flow diagram above.
Table 94. Monitor Program Eligibility and Instructor Qualifications – Schedule ELC Accountability
Review
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Annual ELC Accountability Review Due
P roc es s S tep
A1 – Schedule ELC Accountability Review
A c tivities
1. The Accountability Review Manager develops annual monitoring plan and
schedule for ELC Accountability Review and enters monitoring plan data in
ELIS.
2. The Accountability Review manager assigns the Monitoring team (Note 1).
3. The Accountability Review Specialist contacts the ELC to schedule the
annual ELC Accountability Review.
4. The Accountability Review Specialist confirms the dates and purpose of the
ELC Accountability Review. The Accountability Review Specialist enters
the confirmed date of the ELC Accountability Review in ELIS
Notes
Note 1: The Monitoring team consists of Accountability Review Specialist(s).
Outputs
1. Scheduled Annual ELC Accountability Review.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
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Early Learning Information System (ELIS)
Table 95. Monitor Program Eligibility and Instructor Qualifications – Review ELC Data
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Scheduled Annual ELC Accountability Review
P roc es s S tep
A2 – Review ELC Data
A c tivities
1. The Accountability Review Specialist obtains random sample of data from
ELIS for the specific ELC being reviewed, including:
•
SR child cases (at billing group level)
•
SR providers(Including Gold Seal)
•
VPK child cases
•
VPK provider qualifications
•
VPK instructor eligibility
•
Validate payment on child cases (SR/VPK)
•
Program monitoring – Governance, CCR&R, Contracts, and
Educational Service District
2. Based on the random sample of data, the Accountability Review Specialist
selects specific cases to review and accesses the information for the
selected cases in ELIS.
3. The Accountability Review Specialist also reviews (but is not limited to):
•
ELC fee scale
•
ELC SR and VPK policies and procedures
•
ELC monitoring documentation
•
VPK provider lists
•
SR and VPK provider payments
•
Case notes
•
Data entry accuracy and completeness
•
Forms, notices and terms and conditions
•
Compliance with Florida State Statute and Rule
•
VPK contract dates
•
SR Contract Dates
•
ELC monitoring reports and findings
•
ELC policy and procedures
•
Coalition plans
• Corrective action plans
4. Using the Federal Regulations, SR & VPK Standard Eligibility Review
Program Guide, Florida Statutes, Florida Administrative Code, and OEL
Policies, a representative sample of cases are reviewed by the
Accountability Review Specialist using ELIS.
Notes
None
Outputs
1.
Sample of Cases
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 96. Monitor Program Eligibility and Instructor Qualifications – Review of Representative
Cases
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Completion of Initial ELC Documentation Review
P roc es s S tep
A3 – Review of Representative Cases
A c tivities
1. The Accountability Review Specialist(s) provides an overview and purpose
of the review for the ELC.
2. The Accountability Review Specialist records the results found for each
case in ELIS
3. The Accountability Review Specialist(s) provides their preliminary findings
(Note 1) and observations including the need for and date of follow-up
required by the ELC at the conclusion of the review. If a cost is questioned
during the Accountability Review, it is noted in the preliminary findings for
further inquiry and review.
Notes
Note 1: The findings can be accessed by the ELC in ELIS.
Outputs
1.
2.
OEL Eligibility Determination Findings
Questioned Cost (if one is discovered)
Table 97. Monitor Program Eligibility and Instructor Qualifications – Develop Accountability
Review Reports
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Completion of Annual ELC Accountability Review
P roc es s S tep
A4 – Develop Accountability Review Reports
A c tivities
1. The ELC provides feedback to the Accountability Review Specialist to
clarify discrepancies found.
2. The Accountability Review Specialist develops the Annual ELC Eligibility
Review Report and notifies the ELC of its availability (Note 1).
3. The ELC reviews and clarifies or refutes the contents of the report. As
required, a Corrective Action Plan (CAP) may be developed.
4. Once an acceptable response is received from the ELC, the Accountability
Review Specialist creates an Accountability Review Closeout report and
notifies the ELC of its availability.
5. The Accountability Review Specialist validates implementation of the CAP
at subsequent annual Accountability Review.
Notes
Note 1: Notifications are also sent to other internal and external stakeholders.
Outputs
1. Published Annual ELC Eligibility Review Report
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 202
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 98. Monitor Program Eligibility and Instructor Qualifications- Initiate Questioned Cost
Determination
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Questioned Cost Discovered
P roc es s S tep
A5 – Initiate Questioned Cost Determination
A c tivities
1. The ELC determines the appropriate course of action with assistance from
the Accountability Review Specialist(s) if instances of questioned cost are
discovered during the review.
•
If the questioned cost is determined to be an instance of suspected
fraud, the Annual ELC Eligibility Review Report is updated, and the
ELC refers the incident to the Department of Financial Services (DFS)
and notifies the AWI – Inspector General.
•
If the questioned cost is determined to be an acceptable cost, the
Annual ELC Eligibility Review Report is updated to reflect the cost
determination.
•
If the questioned cost is determined to be a disallowed cost, the Annual
ELC Eligibility Review Report is updated to reflect the cost
determination and the cost recovery process is initiated.
2. If, after reviewing, researching and working with the ELC regarding a
questioned cost, the Finance and Accounting Analyst cannot resolve a
utilization/expenditure issue, the Finance and Accounting Analyst notifies
the Inspector General’s Office and follows the Agency’s process to disallow
payment of the reimbursement request
Notes
None
Outputs
1. Questioned Cost Determination
2. Suspected Fraud Referral (If Indicated)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 203
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.18.4
Monitor Program Eligibility and Instructor Qualifications Detailed Workflows
Develop Annual
Monitoring Plan
Assign Monitoring
Team
Accountability Review
Specialist
Start
End
Schedules Review
with ELC
Select Random
Sample of Cases
Select Specific Cases
for Review
Review ELC other
Information
Review Selected
Cases
Review of
Representative
Cases A-3
ELC
AWI/OEL
Accountability
Review Manager
The following workflow diagrams show the details of the Monitor Program Eligibility and Instructor Qualifications
process including actors and activities.
End
Figure 77. Schedule ELC Monitoring/Review ELC Data Flow Diagram (A1/A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Accountability Review Specialist
Link from
Schedule ELC
Monitoring/Review
ELC Data A1/A2
Provide an Overview
and purpose of the
review for the ELC
Records the results
for each case
Provide Findings and
Observations
Questioned
Cost?
