Introducing DHS MnCHOICES assessor certificates audit

8/7/2019

Welcome & introductions

MnCHOICES presentersDenise Hauge, MnCHOICES communication

Teresa vanderBent, MnCHOICES training

Purpose of the webinar

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Provide lead agencies and assessors information on the certification process, recertification process and lapsed assessor audit protocol.

Train lead agencies and assessors to make sure they

Follow certification/recertification procedures

Complete the recertification process in a timely manner

Allow only certified assessors to complete MnCHOICESassessments

Agenda

1. Review assessor certification training background

2. Discuss the MnCHOICES assessor certification and recertification process

• How/where documentation is collected

• Certification role and responsibilities of supervisors/mentors and assessors

3. Examine the recertification instructions and guidance for assessors

• Use the recertification MnCAT module to track training

• Follow steps to reinstate a certified assessor

4. Learn about the DHS audit protocol

MNCHOICES certified assessor training background

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What were we hearing?

We were hearing through the MnCHOICES Help Desk Contact Form

• The need for certification process review: Where, how, when

• The need for recertification process review: Steps to take and how an assessor knows their recertification is complete

• Who is responsible for maintaining certification

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Updating mentors on the audit process

As part of past MnCHOICES Mentor Alliance meetings, MnCHOICES training and communications provided information and reminders about our plan to audit certified assessor records

• June 4, 2019 Certified assessor audit – what to expect

• Dec. 2018 New lead agency review (LAR) questions about certified assessor certifications

• Sept. 2018 Review trainings entered in the recertification module

• June 2018 Training dates must be within span of the certificate and lapsed assessors should not complete assessments

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MnCHOICES team certification process review

• Is it clearly communicated tosupervisors/mentors and assessors what thesteps are in the certification/recertificationprocess?

• Does the MnCAT training adequatelycommunicate the assessor’s role in thecertification and the recertification process?

• What have we heard from mentors?

The MnCAT and training revisions will include what we learn from the review.

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MNCHOICES assessor certification process

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Certification is a professional requirement

Per MN State Statute 256B.0911, a MnCHOICES certified assessor must complete a MnCHOICES Assessment.

• Certified assessors are required to have the education and background needed to complete an assessment.

• Recertification requires an assessor complete 45 CLUs (12 person-centered), during the certificate’s three-year cycle. This ensures an assessor enhances their professional knowledge and improves their practice

• The lead agency and certified assessor are both responsible for ensuring the assessor’s certification does not lapse.

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What does it mean to be a MnCHOICES certified assessor?

• Meet the education and experience requirements

• Complete MnCAT training (modules and other required activities)

• Have printed certificate, with current dates, signed by your supervisor

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What is a valid certificate? Initial certification

• Print the Step 3, Test 3 certificate from MnCAT

• Obtain supervisor signature

• Retain certificate for 3 years

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Your certificate is valid when it is printed and signed by your supervisor.

What is a valid certificate? Recertification

Complete the training requirements laid out in MnCAT Step 4: Recertification Instructions and Guidance

Take the TrainLink Step 4 recertification training and enter your CLUs in the MNCH8012 module. When your training entry is complete, follow the instructions in Step 4 to obtain your new certificate

Print your certificate, review training with your supervisor and have your supervisor sign your certificate. Recommendations: Save a pdf of your certificate.

Do not retake Step 3, Test 3 - this is not a valid recertification

Your recertification is valid when your certificate is printed and signed by your supervisor.

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Certificate retention best practice

Retain for 3 years

Save an electronic copy

Give supervisor asigned copy

Post in your cube

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Valid certification period

The certificate beginning and ending dates are the span in which an

assessor can complete a MnCHOICES Assessment

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Certification and recertification documents on CountyLink

Mentor role: Report on Education and Experience

Use MnCHOICES CountyLink resources to document certified assessor education and experience

Resources found on MnCHOICES CountyLink, Training page, MnCAT Step 1 and 2 heading

• Report on Education and Experience of MnCHOICES Certified Assessors –Instructions

• Report on Education and Experience of MnCHOICES Certified Assessors -Spreadsheet

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Mentor role : MnCAT Step 1 and 2

Steps 1 and 2 instructions and checklists:

• Updated instructions and checklists for lead agencies

• Updated instructions and checklists for qualified candidates

Includes links to TrainLink modules

When MnCAT Step 1 and 2 are updated these will be revised

Tour of forms including revision dates

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Mentor role: MnCAT Step 3

• MnCAT: Which track to take?

• MnCHOICES Training Zone (MTZ-A): access and scenario for practice

• Learning Lab: Links and review findings

• Multidisciplinary team: Maintaining and coordinating for Step 3 training

• Step 3 test: Provide link (New Mentor Training PDF)

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Questions: Certification

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MNCHOICES assessor recertification process

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Assessor role: Recertification

Like all other professional licenses, certified assessors need to keep their certified assessor certification up-to-date.

• Take CLUs during the span of the certificate• Enter CLUs into Step 4 recertification module (MNCH8012) to generate a

new certificate• Provide required training and certificate to supervisor

Do not complete an assessment or CSP when your certificate is lapsed• If needed, work with your mentor to reinstate your certification.

