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CAPS Policy – Program Integrity No.: CAPS/00-16 Effective Date: 10/01/2016 Revised: 03/02/2026 Revision Effective: 03/02/2026

CAPS Policy Manual

Page 97 of 109 2 Martin Luther King Jr. Drive SE Suite 754, East Tower Atlanta, GA 30334 16.5.3.2 All parties are required to fully cooperate with any investigations on behalf of CAPS, and failure to do so may result in sanctions. 16.5.3.3 For investigations, providers are typically required to submit arrival and departure records and transportation records for a specified time period within 15 calendar days from the date the notice was issued. However, records may be requested during an on-site visit and, if so, must be made available immediately upon request as prescribed in CAPS Provider Rights and Responsibilities Policy (CAPS/00-12). The time period for which records are requested varies based on the dates specified in the referral. The review period may be widened at DECAL’s discretion. 16.5.4 DECAL may impose sanctions allowable under federal, state, or local law, regulation, or policy when a provider is found to be in noncompliance with CAPS policies. 16.5.4.1 In addition to the sanctions below, DECAL may place providers in a probationary status which may include additional monitoring, a corrective action plan, training, technical assistance, or other actions taken by DECAL. 16.5.4.2 At the discretion of DECAL, a provider may be deemed out of compliance during review or investigation of the program which may lead to adverse actions including but not limited to, suspension, recoupment of funds, dismissal or disqualification from CAPS. 16.5.4.3 The following chart details allowable sanctions for child care provider program integrity noncompliance.

Child Care Provider – Program Integrity Noncompliance Finding Allowable Sanctions Provider did not submit W9, 704, Child Care Provider Agreement, and direct deposit form to CAPS by the date requested. Payments to the provider will be suspended. Payments will be released to the provider once all documents are submitted to CAPS. Payments will be withheld for no more than 30 calendar days before the provider is dismissed from CAPS.

Reinstatement will occur once all documents are submitted. If reinstatement does not occur within 30 calendar days of being dismissed, the provider will have to begin the enrollment process again. It was determined during an attendance verification assessment that the provider did not maintain arrival and departure records and transportation records as prescribed in CAPS Health and Safety Standards Policy (CAPS/00- 15). The person legally responsible for the program and the person responsible for maintenance of records will be required to complete mandatory program training. If the provider does not make improvements in record maintenance, the provider will be referred to DECAL’s Audits and Compliance Division for investigation and further sanctions may be imposed. It was determined during a compliance review or investigation that the provider did not maintain arrival and departure records and transportation records as prescribed in CAPS Health and Safety Standards Policy (CAPS/00-15). CAPS will recoup the amount of any child care subsidies paid during the period under review for which adequate documentation (i.e., arrival and departure records and transportation records) was not provided. It was determined during an audit or investigation that the provider billed for the wrong type of care and received an overpayment as a result. CAPS will recoup the difference between the amount of any child care subsidies paid and the amount of child care subsidy that should have been paid based on the correct type of care.