No
End
Yes
Questioned Costs
are noted for
Additional Review
Link to
Initiate Questioned
Cost Determination A-4
ELC
AWI/OEL
Accountability
Review Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Start
Overview and
Purpose for Review
Findings and
Observations
Develop Eligibility
Monitoring reports
Figure 78. Review of Representative Cases (A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 205
HP Enterprise Services
Accountability Review Specialist
AWI/OEL
Accountability
Review Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Feedback on
Discrepancies
Develop Annual
ELC Accountability
Review Report
Acceptable
Response?
Notify ELC of
Report Availability
Response to the
Annual ELC
Accountability
Review Report
(CAP if necessary)
Yes
Develops
Accountability
Review
Closeout Report
End
No
Provide
Feedback to the
Response for the
ELC Accountability
Review Report
End
ELC
Develops
Corrective Action
Plan
Yes
Review of
Representative
Cases
Provide
Feedback to clarify
discrepancies
found
Notification of
ELC Eligibility
Review Report
Review, Clarify, or
Refutes Contents
of the Report
Action Plan
Required
No
Send
Response to the
Annual ELC
Accountability
Review Report
Notification of
Accountability Monitoring
Closeout Report
End
Figure 79. Develop Accountability Review Reports (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Accountability Review
Specialist
AWI/OEL
Accountability
Review Manager
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Yes
Initiate Questioned
Cost Determination
Review of
Representative
Cases
Receives ELC
Recommended
Course of Action
Provides
Assistance to ELC
Resolved
Questioned
Cost?
End
Notifies AWI
Inspector General &
Begins Process to
Disallow Payment
Notifies AWI
Inspector General
concerning
Questioned Cost
Annual ELC
Eligibility Review
Updated with Cost
Determination
End
Collections
To Be Process BP-13
ELC
Disallowed Cost
Questioned Costs
From ELC
Eligibility Review
ELC Determines
Potential Course of
Action
ELC Determines
Course of
Appropriate
Course of Action
Course of
Action?
Acceptable Cost
Annual ELC
Accountability
Review Updated
with Cost
Determination
End
Fraud
Annual ELC
Accountability
Review Updated
with Cost
Determination
Refers Suspected
Fraud to DFS and
notifies AWI
Inspector General
End
Figure 80. Initiate Questioned Cost Determination (A5)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.18.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 99. Monitor Program Eligibility Business Rules
R ule
T itle
Des c ription
E ffec tive Date
45 CFR, Subtitle A, Part
45 CFR parts 74, 92, 98
and 99
Child Care
Development Fund
N/A
2002
42 USC § 601 et seq.
Temporary
Assistance for
Needy Families
N/A
42 USC § 9858 et seq.
Child Care
Development Fund
(CCDF) Block Grant
N/A
Florida Statutes Section
411.01
School Readiness
Act
Establishes a unified approach
to the State’s efforts toward
enhancement of school
readiness, including child
screening
March 26, 2010
Florida Statutes Chapter
1002, Part V
VPK Act
Establishes authority and
requirements for the Voluntary
Prekindergarten Education
Program
March 26, 2010
Florida Statutes Section
215.97
Florida Single Audit
Act
Establishes uniform state audit
requirements for State financial
assistance provided by State
agencies to non-state entities to
carry out State projects.
Florida Statutes Section
251.97
State Single Audit
Act
F.A.C. 60BB-4
F.A.C. 60BB-8
F.A.C. 60BB-9.300
School Readiness
Voluntary
Prekindergarten
Child Care
Resource and
Referral
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Regulations for administering
the School and Voluntary
Prekindergarten Education
Program
Establishes the statewide
responsibilities and CCRR
Services, which include:
•
Early learning referrals
•
Consumer education
resources
•
Information regarding
community resources
March 4, 2007
Dec. 21, 2010
August 10, 2009
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
R ule
T itle
Des c ription
E ffec tive Date
School Readiness
Standard Eligibility
Review Guide
N/A
This Guide is a resource for
performing School Readiness
eligibility reviews
August 2010
Voluntary
Prekindergarten
Standard Eligibility
Review Guide
N/A
This Guide is a resource for
performing Voluntary
Prekindergarten Education
Program provider and child
eligibility reviews
August 2010
3.18.6
3.18.6.1
Traceability
US E C AS E S
The following Use Cases are associated with the Monitor Program Eligibility and
Instructor Qualifications To-Be Business Process Model based on the Requirements
Traceability Matrix (RTM):
3.18.6.2
•
UC-COM-12: Initiate Monitoring
•
UC-COM-13: Complete Monitoring
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
R E QUIR E ME NT S
The requirements associated with the Monitor Program Eligibility and Instructor
Qualifications To-be Business Process Model can be found in the Business Process to
Requirements Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix ARTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19 Maintain Data Quality and Provide Service Support
3.19.1
BP 19 Maintain Data Quality and Provide Service Support
The Maintain Data Quality and Provide Service Support process ensures that ELIS
meets the business requirements for system performance, business intelligence, and
business operations. The process activities include the management, delivery, and
support of IT service requests, problems, and incidents. End users of ELIS call into a
single point of contact where their issues and needs are recorded as a service request.
The service request is then routed to the appropriate technical staff for analysis and
resolution. The service request is tracked and monitored until resolution.
The process includes requests for enhancements and changes to ELIS to accommodate
changes in legislation, policy and procedures, data analysis to ensure data integrity, as
well as provide business information for executive and management decision-making,
requests for instruction and training on the use of ELIS and requests for technical
assistance to ensure end user access to, and the availability and reliability of the system.
This process also includes service level management, whereby performance metrics are
tracked and monitored to ensure ELIS supports the business needs of the organization.
The following assumptions have been made for the Maintain Data Quality and Provide
Service Support process:
1. Generic roles are used in place of specific organization names or job titles.
3.19.1.1 A C T OR S
•
OEL Data Quality Specialist
•
OEL Data Quality Manager
•
OEL System Support Specialist
•
OEL System Support Manager
•
OEL Customer Service Specialist
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 210
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19.2
Maintain Data Quality and Provide Service Support Process Flow Diagram
The Maintain Data Quality and Provide Service Support process is depicted in the figure below.
