1.2 CCDF Policy Decision Authority

The Lead Agency has broad authority to administer (i.e., establish rules) and operate (i.e., implement activities) the CCDF program through other governmental, non-governmental, or public or private local agencies as long as the Lead Agency retains overall responsibility for the administration of the program. Administrative and implementation responsibilities undertaken by agencies other than the Lead Agency must be governed by written agreements that specify the mutual roles and responsibilities of the Lead Agency and other agencies in meeting the program requirements. 1.2.1 Entity establishing CCDF program rules Which of the following CCDF program rules and policies are administered (i.e., set or established) at the State or Territory level or local level? Identify whether CCDF program rules and policies are established by the State or Territory (even if operated locally) or whether the CCDF policies or rules are established by local entities, such as counties or workforce boards. Check one of the following: ☐ X All program rules and policies are set or established by the State or Territory. (If checked, skip to question 1.2.2.) ☐ Some or all program rules and policies are set or established by local entities or agencies. If checked, indicate which entities establish the following policies. Check all that apply: i. Eligibility rules and policies (e.g., income limits) are set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. ii. Sliding-fee scale is set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. iii. Payment rates and payment policies are set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. iv. Licensing standards and processes are set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. v. Standards and monitoring processes for license-exempt providers are set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. vi. Quality improvement activities, including QIS, are set by the: ☐ State or Territory. ☐ Local entity (e.g., counties, workforce boards, early learning coalitions). ☐ Other. Identify the entity and describe the policies the entity can set. vii. Other. List and describe any other program rules and policies that are set at a level other than the State or Territory level. 1.2.2 Entities implementing CCDF services The Lead Agency has broad authority to operate (i.e., implement activities) through other agencies, as long as it retains overall responsibility for CCDF. Complete the table below to identify which entity(ies) implements or performs CCDF services. Check the box(es) to indicate which entity(ies) implement or perform CCDF services. CCDF Activity CCDF Lead Agency TANF Agency Local Government Agencies CCR&R Who conducts eligibility determinations? ☐ ☐ ☐ X ☐ Who assists parents in locating child care (consumer education)? ☐ ☐ ☐ ☐ X Who issues payments? ☐ ☐ ☐ X ☐ Who monitors licensed providers? ☐ X ☐ ☐ ☐ Who monitors license-exempt providers? ☐ ☐ ☐ ☐ Who operates the quality improvement activities? ☐ X ☐ ☐ X ☐ X 1.2.3 Written agreements and oversight For any activities performed by agencies other than the Lead Agency as reported above in 1.2.1 and 1.2.2, identify the processes the Lead Agency uses to oversee and monitor CCDF administration and implementation activities to retain overall responsibility for the CCDF program. Check and describe how the Lead Agency includes in its written agreements the required elements. Note: The contents of the written agreement may vary based on the role the agency is asked to assume or type of project but must include, at a minimum, the elements below. a. Tasks to be performed. ☐ X Yes. If yes, describe: Examples of written agreements between the state and contractors and grantees include the Department of General Services standard contract (STD 213) and a Grant Award Notification (GAN) which include the minimum required elements. The STD 213 is a standard agreement required by the Department of General Services(DGS) for all contracts with outside agencies, are governed by several state and federal laws, regulations, and administrative processes, and includes the terms of agreements, scope of work, budget detail and payment provisions, and general terms and conditions. These are monitored by contract/grant administrators through monthly or quarterly fiscal and program narrative reports. ☐ No. If no, describe: Not applicable. b. Schedule for completing tasks. ☐ X Yes. If yes, describe: Examples of written agreements between the state and contractors and grantees include the DGS standard contract (STD 213) and a GAN which include the minimum required elements. The STD 213 is a standard agreement required by the DGS for all contracts with outside agencies, which are governed by several state and federal laws, regulations, and administrative processes, and includes the terms of agreements, scope of work, including timelines, budget detail and payment provisions, and general terms and conditions. These are monitored by contract/grant administrators through monthly or quarterly fiscal and program narrative reports. ☐ No. If no, describe: Not applicable. c. Budget which itemizes categorical expenditures in accordance with CCDF requirements. ☐ X Yes. If yes, describe: Examples of written agreements between the state and contractors and grantees include the DGS standard contract (STD 213) and a GAN which include the minimum required elements. The STD 213 is a standard agreement required by the DGS for all contracts with outside agencies, which are governed by several state and federal laws, regulations, and administrative processes, and includes the terms of agreements, scope of work, budget detail and payment provisions, and general terms and conditions. These are monitored by contract/grant administrators through monthly or quarterly fiscal and program narrative reports. ☐ No. If no, describe: Not applicable. d. Indicators or measures to assess performance of those agencies. ☐ X Yes. If yes, describe: Examples of written agreements between the state and contractors and grantees include the DGS standard contract (STD 213) and a GAN which include the minimum required elements. The GAN is an agreement that includes applicable certifications, assurances, terms and conditions for the grant that is sent to the grantee after their application for funds has been awarded and before the funds are disbursed. These are monitored by contract/grant administrators through monthly or quarterly fiscal reports and program narrative reports. Direct Service Contracts are monitored by California Department of Social Services (CDSS) through the contractor risk assessment and comprehensive review instrument based on Funding Terms and Conditions and Program Requirements. Additionally, CDSS reviews direct service contractors using a risk assessment and a comprehensive review instrument that is updated annually. The review instrument is guided by the requirements of current laws and regulations. ☐ No. If no, describe: Not applicable. e. In addition to the written agreements identified above, describe any other monitoring and auditing processes used to oversee CCDF administration. The CDSS uses family files data error rate specific to eligibility, need, attendance, and family fees to assess contractors and determine the percentage of their performance. Child care contractors are required to perform at a pre-determined threshold or develop a corrective action plan. The standard is a compliant/noncompliant-based review process. Contractors are reviewed every four years using a standard document. The review instrument identifies the compliance items and suggested supporting documentation for each item to demonstrate compliance. The CDSS conducts follow-up reviews to ensure that the implementation of the corrective action plan improved the contractors' performance to the desired threshold. Contractors are required to submit monthly or quarterly enrollment, attendance, and fiscal reports showing all income and expenses that go into the program for both for both subsidized and non-subsidized children. Fiscal staff may perform a review of a contractors Child Care Development Fund records and documents at any time to ensure that contractors are following all of the terms and conditions of their contract and that stage funds are spent appropriately. Lastly, contractors are required to submit annual fiscal audits to CDSS by November 15 each fiscal year. Each audit report is reviewed by department auditors for compliance with regulations and contract requirements. 1.2.4 Information systems availability Certification of shareable information systems. Does the Lead Agency certify that to the extent practicable and appropriate, any code or software for child care information systems or information technology for which a Lead Agency or other agency expends CCDF funds to develop is made available to other public agencies? This includes public agencies in other States for their use in administering child care or related programs. ☐ X Yes. No. If no, describe: Not applicable. 1.2.5 Confidential and personally identifiable information Certification of policies to protect confidential and personally identifiable information Does the Lead Agency certify that it has policies in place related to the use and disclosure of confidential and personally identifiable information about children and families receiving CCDF assistance and child care providers receiving CCDF funds? ☐ X Yes. ☐ No. If no, describe: Not applicable.