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CAPS Policy – Provider Rights and Responsibilities No.: CAPS/00-12 Effective Date: 10/01/2016 Revised: 03/02/2026 Revision Effective: 03/02/2026

CAPS Policy Manual

Page 70 of 109 12.4.5.5 Failure to comply with any request by DECAL may result in dismissal from the CAPS program, as prescribed in CAPS Health and Safety Standards Policy (CAPS/00-15) and CAPS Program Integrity Policy (CAPS/00- 16).

12.4.6 Health and Safety Standards 12.4.6.1 Providers must comply with health and safety standards as prescribed in CAPS Health and Safety Standards Policy (CAPS/00-15). 12.4.6.2 Compliance with health and safety standards includes, but is not limited to, the following, as prescribed in CAPS Health and Safety Standards Policy (CAPS/00-15). A. All providers participating in CAPS must: (1) Comply with reporting requirements (2) Comply with DECAL’s criminal background check requirements (3) Maintain original and accurate arrival and departure records and transportation records (4) Comply with training requirements (5) Provide care that meets state health and safety standards (6) Comply with health and safety monitoring

B. Licensed providers must participate in training and technical assistance required by the CAPS program and must also comply with all requirements for child care licensing. C. License-exempt providers (including all staff) and informal providers must comply with health and safety standards as defined by DECAL.

12.4.7 Recordkeeping and Reviews 12.4.7.1 Documentation expected to be maintained by all providers includes, but is not limited to: • Arrival and departure records (formerly referred to in CAPS policy as sign in/sign out logs) • Transportation records (logs and agreements) • Copies of child care license or letter of exemption • Copies of Business License and Certificate of Occupancy • Financial records or financial information (e.g., bank statements, copies of canceled checks) • Current published policies and procedures • Current published rate sheets • Signed Civil Rights Act Compliance form • Verification of SSN and FEIN/Tax ID Numbers • Employment records • Records supporting funding from other state or federal sources • Child records (such as birth certificates, immunization forms, and registration information) • Any and all information or records related to the operation of the provider 12.4.7.2 The documents listed above may be requested and reviewed during attendance verification assessments, compliance reviews, or investigations. Refer to CAPS Program Integrity Policy (CAPS/00/16) for more information on assessments, reviews, investigations, and sanctions. 12.4.7.3 DECAL representatives may request documents in writing or in person for attendance verification assessments, compliance reviews, or investigations. Failure to submit documents when requested by DECAL shall result in a mandatory reclaim of funds. A. CAPS conducts attendance verification assessments of provider billing records. Providers are typically required to submit arrival and departure records and transportation records for a specified month as instructed in the review notification. The purpose of attendance verification assessments