Figure 81. Maintain Data Quality and Provide Service Support Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 211
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19.3
Maintain Data Quality and Provide Service Support Detailed
Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 100. Maintain Data Quality and Provide Service Support – Receive and Review Service
Requests
P roc es s
Maintain Data Quality and Provide Service Support
T riggers
Agency/OEL/ELC Staff IT/ Data Needs and Issues
P roc es s S tep
A0 – Receive and Review Service Requests
A c tivities
1. The Customer Service Specialist receives a request from the Agency/OEL,
an ELC staff member, external stakeholders, the general public or
recommendations from the Change Control Board (CCB).
2. The Customer Service Specialist reviews the request and if possible,
resolves the issue or need and closes the request.
3. The Customer Service Specialist sends the request to the appropriate
specialist and/or manager for further analysis, resolution and/or service
delivery if they cannot resolve the service request themselves and need
further technical assistance.
Notes
Note 1: Service Requests are received by the ticketing system for technical
issues. All other requests are received by email, phone, or fax.
Outputs
1. Service Assignment
Table 101. Maintain Data Quality and Provide Service Support – Analyze and Improve Data Quality
P roc es s
Maintain Data Quality and Provide Service Support
T riggers
Service Assignment
P roc es s S tep
A1 – Analyze and Improve Data Quality
A c tivities
1. The Data Quality Specialist reviews the service assignment and prioritizes
the work to be done based on the nature and severity of the service
assignment.
2. The Data Quality Specialist performs the following activities to resolve end
user issues, meet end user needs, and improve data quality:
• The Data Quality Specialist monitors and reviews internal processes
and documentation and develops data quality instructions and
accompanying documentation that identifies changes to processes,
procedures, and data definitions based on best practices.
• The Data Quality Specialist works with end users and the CCB to
develop functional requirements for changes and enhancements to
ELIS based on program policy and/or procedural changes.
• The Data Quality Specialist conducts research and analysis based on
program needs and provides reports based on the findings to assist in
executive and management decision making and to improve end user
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
understanding and management of ELIS data.
• The Data Quality Specialist provides technical assistance to program
staff on how to use ELIS to ensure data integrity and accuracy.
• The Data Quality Specialist develops training curricula and end user
instructions on how to use ELIS to meet program needs.
• The Data Quality Specialist staff defines criteria and method for
obtaining data sets (edit report).
• As required, the Data Quality Specialist conducts follow-ups to ensure
implementation of required corrections/changes.
3. The Data Quality Specialist completes and closes the Service Assignment.
Notes
Note 1: This process is currently handled in the Data Quality Unit.
Outputs
1.
2.
3.
4.
Data Quality Instructions/Documentation
End User Technical Assistance
End User Instructions
End User Trainings
Table 102. Maintain Data Quality and Provide Service Support – Monitor Data Quality
P roc es s
Monitor Program Eligibility and Instructor Qualifications
T riggers
Service Assignment
P roc es s S tep
A2 – Monitor Data Quality
A c tivities
1. The Data Quality Specialist or System Support Specialist performs the
following activities to resolve end user issues, meet End user needs, and
monitor data quality:
•
The System Support Specialist develops plans and coordinates User
Acceptance Testing (UAT) of enhancements and changes to ELIS.
•
The System Support Specialist ensures on a routine and periodic basis,
that the data files for state and federal reports are successfully run,
posted and/or distributed.
•
The Data Quality Specialist assists end users, develops parameters for
data needed, scripts for extracting data and routines for monitoring data
integrity.
•
The Data Quality Specialist points out and corrects reported process
problems.
•
The Data Quality Specialist provides completed reports, including ad
hoc reports, federal reports, state reports as required, and/or prepared
data as scheduled to appropriate receiver.
2. The Data Quality Specialist or System Support Specialist completes and
closes the service assignment.
Notes
Note 1: This process is handled by a combination of the Data Quality and OEL
Application Development Units.
Outputs
1. Reports or Data Files Prepared
2. Completed Changes to ELIS
3. Supporting Documentation
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 213
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 103. Maintain Data Quality and Provide Service Support – Provide System Support
P roc es s
Maintain Data Quality and Provide Service Support
T riggers
Service Assignment
P roc es s S tep
A3 – Provide System Support
A c tivities
1. The System Support Specialist reviews the service assignment and
prioritizes the work to be done based on the nature and severity of the
service assignment.
2. The System Support Specialist performs the following activities to resolve
end user issues, meet end user needs, and ensure system performance
based on the contracted service level agreement:
•
Detects and corrects work stoppage or errors by conducting tests,
monitoring output, and entering code changes
•
Optimizes system efficiency by analyzing performance indicators.
•
Periodically and on an ongoing basis, provides statistical data on the
system
•
Ensures ELIS is running smoothly and efficiently
•
Ensures information is kept confidential by monitoring and controlling
access to system
•
Supports end user hardware needs as related to database functionality
•
Installs system software by loading software onto the server
•
Develops and maintains standard operating procedures for all
processes in utilization of ELIS
3. The System Support Specialist completes and closes the Service
Assignment.
Notes
Note 1: This process is currently handled in the OEL Application Development
Unit.
Outputs
1. Performance and Utilization Reports
2. Resolved Work Stoppage or System Performance Issues
3. Optimized System Performance
Table 104. Maintain Data Quality and Provide Service Support – Complete and Close Service
Request
P roc es s
Maintain Data Quality and Provide Service Support
T riggers
Service Assignment Completed
P roc es s S tep
A4 – Complete and Close Service Request
A c tivities
1. The Customer Service Support Specialist receives notification that a
Service Assignment has been completed and closed.
Notes
None
Outputs
1. Completed Service Request
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19.4
Maintain Data Quality and Provide Service Support Detailed Workflows
Customer Service Specialist
Reviews the Request
Resolves the
Request?
Yes
Closes the Request
Receives Request
Data Quality
No
Send Request to
Appropriate
Specialist or
Manager
Type of
Technical
Assistance?
System
Support
System
Data
Support
Quality
Specialist
Specialist or
or Manager
Manager
AWI/OEL
The following workflow diagrams show the details of the Maintain Data Quality and Provide Service Support process including
actors and activities.