Best Practice: If you move to other work in your agency keep your certificate up –to-date

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TrainLink: MnCAT Step 4: Recertification module

• Teaches you about CLUs

• Instructs you choose“continue” to add CLUs

• Amount of CLUs that canbe entered. Limited to 45

• 12 CLUS must be person-centered

• How to enter dates fornew certificate

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CLU Documentation

Use the “Save all activities” button to ensure your CLUs are saved

• Maintain documentation to support yourCLUs

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CLU satisfaction

CLU requirements

• 45 CLUs every 3 years

• 12 person-centered CLUs

When you have met the CLU requirements

• Select “Save all activity”

• X out of this course

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Generating your next certificate

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Close the recertification course to generate your next certificate

Assessor role: 1st certificate

• Printed certificate requires a signature by your supervisor

• Retain a copy for your records

• Open MnCAT Step 4 recertification and begin entering your training

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Best practice: Set an Outlook reminder to enter your CLUs at least three months prior to your certification expiring

Entering recertification dates

• Find your current certificate

• Follow the recertification instructions to enter your current certificate start and end dates

• TrainLink will auto-calculate the next three year date span

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Recertification is official when

The new certificate is printed from the recertification module and signed.

Your course is marked as finished and your training record is updated.

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Assessor recertification guidance

If you are not able to complete the recertification process in a timely manner, resulting in a lapse of certification, there are steps you need to take:

• Inform your supervisor. Some, or all, of your work will need to bereassigned.

• Inform your mentor. Your security access will need to be revised.

• Do not complete assessments while your certificate is lapsed.

• Work with your mentor and follow the MnCAT Step 4:Recertification Instructions and Guidance to reinstate yourcertificate.

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Lapsed assessor certificates

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Mentor role: Recertification

Located in MnCHOICES CountyLink, Training page, under the MnCAT Step 4 –Recertification

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How will I know if my certificate is lapsed?

Statewide List of Certified Assessors

MnCHOICES County Link: Training page, MnCAT Step 4 - Recertification heading

• Updated quarterly

• Organized by tabs: alphabetically, monthly and lapsed

• Certificates that expire in the next quarter are highlighted

• Lapsed assessors tab: Mentors and assessors should check this list andtake action to remedy the lapse

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Anatomy of Statewide list of certified assessors

Report is updated quarterly

Has two verified tabs and one lapsed tab

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Verified tab in the Statewide list of certified assessors

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Those assessor whose certificates are expiring in the next quarter are highlighted in yellow.

Verified tabs allow a mentor to sort by agency certified in or employed by

Mentor role with lapsed assessors

Mentors should

• Work with assessors who have three months or less left in their certification period to assure they meet recertification requirements

• Lapsed assessors move to the Statewide List of Certified Assessorslapsed tab when their certificate expires because the assessor did not complete the recertification module.

• Work with the assessor on steps to regain certification if an assessor does not complete the recertification process before their certificate expires

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Recertification Instructions and Guidance

MnCAT Step 4: Recertification Instructions and Guidance

• CLU purpose and qualifications• Record retention and audit guidelines• Timeframes and monitoring• Process for lapsed assessors to reinstate certification• Note: assessors lapsed more than 30 days must not complete a

MnCHOICES assessment and CSP• Provides steps to reinstate an assessor’s certificate

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Questions: Recertification

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Audit protocols and DHS actions

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Why is the audit process required?

• MN State Statute §256B.0911 requires that aMnCHOICES Assessment is completed by aMnCHOICES certified assessor

• Assessors must recertify every three years bycompleting the training required

• An assessor must not complete an assessment orCSP if their certificate is lapsed 31-days or more andMnA access must be removed

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The audit will

• Review if an assessor is completing assessments while their certification is lapsed

• Inform the lead agency of our findings and request more information

• Assign the lead agency any necessary remediation

• If needed, require the lead agency to remove the assessor’s ability to complete assessments in MnA 1.0

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Audit memo announcement

The lapsed certified assessor audit protocol will begin as a “soft touch” after the Aug. 7 webinar and will be more “firm” in the third quarter of 2019 to align with the next update of the certified assessor list

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This process is described in the Lapsed certified assessor audit protocol memo and the Lapsed certified assessor audit protocol

Lapsed certified assessor audit protocol

Certification records are subject to audit by DHS and must be maintained for at least three years after initial certification or recertification.

DHS will follow this lapsed certified assessor audit protocol:

1.DHS will perform a quarterly audit of alllapsed assessors. We will compile a list ofassessors with a lapsed status and comparetheir lapsed date with the last assessmentthey completed.

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Cont. Lapsed certified assessor audit protocol

2. DHS will send an email to the lead agency with an attachedspreadsheet of assessors who completed an assessment with alapsed certificate, incomplete training or other certification issues.If a lead agency does not receive an email, there are no assessorsto review.

3. The lead agency must send requested documentation to DHSwithin 10 business days of the email request.

4. If documentation is received, DHS will confirm receipt of recordsand work with the lead agency to update records or resolve issues.

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Second request

5. DHS will send a second and final request for documentation to lead agencieswho do not respond to the first request. If the lead agency receives the secondnotification, it means that DHS did not receive a response or the requireddocumentation.

6. The lead agency has five business days to provide the documentation requested.

7. If DHS receives the required documentation, we will confirm receipt of recordsand work with the lead agency to update records or resolve issues.

8. If DHS does not receive a response from the lead agency in the time allowed,DHS will notify the lead agency supervisor, director and SSIS administrator tosuspend the assessor’s access to MnA 1.0.

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Verification that access has been removed

9. DHS will ask the DHS SSIS Help Desk to verify access is removed.

10. DHS will submit a formal request to the DHS SSIS department to suspendlapsed assessor access if the lead agency does not comply with thesuspension request.

11. DHS will inform lead agency SSIS administrators they can reinstate access toMnA when lead agencies are able to provide documentation to prove lapsedassessors are up-to-date on their certifications.

12. DHS may use additional audit actions if there are issues with lead agencyprocess, records or repeat issues with lapsed assessors who completeassessments.

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Protocol questions

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Thank You!

The MnCHOICES Team