Send Request to
Appropriate
Specialist or
Manager
End
End
Link to
Analyze and Improve Date Quality/Monitor
Data Quality A1/A2
Link to Provide
System Support/Monitor Data Quality
A3/A2
Figure 82. Receive and Review Services Requests (A0)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 215
HP Enterprise Services
Data Quality Specialist or Manager
AWI/OEL
Customer
Service
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Receives a
Notification
Service Request
has been closed
Start
Reviews the
Request
Receive and
Review Service
Requests
Performs Activities
to resolve issues,
meet End User
needs and improve
data quality
Resolves the
Request?
Yes
Monitor Data
Quality?
No
Yes
Performs Activities
to resolve issues,
meet End User
needs and improve
data quality
No
End
Closes Service
Assignment
Yes
Resolves the
Request?
System
Support
Specialist
No
Figure 83. Analyze and Improve Data Quality Flow Diagram/ Monitor Data Quality (A1/A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Customer
Service
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Receives a
Notification Service
Request has been
closed
End
System Support Specialist or Manager
AWI/OEL
Data Quality
Specialist
Start
Reviews the Request
Receive and
Review Service
Requests
Performs Activities
to resolve issues,
meet End User
needs system
performance
Resolves the
Request?
Yes
Monitor Data
Quality?
No
Yes
No
Performs Activities
to resolve issues,
meet End User
needs and improve
data quality
Closes Service
Assignment
Yes
Resolves the
Request?
No
Figure 84. Provide System Support Process Monitor Data Quality (A3/A2)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Receives a
Notification Service
Request has been
closed
End
Data Quality
Specialist or
Manager
Start
System
Specialist or
Manager
AWI/OEL
Customer Service
Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figure 85. Complete Service Request (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 218
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.19.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 105. Maintain Data Quality and Provide Service Support Business Rules
R ule
N/A
3.19.6
T itle
Des c ription
E ffec tive Date
N/A
N/A
N/A
Traceability
3.19.6.1 U S E C A S E S
The following Use Cases are associated with the Maintain Data Quality and Provide
Service Support To-Be Business Process Model based on the Requirements
Traceability Matrix (RTM):
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.19.6.2 R E QUIR E ME NT S
The requirements associated with the Maintain Data Quality and Provide Service
Support To-Be Business Process Model can be found in the Business Process to
Requirements Traceability Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix ARTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 219
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20 Process Cash Receipts
3.20.1
BP-20 Process Cash Receipts
When a payment is received at the Agency, the funds are deposited into the bank and
the appropriate accounting transactions are created in FLAIR by the Agency. The
supporting documentation, accompanying the payment, is forwarded to the appropriate
business unit and is used to reconcile the outstanding receivables.
The following assumptions have been made for the Process Cash Receipts process:
1. All early learning payments (fraud restitution, interest payments, adjustment
payments, and so on) are received by the Agency – Finance and Accounting.
3.20.1.1 A C T OR S
•
Agency/OEL Finance Specialist
•
Agency/OEL Business Unit
•
Payee
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 220
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20.2
Process Cash Receipts Process Flow Diagram
The Process Cash Receipts process is depicted in the figure below.
To-Be
Process Cash Receipts
Payment in Error
Returned
Payment
Return Payment
Payment in Error
A3
Payment
Receive Payment
A1
Received
Payment
Deposit Payment
A2
ELIS
Deposited
Payment
ELIS
Payment
Documentation
Processed
Accounting Entries
Payment
Information
Determine Payment
Create Accounting
Entries
Reconcile
Receivables
A4
A5
A6
FLAIR
Issue Resolution
ELIS
Reconciled
Receivables
ELIS
FLAIR
ELIS
Figure 86. Process Cash Receipts Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 221
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20.3
Process Cash Receipts Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 106. Process Cash Receipts – Receive Payment
P roc es s
Process Cash Receipts
T riggers
Payment Issued
P roc es s S tep
A1 – Receive Payment
A c tivities
1. The Finance Specialist receives the payment.
2. The Finance Specialist records the payment information
Notes
Note 1: Payments to the Agency consist of:
•
Restitutions
•
Overpayments
•
Disallowed Payments Reimbursements
• Interest
Note 2: The authority for Cash Receipt Instruction is Section 116.01(1) of Florida
Statutes.
Note 3: Payments may be received in error – see A3.
Note 4: Reference AWI/OEL Fiscal Guidance 240.01 for additional information
on receipt of payments.
Outputs
1. Received Payment
Table 107. Process Cash Receipts – Deposit Payment
P roc es s
Process Cash Receipts
T riggers
Receipt of Payment
P roc es s S tep
A2 – Deposit Payment
A c tivities
1. The Finance Specialist deposits the payment to the bank (using appropriate
deposit documentations). The deposit of the payment is made regardless if
the payment has supporting documentation accompanying it.
Notes
Note 1: Deposit of the funds does not reconcile (Process Step A5) the
outstanding receivable.
Note 2: Payments may be deposited in error – see A3.
Outputs
1. Deposited Funds
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 222
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 108. Process Cash Receipts – Return Payment
P roc es s
Process Cash Receipts
T riggers
Receipt of Payment in Error
P roc es s S tep
A3 – Return Payment
A c tivities
1. If a payment has been made in error, and has not been deposited, the
Finance Specialist returns the payment to the issuer.
2. If a payment has been made in error and has been deposited, the Finance
Specialist issues a payment to the sender (in the amount of the original
payment).
Notes
None
Outputs
1. Payment Returned to Sender
2. Payment Issued to Sender (in cases where the payment was in error)
Table 109. Process Cash Receipts – Determine Payment
P roc es s
Process Cash Receipts
T riggers
Receipt of Payment
P roc es s S tep
A4 – Determine Payment
A c tivities
1. The Finance Specialist determines the purpose of the payment based on the
supporting payment documentation. If supporting payment documentation
was not submitted for the payment, the Finance Specialist researches the
payment to determine where to apply the payment.
2. The Finance Specialist indicates how the payment should be applied to the
receivable.
Notes
Note 1: This process may be iterative until the determination of how to apply the
payment.
Outputs
1. Reason for Payment Determined
Table 110. Process Cash Receipts – Create Accounting Entries
P roc es s
Process Cash Receipts
T riggers
Payment Reason Determined and Deposited Funds
P roc es s S tep
A5 – Create Accounting Entries
A c tivities
1. The Finance Specialist enters the appropriate accounting transactions into
FLAIR (to account for the payment).
Notes
None
Outputs
1. Created Accounting Entries
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 223
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 111. Process Cash Receipts – Reconcile Receivables
P roc es s
Process Cash Receipts
T riggers
Payment Reason Determined and Deposited Funds
P roc es s S tep
A6 – Reconcile Payment
A c tivities
1. The Finance Specialist notifies the appropriate business unit of payment
and purpose of payment for receivable resolution.
2. The appropriate Agency/OEL business unit reconciles the payment to the
outstanding receivable and communicates the resolution to the party
making the payment.
Notes
None
Outputs
1. Reconciled Receivables/Payments
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 224
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20.4
Process Cash Receipts Detailed Workflows
Finance Specialist
The following workflow diagrams show the details of the Process Cash Receipts process including actors and
activities.
Records Payment
Information
Payment
Payment
Received in
Error?
No
Deposits Payment
Payment
Received in
Error?
Yes
Yes
Return Payment
Issue Payment
No
Link to Determine Payment/
Create Accounting Entries/
Reconcile Payment
(A-4, A-5,A-6)
End
Payee
End
Returned Payment
End
Issued Payment
End
Issues
Payment
End
Figure 87. Receive Payment, Receipt of Payment, Return Payment (A1/A2/A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 225
HP Enterprise Services
Link from
Receive,
Deposit,
and Return
Payment
(A-1, A-2, A-3)
Determines
Reason for
Payment?
Yes
Indicates how
payment should be
applied to the
receivable
Enters Accounting
Transactions into
FLAIR
Notifies Appropriate
Business Unit
End
No
Researches Reason/
Documentation for
Payment?
OEL Business Unit
AWI
Finance Specialist
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Payee
Notification of
Determination
Reconciles Payment,
Communicates
Resolution
Communicates
Resolution
Reconciled
Billing
Start
End
Figure 88. Determine Payment/Create Accounting Entries/Reconcile Payment (A4/A5/A6)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 226
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 112. Process Cash Receipts Business Rules
R ule
T itle
Des c ription
E ffec tive Date
FS, Section 116.01(01)
Payment of Public
Funds into
Treasury
•
July 1, 2010
N/A
N/A
The deposit of funds must
be made within 7
business days of the
receipt of the funds.
3.20.6
•
Authority for Cash Receipt
Deposit of funds must be
made within 7 days of the
receipt of funds
N/A
Traceability
3.20.6.1
US E C AS E S
The following Use Cases are associated with the Process Cash Receipts To-Be
Business Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-07: Initiate Payment
•
UC-COM-08: Process Payment
•
UC-COM-09: Manage Receivable
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-06: Import Data
•
UC-GEN-07: Execute Reports
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 227
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.20.6.2
R E QUIR E ME NT S
The requirements associated with the Process Cash Receipts To-Be Business Process
Model can be found in the Business Process to Requirements Traceability Matrix (RTM)
attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 228
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21 Manage Statewide Contracts
3.21.1
BP-21 Manage Statewide Contracts
On a periodic basis, assigned Agency contractors are monitored to ensure compliance
with the terms and conditions of their contracts. As outlined in the contract, the
contractor submits invoices to the Agency for payment. The invoice is issued for services
provided and deliverables completed during the month. The invoice is reviewed at the
Agency against the service provider contract. Once approved, the payment request is
submitted by the Agency to Department of Financial Services (DFS) for payment to the
service provider.
3.21.1.1 A C T OR S
•
Agency/OEL Contract Manager
•
Agency/OEL Finance Specialist
•
Contractor
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 229
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21.2
Manage Statewide Contracts Process Flow Diagram
The Manage Statewide Contracts process is depicted in the figure below.
Figure 89. Manage Statewide Contracts Process Flow Diagram
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 230
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21.3
Manage Statewide Contracts Detailed Process Narrative
The following process narrative describes the work activities and other associated
process roles for each process step in the process flow diagram above.
Table 113. Manage Statewide Contracts – Review Contractor Compliance and Resolve Issues
P roc es s
Manage Statewide Contracts
T riggers
Contract Established with the Agency
P roc es s S tep
A1 – Review Contractor Compliance and Resolve Issues
A c tivities
1. On a periodic basis, the Contract Management Manager reviews the
compliance of the contractor.
2. Following the review, the Contract Management Manager creates a draft
report of the findings and sends the draft report to the Contractor.
3. Contractor reviews draft reports, provides input, and sends it back to the
Contract Management Manager.
3. The Contract Management Manager notifies the contractor of the findings.
A. If issues exist in the findings, the Contract Management Manager works
with the contractor to resolve the issues, and, if necessary implement a
Corrective Action Plan (referenced in subsequent compliance reviews).
Notes
Note 1: Agency policy and the terms and conditions of the contract indicate
when the compliance review will occur.
Note 2: Reviewing compliance includes:
– Comparing the deliverables/services to the terms and conditions of
the contract
– Performing site visits (as indicated in the contract)
Outputs
1. Compliance Findings
Table 114. Manage Statewide Contracts – Receive Contractor Invoice
P roc es s
Manage Statewide Contracts
T riggers
Contractor Performs Services
P roc es s S tep
A2 – Receive Contractor Invoice
A c tivities
1. The Contract Management Manager receives the contractor invoice and
supporting documentation.
2. The Contract Management Manager may receive requests for advance
payment from the contractor. If an advance payment is authorized and
approved, that payment may be recovered as part of the monthly contractor
invoice process, and must be recovered in full prior to any subsequent year
advances being provided.
Notes
Note 1: The contractor invoice is issued for services (and deliverables) to the
Agency delivered during the invoiced period of time.
Note 2: The contractor invoice is due by the date specified within the terms and
conditions of the contract.
Outputs
1. Submitted Invoices
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 231
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Table 115. Manage Statewide Contracts – Validate Contractor Invoice
P roc es s
Manage Statewide Contracts
T riggers
Received Invoice
P roc es s S tep
A3 – Validate Contractor Invoice
A c tivities
1. The Contract Management Manager verifies the invoice against the
contractor’s deliverable (for the period of time being invoiced) and the
contractor’s contract.
•
If the invoice is accurate, the Contract Management Manager approves
the invoice.
•
If the invoice contains discrepancies, the Contract Management
Manager may contact the contactor to resolve the discrepancies, or
return the invoice to the contractor.
2. If needed, the Contract Management Manager may also include guidance
on allowable, allocable, reasonable, and necessary costs from the OEL
Program and Policy unit.
3. The Contract Management Manager records data about the invoice.
4. Once approved, the Contract Management Manager routes the invoice to
the Finance Specialist.
Notes
Note 1: This process is iterative until the contractor invoice has been
reconciled.
Note 2: As defined in the terms and conditions of the contract, the contractor
may be required to submit periodic reports to the Agency. Once the
contract is completed, the contractor is required to submit a final report
to the Agency.
Outputs
1. Validated Invoice
Table 116. Manage Statewide Contracts – Initiate Contractor Payment
P roc es s
Manage Statewide Contracts
T riggers
Validated Invoice
P roc es s S tep
A4 – Initiate Contractor Payment
A c tivities
1. The Finance Specialist verifies funds are available and enters the
information into FLAIR.
2. The Finance Specialist initiates the drawdown (as necessary).
3. Based on the invoice payment information in FLAIR, DFS authorizes the
payment and issues payment to the contractor.
4. The Finance Specialist monitors FLAIR and initiates the update of the
payment information based on confirmation the payment has cleared.
Notes
Note 1: Payments may be in the form of EFT, warrant, or journal transfer.
Outputs
1. Invoice Payment
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 232
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21.4
Manage Statewide Contracts Detailed Workflows
Contract Manager
Reviews
Compliance
Periodic Review of
Existing Contract
Creates Draft
Repot of
Findings
Receives
feedback and
creates Report
of Findings
Notifies
Contractor of
Report/Findings
Sends
Draft Report of
Findings
Findings Needing
Resolution?
Yes
Works with
contractor to
Resolve
Findings
Corrective
Action Plan
Needed?
No
Yes
Review Closed
Notification
for Corrective
Action Plan
No
Review Closed
End
Contractor
Financial
Specialist
AWI/OEL
The following workflow diagrams show the details of the Manage Statewide Contracts process including actors and
activities.
Receives Notice
of Draft Findings
Sends
Draft Report of
Findings
Findings Needing
Resolution?
Receives Notice
of Findings
Yes
Works with
Contract Manager
to Resolve
Findings
Develops
Corrective Action
Plan
Review Closed
No
End
Figure 90. Review Contractor Compliance and Resolve Issues (A1)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 233
HP Enterprise Services
Contract Manager
Verifies Invoice
Discrepancies
Exist?
Receives Invoice/
Advanced Payment Request
No
May provide
guidance on
allowable, allocable,
reasonable, and
necessary costs
Record Invoice Data
Yes
Approve Invoice
Link to
Initiate Contractor
Payment(A-4)
Resolve Discrepancy
Contractor
Financial
Specialist
AWI/OEL
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Submits Invoice
Start
End
Figure 91. Receive and Validate Contractor Invoice (A2/A3)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 234
HP Enterprise Services
Contract Manager
Route Invoice to
Financial Specialist
Link from
Receive and Validate
Contractor Invoice
Verifies Funds are
Available Enters it
into FLAIR
Contractor
Financial
Specialist
AWI/OEL
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Initiate Federal
Drawdown
Initiate Payment
Start
Payment
Monitors Flair and
Updates Payment
Information
Paid Invoice
Paid Invoice
Figure 92. Initiate Contractor Payment (A4)
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 235
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21.5
Business Rules
The following table contains statute, administrative rule, and other critical business rules
to this Business Process.
Table 117. Manage Statewide Contracts Business Rules
R ule
T itle
Des c ription
E ffec tive Date
Contractors are required to
submit invoices per the
terms and conditions of the
vendor contract.
N/A
Contractors are required to
submit invoices per the terms
and conditions of the vendor
contract.
Contract Date
Agency Service Provider
invoices are due at the
Agency by the date
specified within the terms
and conditions of the
contract.
N/A
Agency Service Provider
invoices are due at the Agency
by the date specified within the
terms and conditions of the
contract.
Contract Date
Contractors are monitored
per the terms and conditions
of the vendor contract.
N/A
Contractors are monitored per
the terms and conditions of the
vendor contract.
Contract Date
3.21.6
3.21.6.1
Traceability
US E C AS E S
The following Use Cases are associated with the Manage Statewide Contracts To-Be
Business Process Model based on the Requirements Traceability Matrix (RTM):
•
UC-COM-07: Initiate Payment
•
UC-COM-10: Manage Contracts
•
UC-COM-12: Initiate Monitoring
•
UC-COM-13: Complete Monitoring
•
UC-GEN-01: Executive Advanced Search
•
UC-GEN-02: Manage Documentation
•
UC-GEN-03: Manage Workflow
•
UC-GEN-04: Generate Notification
•
UC-GEN-05: Export Data
•
UC-GEN-08: Schedule Events
•
UC-GEN-09: Execute User Login
•
UC-GEN-12: Maintain Records
•
UC-GEN-13: Configure System
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 236
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
3.21.6.2
R E L A T E D R E QUIR E ME NT S
The requirements associated with the Manage Statewide Contracts To-Be Business
Process Model can be found in the Business Process to Requirements Traceability
Matrix (RTM) attached as HP FL ELIS 3.4.5.2.1 Appendix A-RTM with Business
Processes V.04.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 237
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
4.
E L IS DIF F E R E NC E S -IMP A C T T O B US INE S S
4.1
Overview
ELIS is expected to enhance the implementation of early learning programs through
automation, the centralization and consolidation of information, improved data quality,
and many other benefits. The To-Be Business Process Models provided in Section 3 of
this document provide a picture of the future state of business after the ELIS project is
completed and implemented. The differences will impact the business by enhancing
early learning programs in Florida. The following table provides highlights of the
differences from the current business situation to the post-ELIS business situation by
Business Process.
Table 118. Examples of Differences
NE W- HP
F inal T o-B e
Numbering
B us ines s P roc es s
Name
Differenc es as a res ult of E L IS Implementation
•
•
•
BP1
CCR&R
•
•
•
•
•
•
•
•
BP2
Enrollment
•
•
•
Initial contact may be by phone, Customer Portal,
Provider Portal, or walk-in.
Reduction in duplicative work, entry directly into ELIS
directly or through the Portals.
Wait List Placement has been incorporated into the
CCR&R Process.
The Parent/Guardian can determine preliminary
eligibility via the Customer Portal, but will still have the
option of applying face-to-face.
Providers will be able to view and update their CCR&R
information via the Provider Portal.
Centralized CCR&R reporting.
ELIS will replace the Single Point of Entry (SPE)
system.
Initial applicant contact with the ELC will take place in
CCR&R.
Preliminary screening will take place in CCR&R.
The Intake Specialist receives the application through
the CCR&R or waiting list.
The enrollment process will be integrated allowing both
SR and VPK eligibility to be performed by a
standardized Intake Specialist role.
Interfaces to receive data regarding immunizations,
income and employment information.
Customers can schedule appointments through the
customer portal.
Standardized business rules around eligibility
determinations to reduce errors and incomplete
information.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 238
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
NE W- HP
F inal T o-B e
Numbering
B us ines s P roc es s
Name
Differenc es as a res ult of E L IS Implementation
•
•
BP3
Wait List
Management
•
•
•
•
BP4
Child Screening
•
•
•
•
BP5
SR Eligibility
Redetermination
•
•
•
•
BP6
VPK Reenrollment/SR
Provider Transfer
•
•
•
The processes related to initial applicant contact,
screening to determine preliminary eligibility, and
placement on waiting lists are performed by CCR&R
staff.
Will provide access to statewide waiting list, while
allowing for local management and reporting.
Will provide a vehicle to analysis statewide waiting list
statistics and service needs.
For School Readiness, updating of the family’s
information during the Eligibility Redetermination
process will serve as validation for and update waiting
list information.
Parents can update the necessary documentation and
information through the Parent Portal for the waiting list
revalidation process.
Interface with Ages and Stages™ and export Child
data from ELIS to Ages and Stages (basic
demographic data, provider enrollment).
Business rules and notifications are employed to
support timelines for completion of initial and follow up
child screenings.
Non-responsive customers will be automatically
removed from the waiting list based on business rules.
Redeterminations are integrated and update the
waiting list management process.
Updating parent eligibility information can be done
through the Parent Portal.
Standardized business rules around eligibility
redeterminations to reduce errors and incomplete
information.
Interfaces to receive data regarding immunizations,
income, and employment information.
Customers can schedule appointments through the
Customer Portal.
Parents or guardians can request a provider transfer
through the Parent or Partner Portal.
ELIS will calculate and determine the remaining VPK
hours for transfer.
Eligibility certificates and applications are integrated
into ELIS.
Updating parent eligibility information can be done
through the Parent Portal.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
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Early Learning Information System (ELIS)
NE W- HP
F inal T o-B e
Numbering
B us ines s P roc es s
Name
Differenc es as a res ult of E L IS Implementation
•
•
BP7
Guardianship
Transfer
•
•
•
•
•
BP8
Provider Onboarding and
Management
•
•
•
•
BP9
Provider Quality
Monitoring and
Improvement
•
•
•
•
BP10
Attendance Roster
Processing
•
•
BP11
Prior Period
Attendance
Adjustments
•
•
Parents or guardians can request a provider transfer
through the Parent or Partner Portal.
Standardized business rules around eligibility
determinations for new guardians, decreasing errors or
incomplete information.
Eligibility certificates and applications are integrated
into ELIS.
Family Specialists have access to a statewide
database to facilitate guardianship transfers.
Partners and parents can check the status of a
guardianship transfer request through the portal.
Providers can update their provider profile and
information through the provider portal, allowing for
increased self service options.
Referrals can be sent or received electronically for
technical assistance.
Applications and provider and selected packet
information is available in ELIS.
Providers’ progress through the on-boarding process
can be tracked in ELIS.
An electronic interface with the Department of Children
and Families for licensed providers, background
checks, credentials, and other information.
Eliminates separate database and spreadsheet
tracking of provider Quality Monitoring and
Improvement.
ELIS will generate a random sample of providers to be
selected for monitoring.
Results from assessment tools are entered into ELIS
for monitoring.
Providers will enter or revise attendance information
directly via the Provider Portal. This replaces paper
submission and entry into EFS.
Standardized business rules will provide edit checks to
guide providers in completing the electronic attendance
rosters improving accuracy and reducing errors.
Providers can check the status of the attendance roster
through the process.
Interface with school systems and selected providers
to receive attendance records into ELIS.
Standardized business rules for making prior period
adjustments are integrated into ELIS.
Payment adjustments are stored in ELIS reducing the
need to retain a hard copy paper format.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
NE W- HP
F inal T o-B e
Numbering
B us ines s P roc es s
Name
Differenc es as a res ult of E L IS Implementation
•
BP12
Closeout
•
•
BP13
Collections
•
•
•
•
BP14
Slot Management
BP15
Develop Policy and
Manage Programs
BP16
Process ELC
Invoice
•
BP17
BP18
•
ELIS will have a bidirectional interface with Local
Accounting Systems. Information for the invoice will be
transmitted via interface or entered directly into ELIS.
Electronic signatures will be used for electronic
submission of the invoices.
ELIS will replace the invoice workbook.
ELIS will have a bidirectional interface with the FLAIR
system.
•
•
•
•
Monitor Program
and Instructor
Eligibility
Maintain Data
Quality and Provide
Service Support
Service priorities and slot management strategies are
integrated into ELIS.
Forecasting or modeling tools are integrated into ELIS
to support the development of strategies.
Changes in enrollment priorities, parent fees, provider
rates, or disenrollment must be submitted to the OEL
as a plan amendment and approved before
implementation.
The OEL Director reviews and approves all policy,
procedure, guidance, and best practices.
ELIS will have a bidirectional interface with FLAIR.
ELIS will have the capacity to reconcile the ELC
invoice with FLAIR payments.
OCAs will be integrated into ELIS to reconcile grant
utilization.
None
•
BP19
Standardize all collection efforts across ELCs through
standardized business rules around questioned costs.
All fraud investigations have been transitioned from
FDLE to DFS effective January1, 2011.
Suspected fraud referrals are referred to DFS and the
AWI Inspector General, while all other action ceases.
•
•
•
Monitor and
Reconcile ELC
Grant Utilization
ELIS will have a bidirectional interface with Local
Accounting Systems (LASs). Information for closeout
data or can be entered directly into ELIS.
Submission of the reimbursement data to the OEL is
integrated into ELIS, streamlining the process.
•
•
ELIS is a single, statewide database, eliminating the
data pull from 34 separate ELCs databases.
Improved quality, timeliness and accuracy of federal
and state reports.
Indicates a ticketing process or system for tracking and
monitoring technical and data quality requests.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
NE W- HP
F inal T o-B e
Numbering
B us ines s P roc es s
Name
Differenc es as a res ult of E L IS Implementation
BP20
Process Cash
Receipts
•
ELIS will allow for entering data regarding payments
and replace the use of excel spreadsheets.
BP21
Manage Statewide
Contracts
•
Contracts will be entered, stored and searchable in
ELIS.
•
The quality and effectiveness of auditing and
monitoring processes and findings may be improved
due to more consistent and improved data quality.
Improved confidence in ELC and OEL data and
reports.
Parents, providers, and partners can access, view,
upload documents and enter information through the
use of web portals.
Electronic notifications in ELIS allow for a reduction in
the use of paper and increased communication.
Documents can be stored, attached to records,
accessed and searched on in ELIS, reducing paper
use and storage.
Documents can be automatically selected by standard
records retention business rules for destruction.
•
•
All
General
•
•
•
•
Electronic signatures are accepted through the web
portals.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 242
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
5.
IMP L E ME NT ING T HE R E DE S IG NE D B US INE S S P R OC E S S E S
5.1
Implementing the Redesigned Business Processes
Once The HP FL ELIS Final To-Be Business Process Models have been approved, a
management process will support each of the final to-be Business Processes. BPR
Business Process updates that may require updates or changes to training, policy, or
other supports for ELIS stakeholders to use ELIS successfully were identified. These
potential updates are identified in the Final To-Be Business Process Model Update
Action Log and will also be recorded on the HP Florida ELIS Project Team SharePoint
site.
The final Business Processes will be rolled out and verified through a multitude of
activities and communication channels as identified in Table 117 of this document. HP
will collaborate with the Agency and its Organizational Change Management (OCM)
team to support the ELCs and RCMA in adopting the new Business Processes so that
the full benefits of an ELIS implementation are realized. As stakeholder groups require
additional support and education about the new organizational structures, processes,
policies, and system functionality, HP will work with the Agency and its OCM team in
adopting the changes.
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
Figure 93. BPR Schedule
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Page 244
HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
5.2
Business Process Rollout Plan
The following table describes a plan for rollout activities and communications based on
the targeted audience and the channel for delivery.
Table 119. BPR Rollout Activities
B P R R ollout
E vent/Materials
J oint A pplic ation
Development
S es s ions
P urpos e
A udienc e
C hannel
To validate the
requirements and to-be
Business Processes and
elicit more detailed
requirements with subject
matter experts
•
Agency/OEL
ELC Executive
Directors
ELC
Ambassadors
ELC Subject
Matter Experts
(SMEs)
ELIS Project
Business
Stakeholder’s
Committee
•
Agency/OEL
ELC Executive
Directors
ELC
Ambassadors
ELC SMEs
ELIS Project
Business
Stakeholder’s
Committee
•
Agency/OEL
ELC Executive
Directors
ELC
Ambassadors
ELC SMEs
ELIS Project
Business
Stakeholder’s
Committee
Document
•
•
•
•
F unc tional S ys tem
Des ign W alk T hrough
The BPR team will
participate in design
sessions to ensure design
aligns with future Business
Processes
•
•
•
•
•
F inal T o-B e B us ines s
P roc es s Deliverable
Documents the final to-be
processes
•
•
•
•
•
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
•
•
•
Walk-through
To-Be Business
Processes
Multiple
Meetings
ELIS Newsletter
Updates
Briefing
ELIS Newsletter
Updates
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HP Enterprise Services
Florida’s Office of Early Learning Contract V1013
Early Learning Information System (ELIS)
B P R R ollout
E vent/Materials
Us er A c c eptanc e
T es ting
P urpos e
A udienc e
C hannel
•
End Users
•
•
T raining
Have stakeholders
responsible for core
Business Processes,
review system
functionality, and
perform UAT
Collect any BPR
implications from UAT
to pass on to the HP
technical personnel
BPR will inform training
on:
•
New organizational
structures
•
Business processes
•
New policies and
procedures
•
New skills as
appropriate
•
•
•
•
•
•
•
•
•
P re-P ilot
•
•
P ilot
•
•
•
•
Reinforce new
Business Processes
Use new ELIS
processes, rules,
security, and
information in this final
test before statewide
implementation
•
Identify knowledge
gained in Pilot
Testing the
implementation of
Business Processes
Use new ELIS
processes, rules,
security, and
information in this final
test before statewide
implementation
Lessons learned
•
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
•
•
•
•
•
•
Technical Staff
Agency Staff
ELC Staff
ELC
Subcontractor
Staff
Referral Agencies
Staff
Providers
Customers
•
Agency
Management
ELC Executive
Directors
ELIS Users
•
Agency
Management
Business
Stakeholders
Committee
ELC Executive
Directors
ELIS
Ambassadors
ELIS Pilot Users
•
•
•
•
•
•
•
•
Briefing
ELIS Newsletter
Updates
Testing and
Incorporating
Feedback
ELIS Newsletter
Updates
Hands-on
Classroom
e- Learning
Mentoring
Support
Briefing
ELIS Newsletter
Updates
Training
Briefings
ELIS Newsletter
Updates/Lesson
s Learned
Training
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Early Learning Information System (ELIS)
B P R R ollout
E vent/Materials
P urpos e
A udienc e
C hannel
P re- Implementation
•
•
Agency
Management
ELC Executive
Directors
ELIS Users
Briefing
Agency
Management
ELC Executive
Directors
ELIS Users
Briefing
•
•
Implementation
Incorporate
Implementation
readiness and
effectiveness
evaluations into
communications
Full implementation
reminder
Who to contact and
where to go for more
information
To share successes and
resolve any issues
•
•
•
•
•
K nowledge T rans fer
Meetings
The BPR team will
participate in meetings, as
appropriate, of both a
technical nature as well as
Business Process nature,
to enable the Agency to
support ELIS after
implementation
3.4.5.2.1 Final To-Be Process Models, Final Version 2.0
Submitted: January 12, 2012
Agency/OEL
Meeting
Page 247
HP Enterprise Services